Skip to main content Skip to navigation

Compliance & Assurance Framework

The Compliance & Assurance Framework

Developed to improve consistency in compliance management and reduce the risk of non-compliance institution-wide, the Compliance & Assurance Framework provides a macro-level structure for approaching compliance and assurance. The basic principles of the Framework can be adapted to suit all areas of compliance and support good compliance management.

Five key pillars underpin the Framework and support compliance leads to review existing compliance management by asking: Have we got all of this in place? Is it operating effectively? ​

Compliance & Assurance Framework - 5 key pillars

Developing the right digital infrastructure to support people in effectively managing their compliance underpins the Framework and is a key enabler for each pillar. Getting this right will mean that people have the tools to enable them to follow a process effectively. Systems is an area of challenge for many areas of compliance and one we are seeking to address, particularly where the processes are in place, but not necessarily the supporting systems around them to make doing compliance easy and effective.

The Compliance and Assurance Framework was approved by the University Executive Board and the Audit and Risk Committee in 2022.

Why do we have a Compliance & Assurance Framework?

The Compliance & Assurance function was established within the Secretary to Council's Office in September 2022. Prior to this, a 12-month project mapped out all the compliance obligations across the institution to:

  • gain better central understanding of the breadth of compliance obligations that exist across the institution;
  • identify any significant gaps that might need to be addressed;
  • develop a Compliance & Assurance Framework to provide greater consistency in how Warwick manages compliance across different areas.

The Compliance & Assurance Framework, developed during that project and signed off by the University Executive Board and Audit & Risk Committee, forms the basis of the work now undertaken within the Compliance & Assurance team, who are working to implement this Framework across the institution.