Compliance Audit Policy Template
Compliance Monitoring & Audit Policy Template (UK)
Approx. 5 pages · 17 sectionsBranded PDF + editable WordLast reviewed:
What is a compliance monitoring & audit policy and who needs one?
A compliance monitoring and audit policy explains how you check that your policies are actually followed: a planned internal audit programme, recording findings, corrective actions, management review and reporting. It shows buyers your documents are living controls rather than paperwork, and supports quality and governance questions in tenders.
Covers the audit programme, internal audits, findings and corrective actions, management review and reporting.
Why buyers ask for this
Buyers commonly ask how you check that your policies are actually followed. An audit policy shows you monitor compliance, act on findings and keep improving.
Who needs it
Organisations that need to show buyers their policies are monitored and audited, not just written.
Where it comes up in a PQQ, SQ or PSQ
Under the Procurement Act 2023, supplier selection uses the Procurement Specific Questionnaire (PSQ) plus each buyer's own conditions of participation and quality questions. Typical questions this policy supports:
- "How do you monitor compliance with your policies and procedures?"
- Quality questions on internal audits and corrective actions
- Governance questions on management review and continuous improvement
- – Supports quality, governance and continuous improvement questions
What's inside
The full compliance monitoring & audit policy runs to about 5 pages (including the branded cover and document control page) across 17 sections:
- Scope
- Objectives
- Compliance Officer:
- Management:
- Employees:
- Third-Party Partners:
- Key Areas for Monitoring:
- Monitoring Methods:
- Internal Audits:
- External Audits:
- Audit Process:
- Focus Areas:
- Corrective and Preventive Actions
- Training and Awareness
- Reporting and Documentation
- Monitoring and Review
- Commitment
Key points covered
- Audit programme
- Internal audit process
- Findings and corrective actions
- Management review
- Reporting
- Records
Every document carries your logo, company name, version number, approval signatory and next review date, in branded PDF plus editable Word.
UK legislation, standards and guidance it references
- ISO 9001 / 14001 / 45001 audit principles (where certified)
Excerpt preview
This policy applies to all employees, contractors, and third-party partners of EDR. It covers compliance with laws, regulations, contractual obligations, and company policies related to quality, safety, ethics, data protection, supply chain management, and environmental sustainability.
Get your compliance monitoring & audit policy in minutes
£19.99 per policy, or £199 for all 39 policies. One-off payment.
Tender deadline this week? Download in 10 minutes.
How to adapt it
- Read every section and remove anything that doesn’t reflect how your organisation actually works.
- Complete the bracketed [ADAPT] prompts with your own arrangements, people and data.
- Have the policy approved and signed by a director or equivalent, and communicate it to staff.
- Keep evidence that you follow it, and review it by the date shown.
Compliance Monitoring & Audit Policy FAQs
How often should internal audits happen?
Set a frequency based on risk: higher-risk areas such as health and safety or data protection are often audited more frequently. The policy includes a programme template you can adapt.
Do I need ISO certification to use this?
No. It follows ISO audit principles, but works equally well for businesses without certification.
What is a corrective action?
An action to remove the cause of a non-conformity so it does not recur, with an owner, deadline and check that it worked. The policy includes a corrective action log.
How much does the Compliance Monitoring & Audit Policy template cost?
£19.99 per policy, or £199 for all 39 policies. It is a one-off payment with no subscription, and you download branded PDF and editable Word files straight away.
Free guides
General information, not legal advice. Requirements differ between buyers and change over time; always check the tender documents.