Audit and Risk Directorate

Internal Audit

Internal Audit at UNE is an independent, objective assurance and consulting activity designed to add value and improve the University's operations. It helps the University accomplish its objectives by bringing a systematic, disciplined approach to evaluating and improving the effectiveness of risk management, control, and governance processes.

In practical terms, this is achieved by providing assurance that UNE's financial and operational controls, designed to manage the organisation's risks and achieve the entity's objectives, are operating in an efficient, effective and ethical manner. This assurance is delivered through regular reports and summaries to UNE's Council (through the Audit & Risk Committee), the Vice Chancellor and Executive management. Internal Audit assists management in improving the UNE's business performance across its broad range of activities.

Download the Internal Audit Charter ((PDF, 140.28 KB))

PAWS (Pentana Audit Works System) click here

Fraud and Corruption Prevention

The success of UNE's fraud & corruption prevention strategy relies heavily on the commitment and attitude of all employees. The most effective means of controlling fraud and other corrupt behaviour is for management to foster and encourage an ethical environment that is committed to preventing, detecting and reporting fraud and corruption, and to implement control mechanisms which minimise the likelihood of fraud or corrupt practices occurring.

UNE is committed to protecting employees who report wrongdoing in the workplace. Some reports of wrongdoing may be classified as protected or public interest disclosures under the Public Interest Disclosures Act 1994(NSW). Other reports of wrongdoing may not meet the definition of a protected or public interest disclosure. However UNE supports and encourages all reports as UNE does not tolerate wrongdoing in the workplace.

Click here to view the Fraud and Corruption Control Plan

Reporting Fraud and Other Corrupt Behaviour

Employees are encouraged to report known or suspected wrongdoing to the Director Audit & Risk. The Director Audit & Risk is a nominated person to whom fraud and corrupt behaviour should be reported under the Fraud and Corruption Control Plan and is the Disclosures Coordinator as identified in the UNE Public Interest Disclosure Rule, and has a central role in dealing with reports of fraud and corrupt behaviour made by employees.

Where employees feel they cannot report wrongdoing to the Disclosures Coordinator, other avenues for reporting fraud and other corrupt behaviour are identified in the UNE Public Interest Disclosure Rule.

Risk Management

Risk management is important to UNE in order to ensure the organisation not only minimises the adverse consequences of risk in order to survive as a going concern, but also maximises benefit from any opportunities that arise.  Effective risk management helps UNE to fully exploit these opportunities by maintaining financial strength and public image and ensuring the delivery of the highest levels of quality in staff, products and service to our students.  These factors will continue to become more important to UNE as it strives to succeed in an increasingly competitive market.

Important documents:

Business Continuity

Business continuity is an organisational resilience activity that develops resilient administrative processes to underpin the delivery of the University's teaching, learning and research.  The continuity of key organisational processes is essential to UNE's business interruption avoidance and response, and adjustment to organisational change.

Business units (which includes Schools) with responsibility for key organisational processes need to be proactive in making these processes resilient.  This means that business units need to act to ensure processes that they have responsibility for, can be performed as needed, during and/or after planned and unplanned organisational changes.

Key organisational processes are business activates that are essential to:

  • the delivery of teaching content;
  • the function of student learning methods and assessment tools;
  • the conduct of research;
  • the management of corporate data and records;
  • compliance with legislative requirements (payroll, financial services, reporting etc.); or
  • the protection of the University's identity and reputation.

Business units that have responsibility for a key organisational process, must document the following basic continuity information for that process:

  1. What is the key organisational process the business unit is responsible for?
  2. What inputs (data or information) does the business unit rely on to conduct this process?
  3. What outputs are created by the business unit from this process?
  4. What critical items of equipment or systems is the business unit relying on to conduct this process?
  5. Who are the business unit's key contacts and stakeholders for this process?
  6. Are there critical timeframes associated with this process, and if so what are they?
  7. What controls (if any) does the business unit have in place to manage disruption to this process?  and
  8. If controls are in place, where are the controls known to be vulnerable to failure?
Documenting business continuity information:

Legal and Governance helps the University to make informed decisions and manage risk.

Directorate Contacts


Director Audit & Risk
Dave Tanner

Associate Director Audit & Risk
Sam Hills

Principal Internal Auditor
James Simmons

Internal Auditor & Risk Coordinator
Selina Myareves

Risk Coordinator
Kylie Smith (Secondment)

Administration Assistant
Gabrielle Teale-McEvoy (Mon & Wed)

General Inquiries
Phone: 02 6773 4483
Email: risk.mgt@une.edu.au

Address
Audit and Risk Directorate (Second floor)
Booloominbah
University of New England 2351 NSW
Australia

Legal and Governance helps the University make informed decisions and manage risk