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.
|
Sub-CBF Code |
Sub-CBF |
Name of Business Unit or Vendor / Supplier / Outsource Partner |
Type of Dependency – Internal |
Type of Dependency – External |
Dependency Direction (Upstream / Downstream / Mutual) |
Description of the Nature of Dependency |
|
12.1 |
Compliance Monitoring |
Programme Operations Teams |
✔ |
|
Upstream |
Programme teams provide operational data, case records, and practices that are monitored for compliance with internal policies and regulatory standards. |
|
12.1 |
Compliance Monitoring |
National Council of Social Service (NCSS) |
|
✔ |
External – Downstream |
Compliance outcomes and adherence to NCSS standards are required to maintain funding eligibility and sector accreditation. |
|
12.2 |
Regulatory Reporting |
Finance & Administration |
✔ |
|
Upstream |
Financial data, grant utilisation, and expenditure records are required for accurate and timely statutory and funder reporting. |
|
12.2 |
Regulatory Reporting |
Ministry of Social and Family Development (MSF) |
|
✔ |
Downstream |
SHINE submits mandatory regulatory and programme reports to MSF to meet statutory obligations and funding requirements. |
|
12.3 |
Governance Oversight |
Board of Directors |
✔ |
|
Mutual |
Management provides performance, risk, and compliance information, while the Board provides strategic direction, oversight, and governance decisions. |
|
12.3 |
Governance Oversight |
External Legal Advisors |
|
✔ |
External – Upstream |
Legal advice informs governance decisions, risk exposure, and compliance with laws affecting SHINE’s operations. |
|
12.4 |
Policy Development & Review |
Human Resources |
✔ |
|
Mutual |
HR policies must align with organisational governance policies, while governance frameworks rely on HR to operationalise approved policies. |
|
12.4 |
Policy Development & Review |
External Consultants / Sector Bodies |
|
✔ |
External – Upstream |
Best-practice guidance and sector benchmarks support policy development, review, and continuous improvement. |
|
12.5 |
Audit and Risk Management |
Internal Audit / Risk Committee |
✔ |
|
Mutual |
Audit findings inform risk management actions, while risk assessments guide audit scope and priorities. |
|
12.5 |
Audit and Risk Management |
External Auditors |
|
✔ |
External – Downstream |
Independent audits assure regulators, funders, and the Board on financial integrity and risk controls. |
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.
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.
|
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.\\
Continuity of Care: Ensuring SHINE’s Mission Through Effective BCM |
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| eBook 3: Starting Your BCM Implementation |
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| MBCO | P&S | RAR T1 | RAR T2 | RAR T3 | BCS T1 | CBF |
| CBF-12 Governance, Compliance & Reporting |
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| DP | BIAQ T1 | BIAQ T2 | BIAQ T3 | BCS T2 | BCS T3 | PD |
To learn more about the course and schedule, click the buttons below for the BCM-300 Business Continuity Management Implementer [BCM-3] and the BCM-5000 Business Continuity Management Expert Implementer [BCM-5].
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Please feel free to send us a note if you have any questions. |
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