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Probity and Governance

Probity and Governance. Observations for Universities and Student Associations by Neil Adams of WalterTurnbull. Governance Framework. State’s Public Finance & Administration Act. University Policies & Procedures. University’s enabling Act. State Govt. Policies – Codes of Conduct etc.

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Probity and Governance

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  1. Probity and Governance Observations for Universities and Student Associations by Neil Adams of WalterTurnbull

  2. Governance Framework State’s Public Finance & Administration Act University Policies & Procedures University’s enabling Act State Govt. Policies – Codes of Conduct etc Ombudsman Auditor General Companies Act ACTION Australian & State Govt. Uni policy Associations Incorporation Act Fair Trading Act Public Service Act Administrative Decisions Act Supreme, Federal and High Court Cases ICAC or similar pronouncements

  3. Definition of “Probity” • Webster’s definition: “Tried virtue or integrity; approved moral excellence; honesty; rectitude; uprightness; unimpeachable honesty and virtue” • Our definition: “Re decisions - consistency with the obligations placed upon us by the particular applicable legal and ethical framework”

  4. Legal & Ethical Framework State’s Public Finance & Administration Act Procurement Guidelines University’s enabling Act Code of Official Conduct Ombudsman Auditor General Public Service Act Australian & State Govt. Uni policy ASSESSMENT State Govt. Code of Tendering Fair Trading Act Administrative Decisions Act Supreme, Federal and High Court Cases ICAC or similar pronouncements PROBITY

  5. Recent Developments • Dr Brendan Nelson’s Statements re Governance • ICAC Statements (for NSW) • Investigations into Student Bodies • Case law • Other Governance Changes – • ASX Guidelines • Aust Standards 8000-8004 • CLERP 9

  6. Investigations – Student Associations • Canberra University – KPMG • Canberra University – ACT Audit Office • UWS – UWS Internal Audit & Risk Assessment Unit • UWS – WalterTurnbull • UTS (v Gerrard) • Others?

  7. Investigations – Universities • By Auditors General annually • NSW Audit Office • UNSW – Educational Testing Centre (2001) • Compliance Review of Commercial Activities in NSW Universities (2003) • Victorian A-G’s Office – RMIT governance & financial performance (2003) • Others …..

  8. Court Cases • There are a number of relevant recent cases: • Hughes Aircraft case (1997) • J S McMillan Case (1997) • Smith Brothers & Wilson (BC) Ltd (1997) • Gungahlin Development Authority (2000) • Sound Contracting v City of Nanaimo (2000) • UTS v Gerrard (2001) • Cubic Case (2002)

  9. Things To Do • Clarify Code of Conduct • Identify responsibility for probity & governance • Ensure sufficient expertise • Audit performance against best practice, and • Appoint independent advisers/auditors

  10. And • The Journey Continues ……………

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