Compliance Management Framework



This Compliance Management Framework sets out a framework for compliance as part of an integrated governance, risk management and compliance system of the organisation, and describes the compliance functions, roles and responsibilities within the organisation.

This Compliance Management Framework is suitable for organisations of all sizes and complies with the guidelines of the International Standard for Compliance Management Systems.

Contents

  1. Purpose. 1
  2. Scope. 2
  3. Framework statement 2
  4. Compliance management 2
  5. Compliance planning. 3
  6. Compliance management 4
  7. Compliance monitoring. 4
  8. Compliance improvements. 5
  9. Document information. 6

Purpose

The purpose of this Compliance Management Framework (Framework) is to:

  1. provide an overview on the structure of [Organisation name]’s governance, risk management and compliance functions, roles and responsibilities;
  2. provide an overview of all related policies, procedures and governance, risk and compliance management-related documentation; and
  3. provides an integrated approach to governance, risk management and compliance within [Organisation name].

This Compliance Management Framework must be read in conjunction with the following documents:

  1. Compliance Organisational Structure
  2. Compliance Management Policy
  3. Compliance Management Procedures

Scope

[Organisation name]’s compliance management system applies to [Organisation name]’s business in [business locations] and to all directors, officers, employees, consultants and contractors of [Organisation name]. This Framework extends to all current and future activities of [Organisation name], and to any new opportunities [Organisation name] may encounter from time to time.

Framework statement

[Organisation name] is committed to developing, implementing, maintaining and improving on a compliance management system in accordance with the International Standard for Compliance Management Systems.

This Compliance Management Framework is consistent with [Organisation name]’s Code of Conduct which represents and upholds [Organisation name]’s commitment to integrity, fairness and ethical behaviour.

[Note – an organisation code of conduct sets out the principles by which the organisation should be governed and describes rules of behaviours which employees are generally required to comply with.]

Compliance management

An effective compliance management system allows [Organisation name] to demonstrate a commitment to compliance and to comply with [Organisation name]’s compliance obligations.

The approach used to develop, implement, maintain and improve on the compliance management system follows the International Standard Plan Do Check Act (PDCA) model, which is adopted by [Organisation name] for all other management systems implemented within [Organisation name].

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