or “value for money” audit. financial statement audit by KPMG; periodic audits by various research sponsors; possibility of audit by Auditor General. Citation: Broader Public Sector Accountability Act, 2010, SO 2010, c 25. Legislation placing restrictions on hiring lobbyists, imposing wage restraint (freeze on base salary, bonuses, benefits and perquisites) on designated executives (employees earning $100,00.00 and more) and office holders, effective March 2012, Annual compliance reports. Complaint driven.
excluding union members. Citation: Broader Public Sector Executive Compensation Act, 2014, SO 2014, c 13, Schedule 1. & Citation: Executive Compensation Framework, O Reg 304/16. Legislation managing executive compensation; authorizes the establishment of compensation frameworks for designated employers and executives Minister may appoint accountant to perform audit Citation: Building Code Act, 1992, SO 1992, c 23. Regulates safe construction (includes renovations) and design of buildings; prescribes general building standards. Inspections by municipal officials for all projects which require building permits.
Citation: An Act respecting greenhouse gas, SO 2016, c 7. Citation: Construction Lien Act, RSO 1990, c C.30. Owner of a construction project required to hold back a certain amount from payments due to contractors to protect material suppliers and wage earners. Complaint driven. Citation: Coroners Act, RSO 1990, c C.37. Authorizes coroner to investigate deaths and to determine whether inquest is necessary. Not applicable. Citation: Dangerous Transportation Regulates the transportation of dangerous Incident driven; random inspections by Ministry of Transportation
Act, RSO 1990, c D.1. inspectors possible. Citation: Electricity Act, 1998, SO 1998, c 15, Schedule A. Regulates installation of electrical components and systems. Electrical Safety Authority monthly inspections; ongoing internal inspections of non-routine projects. Citation: Employer Health Tax Act, RSO 1990, c E.11. Regulates the collection and remittance of employer health tax. Periodic audit by government auditors. Citation: Employment Standards Act, 2000, SO 2000, c 41. Imposes minimum standards in the workplace. Complaint driven. Citation: Environmental Protection Act, Regulation of discharges of contaminants, waste management systems and Complaint driven; Ministry of the Environment inspections;
RSO 1990, c E.19. disposal sites; disposal of hazardous wastes and equipment; reporting requirements. annual report of emissions. Citation: Expropriations Act, RSO 1990, c E.26. Per the University Expropriation Powers Act, universities are authorized to expropriate land in accordance with the Expropriations Act. Not applicable. Citation: Fire Protection and Prevention Act, 1997, SO 1997, c 4. Fire safety standards for buildings and equipment. Inspections by municipal fire prevention officials; regular audit and internal testing of life safety systems. Citation: Freedom of Information and Provides access to records in the custody or the control of the University; Complaint driven; annual filing with Information
Protection of Privacy Act, RO 1990, c F.31. imposes requirements re collection, use and disclosure of personal information. and Privacy Commission. Citation: Bill 119, Health Information Protection Act, 2016, 1st Sess, 41st Leg, Ontario, 2016 (assented to 18 May 2016) SO 2016 c 6. Bill 119 amends PHIPA by doubling maximum fines for offenders, removing the limitation on prosecutions, and introducing Part V.1, which sets out rules for the provincial electronic health record. Complaint driven. Citation: Health Protection and Promotion Act, RSO 1990, c H.7. Health and safety requirements for food premises. Complaint driven. Inspections by Public Health Citation: Rights of employees and students to live, Complaint driven (Ontario
Rights Code, RSO 1990, c H.19. work and learn in environment free of illegal harassment and discrimination; obligation to accommodate on all enumerated human rights grounds. Human Rights Tribunal). Citation: Labour Relations Act, 1995, SO 1995, c 1, Schedule A. Rules, regulations and procedures for establishing bargaining rights, negotiating collective agreements and resolving disputes arising from the administration of collective agreements. Complaint driven. Citation: Liquor Licence Act, RSO 1990, c L.19. Regulations pertaining to the selling, licensing and responsible use of liquor. Spot inspections by Alcohol and Gaming Commission inspector. Citation: Requires registration of lobbyists.
Lobbyists Registration Act, 1998, SO 1998, c 27, Schedule. Citation: Ministry of Training, Colleges and Universities Act, RSO 1990, c M.19. Agreements with universities re loans, grants and awards to university students. Ontario Student Assistance Program inspections every 3 years and compliance audits if necessary. Citation: Occupational Health and Safety Act, RSO 1990, c O.1. Occupational health and safety regulations governing worker safety, use and control of hazardous chemicals and toxic substances. Workplace harassment and violence added as workplace hazards. Internal inspections by Health and Safety Committee; inspections by Ministry of Labour; complaint driven. Imposes liability on owners and Complaint driven.
