Compliance Management System Certification Audits

Key requirements — selected themes

• Governance, compliance culture and responsibilities
• Identification of obligations and compliance risks
• Compliance objectives and operational controls
• Competence, communication and reporting mechanisms
• Investigation, monitoring and management review
• Response to noncompliance and continual improvement

High-level summary

An assessment of how the organisation identifies and manages its compliance obligations. Audits examine governance, risk evaluation, operational controls and escalation arrangements within a defined compliance management system.

Certification offers independent recognition of systematic compliance management. It does not amount to a legal opinion or a blanket declaration that every transaction, operation or organisational activity complies with all applicable laws.

Third-party certification pathway

References: [S10] · [G01] · [G02] · [G03]

• Application & scope. Define organisational boundaries, activities and the categories of compliance obligations in scope.
• Review & audit planning. Confirm eligibility, impartiality, competence and applicable rules; agree scope, audit time and programme.
• Stage 1 — readiness. Review the obligations framework, compliance risks, responsibilities and system evaluation records.
• Stage 2 — implementation. Evaluate selected compliance controls, reporting channels, investigations and corrective action evidence.
• Nonconformity resolution. Review corrections and corrective actions; verify closure or accept action plans as the applicable rules require.
• Independent certification decision. A competent function independent of the audit evaluates the evidence; certification is issued only when requirements are met.
• Surveillance. Review new obligations, significant issues, control performance and management oversight.
• Recertification. Reassess the system before certificate expiry and complete the required review and decision for a new cycle.