Compliance Management System
A compliance management system is the software and process an organisation uses to run its obligations in one place, covering training, policy sign-off, records, incidents and risk. It replaces scattered spreadsheets and inboxes with a single record of who was trained, who acknowledged which policy, and what happened when something went wrong.
The recognised benchmark is AS ISO 37301:2023, “Compliance management systems”, which Standards Australia adopted identically from ISO 37301:2021 in February 2023. It sets out requirements for establishing, evaluating and improving a compliance management system, and applies to organisations of any size across the private, public and not for profit sectors. Certification is voluntary, but the structure it describes is a fair test of whether a system is doing real work or simply storing files.
In an Australian workplace, the parts that earn their keep are:
- Records management, so completion and acknowledgement can be produced on request rather than reconstructed later
- Workplace policies that are current, distributed and signed off, not sitting unread on a shared drive
- Incident management, so reports are captured, triaged and closed with an audit trail behind them
- Reporting a board or an auditor can read without someone running a manual data pull first
Records are where organisations most often come unstuck. Section 535 of the Fair Work Act requires an employer to make and keep prescribed employee records for 7 years, legible, in English and readily accessible to an inspector. Failing to produce them is a civil remedy provision in its own right, separate from whatever the underlying issue was. A system that cannot answer “show me” quickly is not doing the job. For the wider framework, see AS ISO 37301:2023 from Standards Australia. Obligations differ across states and territories and change over time, so treat this as general information rather than legal advice.
Posts tagged here cover choosing, implementing and getting value out of one. To see how the pieces fit together, look at Sentrient’s compliance management system and the compliance training courses that run inside it.
Why Are So Many Australian Companies Switching to Sentrient?
Discover why many Australian businesses are switching to Sentrient for simplified compliance management. Explore our all-in-one system with training, policy templates, incident reporting, and more. Try a free demo today! Compliance shouldn’t be complicated. For many businesses, keeping up with regulatory requirements, training, and maintaining a safe work environment can be a never-ending challenge. That’s […]
What Is A Compliance Management System?
Have you ever wondered how large organisations manage to stay on top of countless rules, regulations, and industry standards? The answer lies in having a robust compliance management system. Whether you’re running a small business or working in a large corporation, understanding compliance management is crucial in today’s highly regulated business environment. In this comprehensive […]
Streamline Compliance With Our Compliance Management Software
Compliance management is one of the most important functions of running a business. When done right, it can safeguard your business against many non-conformance risks and penalties. But, managing compliance in modern markets where regulations change frequently is a challenging task. To save valuable time, prevent duplication of work, and avoid penalties for non-compliance, businesses […]
Is An HR Policy Builder Integral To Compliance Management Software?
Workplace policies are an important part of any organisation’s governance, risk management, and compliance (GRC) strategy. Compliance cannot be guaranteed without implementing the right policies and procedures in workplaces. Businesses across industries are required by law to create and deploy such policies. Generally, they are introduced as part of an employee’s induction process and re-deployed […]
What Are The Important Compliance Management System Components
The success of your business and the safety of your people largely rely on the process of compliance and risk management. Irrespective of the type and size of your business or industry, you are obligated to comply with a list of laws. Without the right systems in place, you will increase the risks of non-compliance […]
10 Bullying Personality Archetypes in the Workplace and How To Stop Them
Bullying doesn’t stop in school. In fact, one might say that some of the most challenging individuals in the workplace have learned bullying from a young age. Remember that kid who used to tease you, push you around or even encourage others not to play with you in the schoolyard? Well, 30 years on, they […]
I’ll Take A Pint Of COMMON SENSE With A Dash Of COMPLIANCE
Ahhh.. Now, that is refreshing. These days, within Australian workplaces, there seems to be far too much workplace COMPLIANCE and far too little COMMON SENSE. What organisations are bucking the trend? The organisations that are bucking the trend are those businesses that regularly appear in the list of The 100 Best Places to Work in […]
Step #3 Have The Right Training And Policies In Place To Safeguard Against Successful Claims Of Legal Liability
Regardless of your leadership credentials, employee engagement scores or long-standing reputation of your business, breaches in safety, invasion of privacy and workplace incidents such as bullying, harassment and discrimination can happen. In fact, in today’s business environment, it is no longer a case of if but when. However, an incident such as bullying, harassment, or […]
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