Auditing and Monitoring

Sample Compliance Auditing and Monitoring Plan

Multiple functions within an organization need to audit and monitor their compliance with regulatory requirements. For example, human resources will need to audit their compliance with wage and hour laws and environmental health and safety regulations. Below is a model plan of audit and monitoring activities that typically involve corporate compliance. The specific responsibility for different types and areas of audit will vary from one organization to another, so this should be used only as a guide. Adjust it as needed to more accurately reflect the needs of your organization.

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