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Legal Compliance Audit

Legal compliance is understandably a key priority for any organisation. Failure to comply with health and safety, environmental and quality requirements can result in fines and, in extreme circumstances, even imprisonment.

Exoro Consulting offer legal compliance services, both as a standalone offering to clients with specific requirements and as part of wider auditing or systems management work.

Do you want to ensure that you remain legally compliant as a responsible employer? Let’s Talk

What are an employer’s legal responsibilities?

At the most basic level, health and safety law dictates that employers must:

  • Assess any risks that may present themselves to employees, customers or anyone who could be affected by a business’s activities
  • Plan and continuously review the preventative and protective measures implemented within a business
  • Have a written health and safety policy where there are five or more people in a business
  • Provide access to competent health and safety advice

Should a business fail to remain legally compliant it can be legally liable for any accidents or mistakes that take place in line with business activity.

Why do I need an independent internal audit?

An internal audit is the only way to ensure that the processes, procedures and standards within an organisation are assessed objectively and without bias. By employing someone who is impartial and not immersed in day-to-day business, it is also more likely that mistakes can be spotted.

Identifying opportunities to make improvements can be hugely beneficial to businesses and avoid prosecution through failure to meet legislation. Regular independent audits are advisable both for those businesses looking to get certificated for the likes of ISO 9001, IS0 14001 and OHSAS 18001, and for organisations simply needing to maintain and improve standards.

What does an internal legal compliance audit involve?

As with all audits, proving legal compliance requires meeting the demands of a specific checklist and adhering to accepted standards. Broadly speaking, legal compliance can be evaluated across:

  • Health and safety
  • Environment
  • Labour
  • Corporate governance
  • Data security

Legal compliance auditing with Exoro Consulting

The internal auditing of legal compliance can be offered on both an individual basis and as part of a wider service offering from Exoro Consulting. Clients who employ our team in management systems, principal designer or competent person roles can expect legal compliance auditing to be an integral part of the service we provide.

Whether it is the implementation of new quality processes and procedures, meeting health, safety or environmental requirements, or ensuring that the pre-construction phase of a building project is rolled out in line with current legislation.

Not all auditors are created equal

The quality of any audit relies on the skill and aptitude of the auditor themselves. While a client will generally be asked to define the criteria for an audit, we believe in the importance of supporting the organisations we work with, so that they can gain the most from every audit they undertake.

Exoro Consulting not only look to assess the processes and systems within your business but also develop a deeper understanding of any challenges and weaknesses within an organisation.

Ahead of a legal compliance audit, we will arrange a meeting with the relevant personnel within your business to agree the scope of the work and create a schedule for the auditing process. Once the audit is complete we provide a comprehensive list of any corrective actions required – steps that should be taken to eliminate any problems that have been found.

Depending on the scale of the improvements required in a business, we may recommend a further internal audit to ensure legal compliance.


Is your organisation ready for a legal compliance audit?


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