Human Services Quality Framework
Standard 1 (Governance and Management)
GUIDE TO ELECTION OF GOVERNING BODY POLICY TEMPLATE
ABOUT THIS POLICY AREA
This policy guides how the organisation manages its compliance with relevant legislation,
standards and guidelines and any other regulatory requirements.
A written regulatory compliance policy will assist in meeting the requirements of
Standard 1 (Governance and Management), Indicator 1.
Standard 1 — Governance and Management
Sound governance and management systems that maximise outcomes for stakeholders
Indicator 1. The organisation has accountable and transparent governance arrangements
that ensure compliance with relevant legislation, regulations and contractual arrangements.
Policy checklist
The following checklist will help you check that an existing policy covers this area
adequately.
The policy should:
 say who is responsible for monitoring regulatory requirements the organisation ( or
specific services within the organisation) must comply with, and any changes to these
requirements
 identify sources of information you typically use to monitor requirements and changes
 identify which legislation, standards and guidelines your organisation/services must
comply with
 explain who decides what changes or actions are required within the organisation to
maintain compliance
 detail processes for making and reviewing changes or actions
 contain clear procedures and actions
 indicate the timing of any actions
 show when it was approved
 show when it was last reviewed.
COMPLETING YOUR REGULATORY COMPLIANCE POLICY
Using the policy template
The template provides some example statements. You can adapt these statements and
include them in your policy or write your own statements to better suit the operations and
services of your organisation.
The policy templates include red text prompts to insert information that is specific to your
organisation.
There are also instruction sections, in blue italics, such as:
Refer to the election of governing body policy template guide for questions and/or
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Human Services Quality Framework
Standard 1 (Governance and Management)
examples to consider when customising this section.
When you have completed the policy template, delete all the coloured text.
For further information on using the policy guides, refer to the information in Using
the policy templates and guides.
Guidelines for each section of your policy
1. Purpose
When identifying the purpose of the policy, consider how it might apply to the services
you provide. Some services are more highly regulated than others. Are there implications
for continued funding, service user confidence and opportunities to expand or seek new
funding? Are there consequences for non-compliance? Do you need to make specific
statements to ensure you are inclusive of particular groups, such as Aboriginal and Torres
Strait Islander peoples, Australian South Sea Islanders, people from culturally and
linguistically diverse backgrounds and people with a disability?
2. Scope
In determining the scope of this policy, consider whether there different regulatory
requirements within the organisation.
3. Policy statement
If you are adopting the policy statement in the template, consider whether there are any
additional commitments your organisation wants to make.
In identifying the actions your organisation will take to implement this policy, consider
including the following:

Identifying relevant requirements and maintaining policies and procedures detailing our
practices in relation to these requirements ( eg: Work Health and Safety)

Monitoring changes to legislation, standards, funding conditions and current practice
through membership of peak industry bodies, networking, training, and internet
research, and use of consultants/advisors with expertise in the various areas affecting
our operations.

Identifying and making any necessary changes to our existing policies, procedures,
paperwork, etc. to maintain compliance.

Ensuring those affected are kept informed. This may involve information to clients,
informing staff and may include staff training.

Maintaining an Organisational Checklist or Calendar which details routine regulatory and
compliance tasks as a guide to ensure that these tasks are completed when due.

Monitoring and reviewing changes implemented to ensure that they are, indeed,
compliant, and that there are no unintended consequences. Changes and
improvements resulting from regulatory requirements are incorporated in the
Continuous Improvement processes.
4. Procedures
The procedures describe how your organisation achieves the aims and goals you have
outlined in your purpose, scope and policy statement.
4.1 Identifying relevant requirements and monitoring changes
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Human Services Quality Framework
Standard 1 (Governance and Management)
Who will be responsible for keeping up to date with regulatory requirements – legislation,
standards and guidelines? This will possibly include more than one position, such as Service
Coordinators with regard to funding requirements and standards, HR manager for employee
responsibilities and awards.
What sources of information do you access to keep up to date?
This may include:
• Membership of specialist or general peak bodies who provide regular advice about
changes, employer bodies, etc.
• Websites or newsfeeds which provide this information.
• Communication with funding or regulatory bodies ( initiated by them or you)
List legislation and other regulatory requirements your organisation or services must comply
with. If you have multiple services with differing requirements, it may be more appropriate to
put this into a table format, with general requirements for all, then specific requirements by
service. This list would contain:
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General legislation covering a range of services ( eg: taxation, record-keeping,
incorporation)
Specific standards depending on the source of funding
Specific legislation relating to your service type ( eg: Domestic and Family Violence)
Specific program guidelines ( eg: Community Care)
Special purpose licensing (eg: Food preparation/serving)
4.2 Responding to changes in requirements
Identify who has responsibility for determining what changes or actions are required to
maintain compliance. This may include more than one position for different areas of
compliance. Are there circumstances where your organisation may seek external advice
about this?
Consider the kinds of actions or changes which may be required and describe the processes
for making changes and gaining approval. What changes or actions would require committee
consideration or approval?
Where changes to policies and procedures are indicated, the process would follow that in the
Information Management policy, and you can simple make reference to that.
Other actions may include staff information and training, or changes to routine training or
induction materials.
Explain how you will inform stakeholders about changes to requirements and operations.
Stakeholders may include staff, volunteers and board members, other agencies you work
with and clients.
It may be helpful to list common materials which may also need to be changed to ensure
consistency: forms and templates linked to policies, information brochures, agreements or
forms used for clients or staff, promotional materials.
Note if your organisation maintains an Organisational or Corporate Calendar, Checklist or
similar system which triggers at least routine regulatory tasks which need to be completed,
and identifies the person responsible.
4.3 Monitor and Review Changes
Explain how you review the changes you have made to ensure that they have achieved
compliance. Who is involved? How long after making changes are they reviewed?
List any other external checks which are routinely made for your organisation or services,
which monitor and report on compliance aspects. This may include audits or service reviews
by funding bodies, and Human Services Quality Framework audits.
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Human Services Quality Framework
Standard 1 (Governance and Management)
5. Other related policies and documents
List the other policies related to the regulatory compliance policy. The policy should be
linked to:
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performance monitoring and reporting policy
information management policy
List other related organisational documents. This is likely to include current service
agreements, licensing or compliance documents, internal and external audits, Continuous
Improvement Plan/Register and Corporate Calendar or similar.
6. Review processes
Consider how often the policy should be reviewed and the process for doing this:
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frequency of review: Most policies benefit from an annual review. The experience of
implementing the policy is used to decide which changes are necessary. Consider
reviewing your regulatory compliance policy as part of an annual review of your
organisation’s governance-related policies or, if your organisation is small, perhaps over
a three-year period. Critical incidents may prompt you to review the policy ahead of
schedule.
responsibility for the review: In most organisations, the board or management
committee would be responsible for reviewing this policy in consultation with
organisation members.
process for the review: Decide which particular staff, volunteers, external people and
organisations will provide input to the policy review, and whether clients will be involved.
decision-making process: Who will review draft changes to the policy and approve
changes? What will be the timeframe for the review process?
documentation and communication: What records of the policy review process are
needed? How will changes to the policy be communicated to staff implementing the
policy? In a small organisation, this may be as simple as noting the changes at a staff
meeting. In a larger organisation, an email memo may be needed.
key questions for the review: Is the policy being implemented? Are procedures being
followed? Is the policy clear? What has changed that may prompt a change to the
policy? Have particular stakeholders had difficulty with any aspect of the policy? Can
their concerns be resolved? How does the policy compare with that of similar
organisations?
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