Human Services Quality Framework
Standard 1 (Governance and Management)
Insert name of organisation
Policy: Regulatory Complaince
Policy number:
Date adopted:
Authorised by:
Date last reviewed:
Reviewed by insert name
Date of next review:
of officer, position title
Refer to Section 6 below for information on the process for policy review.
Policy context: This policy relates to:
Human Services Quality Framework
Standard 1: Governance and Management
Indicator 1. The organisation has accountable and
transparent governance arrangements that ensure
compliance with relevant legislation, regulations and
contractual arrangements.
Other standards
Insert other accreditation systems that apply
Legislation or other requirements
Insert legislation that applies
1. Purpose: Why do we have a regulatory compliance policy?
As a funded service, and employer, insert name organisation has a range of legislative,
regulatory and contractual requirements with which we must comply. These requirements
also change over time, so it is important that we have processes to keep abreast of these
changes and regularly review, check and update policies and practice to maintain
compliance. This policy guides those processes and assists us to demonstrate compliance
when required, and ensure that relevant stakeholders are kept informed of any changes
You may wish to write your own purpose statement for your organisation. Otherwise, refer
to section 1 of the regulatory complaince policy template guide for questions to consider
when customising this section.
2. Scope
This policy will apply to indicate which services, stakeholders and staff the policy will
apply to.
Are there any limits or conditions on the way the policy applies?
Refer to section 2 of the regulatory compliance policy template guide for questions to
consider when customising this section.
3. Policy statement: Our commitment
Insert organisation name is committed to maintaining compliance with all regulatory,
legislative and contractual requirements.
Specifically, we will:
What will your organisation do to implement this policy? List your actions
below
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Human Services Quality Framework
Standard 1 (Governance and Management)
Your organisation may wish to develop its own policy statement. Otherwise, refer to section
3 of the election of governing body policy template guide for questions to consider when
customising this section.
4. Procedures
Your organisation may wish to develop its own statements about its procedures. Otherwise,
refer to section 4 of the election of governing body policy template guide for examples to
consider when customising this section.
4.1 Identifying relevant requirements and monitoring changes
Identify who is responsible for identifying relevant legislative, standards, or
funding requirements and monitoring changes?
List sources of information you typically use to monitor requirements and changes
List any key legislation, standards or guidelines your organisation is required to
comply with.
Refer to section 4.1 of the regulatory compliance policy template guide for examples to
consider when completing this section.
4.2 Responding to changes in requirements
Identify who is responsible for determining if changes to policies, procedures,
practice, etc is required, or other actions to be taken?
Outline the process for making these changes and gaining necessary internal
approvals
 For changes to policy and procedures (or refer to your Information
Management policy)
 For replacement of equipment or data systems, etc.
 For staff information and/or training regarding new or changed
requirements
 For client information about changes to services, procedures and
requirements.
Refer to section 4.2 of the regulatory compliance policy template guide for examples to
consider when completing this section.
4.3 Monitor and Review Changes
Provide details of how and when you will review any changes to ensure that they
have the intended outcomes and meet regulatory requirements.
Are there any external processes (such as auditors, funder reviews, etc.) which
also monitor your organisation’s compliance with certain regulatory requirements?
How and when do these occur?
Refer to section 4.3 of the regulatory compliance policy template guide for examples to
consider when completing this section.
5. Other related policies and procedures
Documents related to this policy
Related policies
List related policies
Forms or other organisational
documents
List other organisational documents
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Human Services Quality Framework
Standard 1 (Governance and Management)
Refer to section 5 of the regulatory compliance policy template guide for examples to
consider when completing this section
6. Review processes
Policy review frequency: Indicate how often the
Responsibility for review: Indicate who will
policy will be reviewed
review the policy
Review process: Describe how the policy will be reviewed
Documentation and communication: Describe how the policy decisions will be documented and
communicated
Refer to section 6 of the regulatory compliance policy template guide for examples to
consider when completing this section
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