Regulatory Compliance policy template
A comprehensive framework for meeting your legal obligations across employment law, WHS, privacy, anti-discrimination and industry-specific regulations. Essential for demonstrating due diligence and protecting your organisation.
Regulatory compliance policy
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Why regulatory compliance is non-negotiable
Australian businesses face an increasingly complex web of federal and state regulations. From Fair Work employment standards to WHS laws, privacy obligations and industry-specific requirements, non-compliance can result in substantial penalties, litigation and reputational damage.
Directors and senior managers have personal obligations to exercise due diligence in ensuring their organisation complies with relevant laws. A robust regulatory compliance policy demonstrates that you have taken reasonable steps to understand and meet your legal obligations.
Without a documented compliance framework, businesses struggle to systematically identify requirements, assign accountability, monitor performance and respond to breaches. This template provides the foundation for effective compliance management.
Key elements of a compliance policy
What your Regulatory Compliance policy should cover
Fair Work Act compliance
Framework for meeting obligations under the Fair Work Act including minimum entitlements and workplace rights.
WHS legislation requirements
Commitment to Work Health & Safety laws and maintaining safe workplace standards.
Privacy Act obligations
How your organisation protects personal information under Australian privacy law.
Anti-discrimination laws
Ensuring compliance with federal and state anti-discrimination legislation.
Industry-specific regulations
Requirements unique to your industry such as licensing, certification and sector rules.
Compliance monitoring and auditing
Systems for tracking, measuring and verifying ongoing regulatory compliance.
What's included in this template
Comprehensive coverage of regulatory requirements
Purpose & scope
Why regulatory compliance is critical and who must comply.
Policy statement
Commitment to meeting all legal and regulatory obligations.
Regulatory framework
Overview of applicable federal, state and industry regulations.
Fair Work compliance
Obligations under Fair Work Act, Modern Awards and Enterprise Agreements.
WHS compliance
Meeting workplace health and safety legislative requirements.
Privacy compliance
Handling personal information under the Privacy Act 1988.
Anti-discrimination compliance
Preventing unlawful discrimination and promoting equal opportunity.
Industry-specific requirements
Sector-specific regulations, licensing and certification.
Roles & responsibilities
Who is accountable for compliance in your organisation.
Compliance monitoring
How compliance is tracked, audited and reported.
Breach management
Responding to and rectifying compliance failures.
Training & awareness
Ensuring staff understand their compliance obligations.
Record keeping
Documentation requirements to demonstrate compliance.
Review & updates
Keeping the policy current with legislative changes.
Who should use this template?
Essential for all Australian businesses
Legal disclaimer
This template is designed to reflect Australian regulatory requirements at the time of publication. It is provided as a general guide only and does not constitute legal advice.
You should review and tailor this template to suit your business, industry and specific regulatory environment. For complex compliance matters, seek independent legal or professional advice.
Regulatory sources
This template is aligned with official Australian workplace health and safety requirements.
Ready to strengthen your compliance framework?
Download our comprehensive Regulatory Compliance policy template and demonstrate your commitment to meeting legal obligations. Store this policy and track employee acknowledgements with RosterElf's HR software.
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Disclaimer
This document is a general HR template provided for informational purposes only. It is not legal advice and may not reflect the latest changes in legislation or apply to every workplace situation. RosterElf Pty Ltd and the template provider accept no liability for any loss arising from reliance on this document. Users should seek independent legal advice and customise the template to ensure it complies with all relevant laws, awards and workplace requirements.