[BCM] [SHINE] [E3] [BIA] [T3] [CBF] [12] Governance, Compliance & Reporting

CBF-12 Governance, Compliance & Reporting

Governance, compliance, and reporting functions are inherently interdependent across the organisation and with external stakeholders. For SHINE, these interdependencies ensure accountability, regulatory compliance, effective oversight, and organisational integrity in the delivery of services to children, youth, and families.

Understanding these relationships is essential for resilience planning, as disruptions in upstream or downstream functions can significantly impact SHINE’s ability to meet statutory, funding, and governance obligations.

This section identifies key internal and external inter-dependencies for each Sub-Critical Business Function (Sub-CBF) under CBF-12.

Table P5: Inter‑dependencies for CBF-12

The inter-dependencies identified for CBF-12 Governance, Compliance & Reporting highlight SHINE’s reliance on coordinated internal functions and trusted external stakeholders to maintain effective oversight and accountability.

These dependencies are largely mutual and cyclical, reinforcing the importance of timely information flow, clear roles, and strong communication channels. By formally recognising and documenting these inter-dependencies, SHINE strengthens its business continuity readiness, ensuring that governance and compliance obligations remain robust and sustainable even during periods of disruption.

CBF-12 Governance, Compliance & Reporting

Vital records are records that are essential for SHINE to continue operating, meet legal and regulatory obligations, protect organisational accountability, and demonstrate good governance during and after a disruption.

For CBF-12 Governance, Compliance & Reporting, these records provide the authoritative evidence needed to uphold statutory compliance, ensure transparency to regulators and funders, support decision-making by the Board and Management, and enable effective audit and risk management.

This section identifies and documents the vital records associated with each Sub-Critical Business Function (Sub-CBF) under CBF-12, including their media type, storage location, and custodianship. Proper identification and protection of these records strengthen SHINE’s organisational resilience and readiness.

Table P6: Vital Records for CBF-12

Sub-CBF Code	Sub-CBF	Description of Vital Records	Media Type	Location	In Whose Care
12.1	Compliance Monitoring	Compliance registers, regulatory checklists, compliance breach logs, corrective action plans, correspondence with regulators	Electronic (primary), Hardcopy (selected signed documents)	Secure shared drive / Compliance management system; locked filing cabinets	Compliance Officer / Senior Management
12.2	Regulatory Reporting	Statutory returns, regulatory submissions, annual reports to authorities, funding compliance reports, submission acknowledgements	Electronic (PDF, system-generated reports)	Regulatory reporting system; secure shared drive with backup	Finance & Compliance Team
12.3	Governance Oversight	Board and committee meeting minutes, resolutions, agendas, attendance records, governance charters, declarations of interest	Electronic (primary), Hardcopy (signed minutes and resolutions)	Board portal; secure shared drive; fire-resistant filing cabinets	Board Secretary / CEO
12.4	Policy Development & Review	Approved organisational policies, procedures, policy review schedules, version control logs, and approval records	Electronic (Word/PDF)	Policy management repository; secure shared drive	Human Resources / Governance Lead
12.5	Audit and Risk Management	Internal and external audit reports, risk registers, mitigation plans, management responses, and incident investigation reports	Electronic (primary), Hardcopy (audit sign-offs)	Risk management system; secure shared drive; locked cabinets	Risk Manager / Senior Management

 

The identification and management of vital records under CBF-12 Governance, Compliance & Reporting are critical to sustaining SHINE’s legal standing, organisational integrity, and stakeholder confidence during disruptions. These records ensure continuity of governance, enable timely regulatory engagement, and support informed leadership decisions when normal operations are impacted.

By clearly defining the ownership, storage, and protection of these vital records, SHINE strengthens its business continuity posture and ensures that governance and compliance functions remain effective under adverse conditions. This disciplined approach reinforces SHINE’s commitment to accountability, transparency, and long-term organisational resilience.\\

 

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CBF-12 Governance, Compliance & Reporting
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