This Primary Compliance Register sets out the general compliance categories for an organisation on a high-level basis. The register can then be expanded to a register for each category of compliance, such as data security and privacy, product safety, work health and safety, taxation, corporate governance and more.
This Primary Compliance Register is suitable for organisations of all sizes. It has pre-filled regulatory compliance categories and summary of obligations which can be customised for a specific organisation.
- Description. 1
- Access. 1
- Author 1
- Last updated. 1
- Purpose. 2
- Compliance documentation. 2
- Use of Primary Compliance Register 3
- Primary Compliance Register 4
- Instructions. 4
- Compliance ownership details. 4
- Compliance category details. 4
- Primary Compliance Register 5
- Document information. 8
A compliance register acts as a master document which contains all regulatory compliance obligations of an organisation and allows the organisation to track issues and create contingency plans as they arise. This Primary Compliance Register sets out the categories of obligations for [organisation name] and, in conjunction with the Primary Risk Register, prioritises [organisation name]’s non-compliance risks.
The Primary Compliance Register should be used together with the more detailed compliance registers set out in the next section.
[Organisation name]’s detailed legislative and regulatory obligations are contained in the following compliance registers:
[Note: The following registers are examples only. It is up to your organisation to identify and implement the best approach to monitoring compliance within your organisation’s compliance management framework]
- WHS Compliance Register
- Consumer Protection Compliance Register
- Finance and Tax Compliance Register
- Data Security Compliance Register
- Facilities and Environment Compliance Register
- Industrial Relations Compliance Register
- Information Systems Compliance Register
|Information category||Description||Contained in|
|Business details||Business name||Compliance register|
|Business location||Compliance register|
|Business unit or department||Compliance register|
|Compliance owner||Name||Compliance register|
|Reports to||Compliance register|
|Regulatory obligation details||Compliance register ID||Compliance register | Risk register|
|Compliance name||Compliance register | Risk register|
|Compliance category||Compliance register | Risk register|
|Compliance description||Compliance register | Risk register|
|Relevant policies and procedures||Compliance register | Risk register|
The register set out in the next page is a copy of the Primary Compliance Register which is kept as a Microsoft Excel document. The register provides a high-level overview of the regulatory obligations of [organisation name].