Regulatory & compliance strategy · 02
Compliance universe and calendar
Every Act and subordinate instrument that binds the organisation, mapped to the obligations it creates, the owner of each, the control, the evidence and the frequency, plus a compliance calendar…
Every Act and subordinate instrument that binds the organisation, mapped to the obligations it creates, the owner of each, the control, the evidence and the frequency, plus a compliance calendar that puts each obligation on a date.
Public entities, regulated businesses and any organisation whose board has asked “what are we actually obliged to do?” and not received a complete answer.
A universe that lists statutes without naming an owner for each obligation cannot be used, and will not be. The owner column is the document.
The law it sits under
The framework this work answers to.
A compliance universe is the register of every obligation the organisation carries, traced to its source. For a public entity the spine is the enabling Act, the PFMA and the Treasury Regulations; for a municipality the MFMA; for a company the Companies Act, with the sector regimes layered on top. The register is only useful if each line carries four things: the statute and section, the obligation in plain words, the person who owns it, and the evidence that proves it was met.
How the engagement runs
What you are committing to.
The universe is built from the organisation’s actual activities and then converted into a board-year calendar: what falls due, in which month, to whom it is reported and what the evidence is. The calendar is sized for an agenda pack rather than a compliance department, because in most of the organisations this practice serves there is no compliance department.
A universe nobody maintains is worse than none, because it creates a record that the obligation was known and not met. The register is built with a review cycle and an owner per line, or it is not built.
Related pages, tools and documents
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