Legal Compliance Audits

What is the purpose of a Legal Compliance Audit?

A Legal Compliance Audit offers a snapshot view of the status of legal compliance of an organisation at a particular time. A Legal Compliance Audit highlights deviations, non-compliance and risks in respect of legal compliance that could negatively impact on the organisation, its management and employees. It can also give assurance to the board of directors and senior managers of a company that sufficient internal controls are implemented to manage legal compliance risks.

Is it a legal requirement to do a Legal Compliance Audit?

Although there is no express requirement in South African legislation that a Legal Compliance Audit must be done, it is obviously a requirement that an organisation must comply with applicable legal requirements. A Legal Compliance Audit verifies whether an organisation complies with legal requirements or not. For organisations who want to obtain and maintain certification of their management systems, such as ISO14001 and ISO45001, a Legal Compliance Audit is a necessary process.

How frequently must a Legal Compliance Audit be conducted?

As there is no legal requirement prescribing this, and the certification standards such as ISO14001 and ISO45001 do not prescribe any frequency, it is up to the organisation to determine the frequency of Legal Compliance Audits. Legricon performs Legal Compliance Audits for various industries every six months, annually, every two years and every three years. The average frequency in the industries that Legricon serves is once every two years.

Who must conduct a Legal Compliance Audit

Again, there are no prescriptions in this regard, but it should be obvious that the best results will be achieved if a Legal Compliance Audit is conducted by a legal professional with experience in the field of compliance being audited, for example occupational health and safety.

Audit Objectives

To assess the extent of the facility's compliance with applicable legislation as determined by the audit scope.

To evaluate the effectiveness of the implemented management systems to ensure legal compliance within the facility.

To present a report to the Management on the current status of compliance and make recommendations to address the deviations.

To advise on support products, services and tools that may assist the facility in improving health and safety management.

Audit Process

Audit Protocols

Standard: The Legal Register compiled by Legricon.
Evidence for the findings and comments are obtained through physical inspection, documentation review and interviews.