Posted on 30 Mar 2021

What is a Legal Compliance Audit?


A Legal compliance audit provides a holistic overview of the status of the organisations compliance at a specific point in time. It identifies deviations from prescribed requirements, current and emerging risk mitigation control effectiveness including non-compliance findings which could impact negatively on the organisations reputation. Critical information identified during the legal compliance audit allows for the organisation to initiate effective remedial controls and corrective actions.


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


South African legislation is not prescriptive in this regard, although it goes without saying that organisations are compelled to comply with all legislated health and safety requirements. Legal compliance audits assist the organisation in determining whether compliance is being implemented and achieved within the organisation. International best practice standards may be adopted by organisations who seek such accreditation and legal compliance audits are a requirement of such standards.


Audit outcomes


Audit outcomes for the Legal Compliance Audit are set to verify the status of the organisation’s compliance with prescribed legislation within the defined scope. Further to consolidate a findings report on the current compliance status of the organisation, including recommendations and corrective actions which are used to inform management of the organisational activities. The audit outcomes are achieved through the:


Audit Procedure which includes:

  • Audit preparation (off-site)
  • Opening meeting
  • On-site walkabout
  • Interview relevant role players
  • Documentation review
  • Conduct physical inspection
  • Close out meeting
  • Report compilation (off-site)


Audit Standard & verification


The Legal Compliance Verification audit tool is compiled and applied to audits by the ENVASS Health and Safety team ensuring all aspects related to compliance are considered and verified. This tool sets the standard for the Legal Compliance audit, ensuring the outcome of a Health and Safety outcome is reached.