Primary Compliance Register



Description

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.

Contents

  1. Description. 1
  2. Access. 1
  3. Author 1
  4. Last updated. 1
  5. Purpose. 2
  6. Compliance documentation. 2
  7. Use of Primary Compliance Register 3
  8. Primary Compliance Register 4
  9. Instructions. 4
  10. Compliance ownership details. 4
  11. Compliance category details. 4
  12. Primary Compliance Register 5
  13. Document information. 8

Purpose

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.

Compliance documentation

[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]

  1. WHS Compliance Register
  2. Consumer Protection Compliance Register
  3. Finance and Tax Compliance Register
  4. Data Security Compliance Register
  5. Facilities and Environment Compliance Register
  6. Industrial Relations Compliance Register
  7. Information Systems Compliance Register

Compliance ownership details

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
  Position Compliance register
  Reports to Compliance register

Compliance obligation details

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

Use of Primary Compliance 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].

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