Citation: Occupiers' Liability Act, RSO 1990, c O.2. occupiers of property to keep persons and property on the property reasonably safe. Citation: Ombudsman Act, RSO 1990, c O.6. Enables public to submit complaints to Ontario Ombudsman, including complaints re: universities. Complaint driven. Citation: Ontario Heritage Act, RSO 1990, c O.18. Regulations governing alteration and destruction of heritage buildings. Municipal building or demolition permit process. Citation: Pay Equity Act, RSO 1990, c P.7. Legislation intended to achieve equal remuneration for males or females where work performed is of equal or comparable value. Complaint driven.
Citation: Pension Benefits Act, RSO 1990, c P.8. Rules for registration and administration of pension plans. Annual audit required by the Financial Services Commission of Ontario performed by KPMG; annual financial report re pension plan filed with FSCO; valuation of Pension Plan every 3 years and file with FSCO. Satisfactory audit by FSCO in March 2013 Citation: Personal Health Information Protection Act, 2004, SO 2004, c 3, Schedule A. Governs health care providers and those who deliver health care services in the collection, use and disclosure of personal health Complaint driven.
information; affects researchers using personal health information. Citation: Planning Act, RSO 1990, c P.13. Controls use of land. Site plan control; issuance of building permit. Citation: Private Security and Investigative Services Act, 2005, SO 2005, c 34. Imposes eligibility, training, licensing, and record keeping requirements on security guards, including student foot patrols and AMS constables. OPP conducts spot checks – Last spot check, November 2010. investigations. Citation: Public Sector Labour Relations Transition Act, 1997, SO 1997, c 21, Schedule B. Governs issues that stem from restructuring or amalgamations in the broader public sector and establishes a regime of successor rights. Complaint driven. Disclosure of University Ministry of Finance Audit
Citation: Public Sector Salary Disclosure Act, 1996, SO 1996, c 1, Schedule A. employees who receive salaries of $100,000 or more in a calendar year. and/or targeted Inquiries. Citation: Residential Tenancies Act, 2006, SO 2006, c 17. Protection of tenants from unlawful rent increases and evictions; balances the rights and responsibilities of landlords and tenants; provides a framework within we the University provides housing to its student in housing governed by the RTA. Complaint driven. Citation: Retail Sales Tax Act, RSO 1990, c R.31. Collection and remittance of tax. KPMG reviews, typically every 2-3 years.
Citation: Safe Drinking Water Act, 2002, SO 2002, c 32. Controls and regulates drinking water systems. Complaint driven. Sexual Violence: Schedule 3: MTCU Act & O. Reg. 131/16 Citations: Bill 132, Sexual Violence and Harassment Action Plan Act (Supporting Survivors and Challenging Sexual Violence and Harassment), 2016, 1st Sess, 41st Leg, Ontario, Amends the Ministry of Training, Colleges and Universities Act and establishes requirements to help prevent sexual violence. Minister may order a survey of students relating to the effectiveness of the sexual violence policy or other related matters. Complaint driven.
Sexual Violence and Harassment), 2016, 1st Sess, 41st Parl, 2016, (assented to 8 March 2016) SO 2016, c 2, Schedule 4. Citation: Smoke-Free Ontario Act, SO 1994, c 10. Smoking prohibited inside post-secondary education institutions except in designated areas; posting of no-smoking signs; sale or supply of cigarette products prohibited to persons under age of 19. Complaint driven; inspection by health unit Citation: Technical Standards and Safety Act, 2000, SO 2000, c 16. Regulation of technical standards relating to boilers, pressure vessels, elevating devices, electrical safety, Yearly by TSSA staff and monthly checks of certain electrical
work in confined spaces. devices (elevators). Citation: Trillium Gift of Life Network Act, RSO 1990, c H.20. Governs inter vivos and post mortem gifts of body or body parts. Ministry inspections. Citation: University Expropriation Powers Act, RSO 1990, c U.3. Authorizes universities to expropriate land in accordance with the Expropriations Act. Not applicable. Citation: Payment of assessments; injury reporting. Regular audit by WSIB staff.
