What is the purpose of a Legal Compliance Audit?

Legal Compliance Audits provide an overview of an organization's compliance status with Occupational Health and Safety at a given time.

A legal compliance audit aims to identify and resolve non-conformities (opportunities), non-compliances, and risk areas associated with legal compliance that may adversely affect an organization, its management, and its employees.  

Additionally, it ensures that a company's board of directors and senior management have adequate internal controls to manage the risks associated with legal compliance.

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

Even though there is no explicit requirement in South African legislation that a Legal Compliance Audit be conducted, it seems clear that an organization must comply with applicable legal requirements, except for the Construction Regulations.

The legal compliance of an organization is assessed through a Legal Compliance Audit.  Organizations seeking certification to ISO 14001 and ISO 45001 are required to conduct legal compliance audits.

How often should Legal Compliance Audits be conducted?

Legal Compliance Audits are at the discretion of the organization since there is no legal requirement for them and the certification standards such as ISO 14001 and ISO 45001 do not specify a frequency. However, if the organization operates in the construction sector, a monthly audit is mandatory.

Depending on the industry, PConnect conducts Legal Compliance Audits every six months, annually, every two years, and every three years. Legal Compliance Audits are performed by PConnect once a year for the industries it serves.

Who is responsible for conducting a Legal Compliance Audit?

For the best results, a Legal Compliance Audit should be conducted by an experienced legal professional in the compliance area being audited, for example, occupational health and safety.

Audit Process

1. The preparation of audits off-site
2. An opening meeting has been scheduled
3. Become familiar with processes and systems
4. Conduct interviews with key individuals
5. Examine the documentation
6. Conduct a physical examination
7. Verification of final documents, if necessary
8. Meeting of the Closing Committee
9. Prepare a report on findings (off-site)

Audit Protocols

• Standards: The Legal Register compiled by PConnect is consistent with the scope and requirements of the company.
• Physical inspections, the review of documentation, and interviews provide evidence for the findings and comments.