What Is a Compliance Register?
A compliance register is a structured record of all statutory, regulatory, and contractual obligations that apply to a building, including inspection frequencies, certificate validity periods, responsible persons, and renewal dates. It is the primary tool for ensuring nothing expires, lapses, or is forgotten.
Why You Need One
- Legal obligation: Most statutory inspections have fixed frequencies. Missing one is a legal violation.
- Insurance requirement: Insurers require evidence of current statutory compliance. Lapsed certificates can void coverage.
- Due diligence: Any acquisition, lease, or audit will request proof of compliance. Without a register, you scramble.
- Personal liability: Building managers, owners, and duty holders can face criminal prosecution for compliance failures.
Typical Compliance Items
| Item | Frequency | Authority/Inspector | Certificate |
|---|---|---|---|
| Fire safety certificate/licence | Annual renewal | Fire Service (FSCD in BD) | Fire licence |
| Lift inspection | Annual (6-monthly in some jurisdictions) | Lift inspector / DIFE | Lift safety certificate |
| Electrical installation test | Every 5 years (3 for some occupancies) | Qualified electrician | EICR / electrical certificate |
| Fire alarm system test | Weekly (user), annual (specialist) | Fire alarm contractor | Test certificate |
| Sprinkler system test | Weekly flow, annual full test | Sprinkler contractor | Test certificate |
| Generator load test | Monthly/quarterly/annual | Generator service company | Test report |
| Pressure vessel inspection | Annual (insurance requirement) | Insurance surveyor | Inspection report |
| Legionella risk assessment | Every 2 years | Water hygiene consultant | Risk assessment report |
| Environmental clearance | Per project / renewal | DoE (in BD) | Environmental clearance certificate |
| Trade licence | Annual renewal | City Corporation | Trade licence |
| Building insurance | Annual renewal | Insurance company | Policy document |
| Asbestos survey | Before any refurbishment (and periodic review) | Asbestos surveyor | Survey report and register |
| PAT testing | Annual (varies by equipment class) | Qualified tester | PAT test register |
| Gas safety | Annual | Registered gas engineer | Gas safety certificate |
Register Structure
A compliance register should contain these columns as a minimum:
| Column | Purpose |
|---|---|
| Obligation/Item | What needs to be done |
| Legal reference | Which law, regulation, or standard requires it |
| Frequency | How often (annual, 5-yearly, etc.) |
| Last completed | Date of last inspection/renewal |
| Next due | Date of next inspection/renewal |
| Responsible person | Who is accountable for ensuring completion |
| Contractor/inspector | Who performs the work |
| Certificate location | Where the certificate is filed |
| Status | Current / Due Soon / Overdue / Expired |
| Notes | Any issues, conditions, or actions from last inspection |
Managing the Register
- Review monthly: Check all items due in the next 60 days. Initiate procurement/scheduling.
- Automated alerts: Set calendar reminders or CAFM alerts at 90, 60, and 30 days before expiry.
- Audit trail: Keep expired certificates on file. They demonstrate historical compliance during audits.
- Single owner: One person (typically FM Manager or Compliance Officer) must own the register.
- Annual review: Review all obligations annually. Regulations change. New equipment may create new obligations.
References
Insights & Guidance
- A compliance register tracks all statutory inspections, certificates, licences, and insurance with renewal dates and responsible persons.
- Missing a statutory inspection is a legal violation that can void insurance and create personal criminal liability.
- Monthly review: check everything due in the next 60 days. Set alerts at 90, 60, and 30 days before expiry.
- Keep expired certificates on file as historical compliance evidence for audits and due diligence.
- One person must own the register. Without clear ownership, items fall between gaps.
Compliance failures create legal liability, void insurance, block property transactions, and can result in criminal prosecution of building managers and owners. A compliance register is the simplest and most effective tool for preventing lapses.
- Expired certificates — insurance invalidated, legal violations, building closure orders.
- No register — obligations discovered only during crisis, audit, or transaction.
- No ownership — everyone assumes someone else is tracking compliance.
- Compliance register (spreadsheet, database, or CAFM module)
- Current certificates for all statutory items
- Calendar/alert system for upcoming renewals
- Annual compliance review record
- Can the FM team produce a compliance register?
- Are all certificates current (check dates)?
- Is there a visible tracking system (board, dashboard, or CAFM)?
- Do you have a compliance register?
- Who owns it?
- Are there any overdue or expired items?
- Compliance audit — health and safety consultant or legal advisor.
- Register setup — FM consultant or CAFM provider.
- Regulatory changes — legal compliance specialist.