Workplace Safety and Insurance Act, 1997, SO 1997, c 16, Schedule A. NOTE: The University’s Foundation was wound-up with the result that the University Foundations Act is no longer applicable. FEDERAL LEGISLATION STATUTE SUMMARY OF APPLICABLE LEGISLATIVE REQUIREMENTS MECHANISMS FOR ENSURING COMPLIANCE AUDIT OR INSPECTION MY UNIT IS SUBJECT TO THIS Citation: An Act to promote the efficiency and adaptability of the Canadian economy by regulating certain activities that discourage reliance on electronic of carrying out commercial activities, and to amend the Canadian and Telecommunications Commission Act, the Competition Act, the Personal Information Regulates electronic commercial messages. Restrictions on unsolicited commercial electronic messages. Review all relationships; request express consent if necessary; maintain up-to-date database of donors, alumni, volunteers Complaint driven
Protection and Electronic Documents Act and the Telecommunications Act, SC 2010, c 23. Citation: Canada Pension Plan, RSC 1985, c C-8. Deduction and remittance of contributions, documentation. Keep informed requirements, reporting services, government websites. Compliant payroll system. CRA regular ongoing internal audits. Citation: Controlled Drugs and Substances Act, SC 1996, c 19. Controls possession and use of controlled substances. Animal Care Committee; researchers must be licensed; lab inspections; tracking requirements and storage and disposal protocol Random inspections by Public Health Agency Citation: Copyright Act, RSC 1985, c C-42. Prohibits unauthorized copying of literary, artistic and musical works. Creation of Copyright Advisory Office; adoption of Fair Dealing Guidelines; ongoing education. Complaint driven. Citation: Customs Tariff, SC 1997, c 36. Payment of appropriate customs duties, tariffs, and excise taxes. Informed by Customs Brokers Bulletin; use of licensed, certified customs broker. 2010 audit by Canada Border Services.
Citation: Criminal Code, RSC 1985, c C-46. Duty to protect members of the community from harm. Development of Campus Safety Working Group; development of safe workplace practices. Complaint driven. Citation: Defence Production Act, RSC 1985, c D-1. & Citation: Controlled Goods Regulations, Controls use of “controlled that is, goods that can be used for a military purpose. Registration with Public Works Government Services Canada; research grant application review; maintain chemical inventory, track equipment. Random inspections by Controlled Goods Directorate; complaint driven Citation: Employment Insurance Act, SC 1996, c 23. Governs matters pertaining to employee deductions, remittance of premiums and related matters. Keep informed through publications such as government payroll manual and websites. Develop policies and procedures; train staff. Regular CRA audits. Citation: Canadian Environmental Regulates control of toxic substances, effluents, and emissions. and disposal policy and procedures; monitoring heating plant emissions; Annual report of air emissions to National Pollution
Citation: Food and Drugs Act, RSC 1985, c F-27. & Citation: Health Canada, Guidance Document for Clinical Sponsors: Clinical Trial Applications, File No (Ottawa: Office of Clinical Trials, 29 May 2013). clinical trials with drugs involving humans; Health Canada approval and reporting requirements; record keeping requirements; research ethics board approval. Research Ethics Board approval, conditional on Health Canada approval. Audit Most recent Audit: 2003 Citation: Hazardous Products Act, RSC 1985, c H-3. Establish Workplace Hazardous Materials Information Systems; identify requirements for labels; Material Safety Data Sheets; employee training. Stay abreast of legislative requirements; WHMIS training program; mandated MSDS labeling stipulations; animal care protocol review process, biohazard permit review process; JH&SC inspections; biosafety inspections by Biohazards Committee. Global Ministry of Labour inspections.
Immigration and Refugee Protection Act, SC 2001, c 27. necessary legal advice. Participate in Human Resources Canada Monitoring Initiative for employers using foreign workers. Foreign Workers (payroll) Citation: Income Tax Act, RSC 1985, c 1, (5th Supp). Collection and remittance of income tax deducted from employees. Review relevant government payroll manuals; develop policies and procedures; revenue recognition audits; policy re independent contractors. Annual reporting of PA to payroll for T4 issuance; Audits by CRA and granting agencies. (charitable gifts and pension plan) Citation: Income Tax Act, RSC 1985, c 1, (5th Supp). Appropriate use and acknowledgement of charitable gifts; charity information filing; governs certain aspects of the pension plan. Processes and policies to ensure filing of tax forms; adherence to gift policy and issuance of charitable receipts in accordance with external regulatory and internal receipting policies; creation of controls to ensure timely 2011 Advancement by CRA re issuance of charitable receipts. Annual Pension Plan and Financial Statements audit by KPMG.
