Compliance Register System

Compliance Register System Overview

The compliance records in the Compliance Register System consist of two major components:

  1. the compliance driver (A compliance driver is a regulatory or organisational requirement that the University must comply with (to meet legal obligations; to protect stakeholder interests; to protect reputation and engender trust to mitigate risk and promote operational efficiency) and any subordinate instruments; and

  2. the obligations, which stem from the driver (Obligation records describe individual requirements that arise from the compliance driver and flesh these out in more detail. They are expanded to include breach ratings that indicate where UNE is most at risk in terms of breaching its compliance obligations).

And management tools attached to each obligation. these management tools are:

  1. Tasks (the actions required to ensure an obligation is met); and
  2. Action items (attached to tasks – can either be a task which must be completed by multiple officers or components of a task).


  1. Prevent, detect and reduce undesired effects;
  2. Achieve continual improvement; and
  3. Provide an assurance that the University can achieve the desired outcome - compliance.

Each compliance record is assigned a role, being the position/user responsible for ensuring compliance. Roles are explained here.

The Compliance Register System functionality also includes:

  • Compliance assurance workflow and reporting
  • Event reporting – for reporting on and managing non-compliance/breaches and potential breaches
  • Escalation of outstanding tasks