Compliance

The Compliance domain models external, regulator-driven requirements and how an organization shows that it meets them. It gives an auditable path from a requirement, through the clause-level obligations it is made up of, to the internal policies that address it and the statements of compliance that evidence it.

It has two record types:

• Compliance requirement: a formal requirement from a regulator, professional body or standards body, made up of one or more obligations.
• Statement of compliance: an organization's approved declaration that it has met one or more requirements, with the evidence relied on.

Schemas: compliance-requirement.schema.json, statement-of-compliance.schema.json
Specification: JSON Schema Draft-07

How it fits

Question	Where it is answered
What does the source say, clause by clause?	Obligations in the Semantic Library
Which obligations make up a requirement we are audited against?	obligationIDs on the compliance requirement
Who issued it?	regulatoryBodyExternalOrgID, an External Organization record, so any regulator in any jurisdiction can be represented
Which policies address it?	implementingPolicyIDs, linking to the Policy domain
How do we show we meet it?	Statements of compliance, with their evidence
What must we publish?	mandatoryDisclosureIDs, linking to Public Reporting

The draft of this domain (25 August 2025) fixed the issuing body to a list of four Australian bodies. That list is replaced by a reference to an External Organization record. The draft's requirement and the Semantic Library's obligation are reconciled: a requirement is made up of obligations, and does not restate them.

A statement of compliance is made by the organization about itself, under its own authority. A reference dataset of obligations never produces one.

Compliance Requirement

Attribute	Type	Description	Required
complianceRequirementID	String	Unique identifier for the requirement, e.g. CREQ-VALMIN-3.1	✓
title	String	Short, descriptive name of the requirement	✓
description	String	The intent of the requirement
source	Object	The external document and section the requirement comes from	✓
source.instrument	String	The code, standard or instrument, e.g. VALMIN Code 2015 (required)
source.citation	String	Section or clause, e.g. Clause 3.1 (required)
source.url	String	Link to the authoritative text
regulatoryBodyExternalOrgID	String	External Organization record for the body that issued or enforces the requirement
regulatoryBodyTitle	String	Name of the body in regulatoryBodyExternalOrgID, for readability
jurisdiction	String	Jurisdiction in which the requirement applies
validityPeriod	Object	When the requirement is in effect. Omit endDate when it has no set end
validityPeriod.startDate	Date	Date the requirement takes effect (required)
validityPeriod.endDate	Date	Date the requirement ceases to apply
status	Enum	Whether the requirement currently applies: proposed, pending, inForce, amended, superseded, repealed, withdrawn
obligationIDs	Array[String]	Clause-level obligations (semantic library) that make up the requirement	✓
implementingPolicyIDs	Array[String]	Internal policies (Policy domain) that address the requirement
statementOfComplianceIDs	Array[String]	Statements of compliance that evidence the requirement has been met
mandatoryDisclosureIDs	Array[String]	Disclosures (Public Reporting domain) that the requirement calls for
orgUnitTitle	String	Organization unit accountable for meeting the requirement
orgUnitID	String	ID of the organization unit named in orgUnitTitle
riskLevel	Enum	Consequence of failing the requirement: low, medium, high, critical
reviewFrequency	Enum	How often the requirement and its evidence are reviewed: continuous, realTime, hourly, daily, weekly, monthly, quarterly, semiAnnually, annually, eventDriven, onDemand, adHoc

{
  "complianceRequirementID": "CREQ-VALMIN-3.1",
  "title": "Mandatory Competent Person statement",
  "description": "A public report must be based on, and fairly reflect, the work of a Competent Person.",
  "source": {
    "instrument": "VALMIN Code 2015",
    "citation": "Clause 3.1"
  },
  "regulatoryBodyExternalOrgID": "EXT-AUSIMM",
  "regulatoryBodyTitle": "The Australasian Institute of Mining and Metallurgy",
  "jurisdiction": "AU",
  "validityPeriod": {
    "startDate": "2016-01-30"
  },
  "status": "inForce",
  "obligationIDs": [
    "OBL-VALMIN-3.1"
  ],
  "implementingPolicyIDs": [
    "POLICY-CP001"
  ],
  "statementOfComplianceIDs": [
    "COMP-STATE-001"
  ]
}

Statement of Compliance

Attribute	Type	Description	Required
statementOfComplianceID	String	Unique identifier for the statement, e.g. COMP-STATE-001	✓
title	String	Short name of the statement	✓
description	String	What the statement declares
authorTitle	String	Person or role who prepared the statement	✓
authorStakeholderID	String	Stakeholder record for the author
approverTitle	String	Person or role who approved the statement
approverStakeholderID	String	Stakeholder record for the approver
approvedDate	Date	Date the statement was approved	✓
periodCovered	Object	Period the statement covers
periodCovered.startDate	Date	Start date (required)
periodCovered.endDate	Date	End date (required)
documentStatus	Enum	Approval state of the statement: draft, inReview, approved, superseded, obsolete
complianceRequirementIDs	Array[String]	Requirements the statement addresses	✓
complianceStatus	Enum	Compliance state the organization declares against those requirements: compliant, partiallyCompliant, nonCompliant, underReview, exempt, notApplicable
evidence	Array[Object]	Records relied on as evidence: policies, processes, controls, information assets, reports
evidence[].domainType	Enum	Domain of the referenced entity, from the shared domain list (domainType in common.schema.json) (required)
evidence[].entityID	String	Unique identifier of a record within its domain, for example "CAP-001" or "MKT-ENTSW-001" (required)
evidence[].title	String	Name of the referenced entity, for readability
publicReportID	String	Public report the statement is published in, if any

{
  "statementOfComplianceID": "COMP-STATE-001",
  "title": "Competent Person statement, Q3 2025 valuation",
  "authorTitle": "Anna L., Principal Geologist",
  "authorStakeholderID": "STK-ANNA-L",
  "approvedDate": "2025-10-15",
  "complianceRequirementIDs": [
    "CREQ-VALMIN-3.1"
  ],
  "complianceStatus": "compliant",
  "evidence": [
    {
      "domainType": "publicReport",
      "entityID": "PR-VAL-001",
      "title": "Technical Assessment & Valuation Report"
    }
  ]
}