Safety website, Radiation Safety Officer, list serves; develop policies and procedures, training; establish Radiation Safety Committee; respond to recommendations. Nuclear Safety Commission audit. Citation: Personal Information Protection and Electronic Documents Act, SC 2000, c 5. Impacts the collection use and disclosure of personal information collected in the course of commercial (not education related) activities. Privacy policy; ongoing assessment of commercial activities; education. Complaint driven. Citation: Pest Control Products Act, SC 2002, c 28. Regulation of products used for the control of and weeds. Use external licensed agency only. Inspections by appointed inspector. Citation: Statistics Act, RSC 1985, c S-19. Reporting of student enrolment, faculty and staff data, capital projects Comply with directives to submit data. Financial Services submits annual financial information Audits by Statistics Canada.
and other information. report to CAUBO & COU, which in turn is submitted annually to Statistics Canada as an aggregated report. Citation: Transportation of Dangerous Goods Act, 1992, SC 1992, c 34. Regulations concerning transporting of certain dangerous and hazardous products. Keep abreast of legislative requirements; Transport Canada website; Hazardous Waste Disposal Procedures; Transportation of Dangerous policy; training. Internal- Environmental Health and Safety inspections. External- Audit by Canadian Nuclear Commission. Transport Canada inspection in 2011. U.S. LEGISLATIVE REQUIREMENTS STATUTE SUMMARY OF REQUIREMENTS MECHANISMS FOR ENSURING COMPLIANCE AUDIT OR INSPECTION MY UNIT IS SUBJECT TO THIS With regard to the U.S. Foundation at Queen’s Collaboration between Financial IRS random audits
University, annual filing of financial statements of both the Foundation and Queen’s. Services and Advancement; creation of controls to ensure timely filings with the IRS; professional internal advice and consultation with external subject matter experts as required; annual audits of financial statement by KPMG; KPMG reviews annual tax return. NON-LEGISLATIVE REQUIREMENTS POLICY or GUIDELINE SUMMARY OF REQUIREMENTS MECHANISMS FOR ENSURING COMPLIANCE AUDIT OR INSPECTION MY UNIT IS SUBJECT TO THIS Governs care and use of animals in research. Approval of all research protocols by Animal Care Committee, policy and SOP development, internal, Tri-annual assessment by Canadian Council on Animal Care of the animal care and use program. Annual
ongoing post protocol approval monitoring. Facility and lab inspections of all areas on campus where animals are housed or used. submission of the “Animal Use Data Form” to CCAC CURIE risk management programs Maintain liability coverage Ongoing annual CURIE risk management audits of facilities. Occasional audits of programs and services (Student events) NON-LEGISLATIVE REQUIREMENTS POLICY or GUIDELINE SUMMARY OF REQUIREMENTS MECHANISMS FOR ENSURING COMPLIANCE OR INSPECTION MY UNIT IS SUBJECT TO THIS
Citation: Ontario, Ministry of Government and Consumer Services, “Broader Public Sector Procurement Directive”, by Management Board of Cabinet (Toronto: MGCS, 1 July 2011). Goods, services, and construction valued at $100,000 require an open competitive process; consulting contracts of any value must use open competition; requires development of procurement policies and procedures Policy requires three quotes if over $10,000. One quote if under $10,000; centralized contract approval process; ongoing communication of procurement policies, procedures and code of ethics to staff Annual report indicating status, progress, and results of implementation of principles Citation: International Air Transportation Association, Dangerous Goods Regulations, 58th ed (Montreal: IATA, 2017). Guidelines for classifying and labeling dangerous shipments. Follow prescribed guidelines; and educate staff. Complaint driven. NON-LEGISLATIVE REQUIREMENTS POLICY or GUIDELINE SUMMARY OF REQUIREMENTS MECHANISMS FOR ENSURING COMPLIANCE AUDIT OR INSPECTION MY UNIT IS SUBJECT TO THIS
NON-LEGISLATIVE REQUIREMENTS POLICY or GUIDELINE SUMMARY OF REQUIREMENTS MECHANISMS FOR ENSURING COMPLIANCE AUDIT OR INSPECTION MY UNIT IS SUBJECT TO THIS Citation: The Canadian Institutes of Health Research, The Natural Sciences and Engineering Research Council of Canada, and The Social Sciences and Humanities Research Council of Canada, Agreement on the Administration of Agency Grants and Awards by Research Institutions, online: <. ca/default.asp? lang=En&n=56B8 7BE5-1> Outlines the responsibilities of grant holders and institutions and individuals who receive tri-council (NSERC, SSHRC and CIHR) research funding; addresses a number of compliance areas (human ethics, research integrity, animal care, financial). Internal controls, guidelines/policies and support; develop approved investigative protocols re research ethics; animal care, human ethics and biohazard committees. IT Services responds to requests from researchers and ethics boards and educates community about protection of personal research information; development of specific education plan for data encryption for research community. On-site financial monitoring visits every 2-3 years; complaint driven.