SayPro Compliance Audit Report Template

A template for conducting compliance audits, evaluating legal compliance, and suggesting corrective actions

🔖 1. Executive Summary

Provide a high-level overview of the audit objective, scope, and key findings. This section is often used by senior management and board members to quickly grasp the outcomes.

Example:

The January 2025 compliance audit focused on the adherence of procurement processes to the Public Finance Management Act (PFMA), internal SayPro regulations, and supply chain protocols. Overall compliance was rated as “Satisfactory” with key improvement areas identified in contract documentation, data protection practices, and third-party vetting.

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📌 2. Audit Details

Audit Title	January 2025 Legal & Compliance Audit
Auditor(s)	[Name(s)]
Audit Period Covered	01 January 2025 – 31 January 2025
Business Unit / Department	[e.g., Supply Chain, Legal, Procurement]
Audit Methodology	Documentation review, interviews, system testing
Applicable Laws & Policies	PFMA, POPIA, SayPro Compliance Policy, SCMR-1 Framework

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📚 3. Audit Objectives

List the key goals of the audit.

• Assess legal and regulatory compliance within the audited department
• Identify gaps or risks in current procedures and documentation
• Recommend corrective actions aligned with SayPro’s compliance framework
• Ensure proper implementation of previously issued audit recommendations

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📁 4. Scope of Audit

Clearly define what was audited and what was not within the reporting period.

Included:

• Tender and bid documentation
• Contract reviews and legal approvals
• Third-party due diligence
• Internal compliance procedures

Excluded:

• Financial audits
• Non-legal operational processes

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🧾 5. Audit Findings Summary

#	Audit Area	Findings	Compliance Status	Risk Rating	Reference
1	Contract Storage & Access	Contracts not centrally stored, increasing legal risk	Partial Compliance	Medium	CAR-1.1
2	POPIA Compliance	Missing consent forms for third-party data processors	Non-Compliant	High	CAR-1.2
3	Procurement Vetting Process	Incomplete supplier declarations in 2 of 10 reviewed bids	Partial Compliance	Medium	CAR-1.3
4	Staff Legal Training	No legal compliance refresher courses offered in Q4 2024	Non-Compliant	Medium	CAR-1.4
5	Document Retention	Document retention aligns with SayPro policy and legal obligations	Compliant	Low	CAR-1.5

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🛠️ 6. Corrective Action Plan (CAP)

Reference	Non-Compliance Issue	Recommended Action	Responsible Person	Deadline	Status
CAR-1.1	Contracts not centrally stored	Implement secure contract management system	Legal Manager	15 Feb 2025	In Progress
CAR-1.2	Missing data consents	Revise third-party contracts to include POPIA clauses	Compliance Officer	28 Feb 2025	Not Started
CAR-1.3	Incomplete supplier vetting	Introduce a supplier vetting checklist for SCM	Procurement Head	10 Feb 2025	In Progress
CAR-1.4	No legal compliance training	Schedule quarterly refresher courses	HR & Legal	01 Mar 2025	Planned

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🔍 7. Risk Assessment & Classification

Risk Category	Impact	Likelihood	Risk Score	Priority Level
Data Protection	High	Medium	12	High
Regulatory Non-Compliance	Medium	Medium	9	Medium
Operational Risk	Low	High	6	Medium
Legal Disputes	High	Low	8	Medium

Scoring: Risk Score = Impact (1-5) x Likelihood (1-5)

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📈 8. Compliance Dashboard (Optional Visual Summary)

Compliance Area	Status	Trend vs Previous Quarter
Contract Management	🟡 Partial	➡️ Stable
POPIA Compliance	🔴 Non-Compliant	⬇️ Declined
Internal Training	🔴 Non-Compliant	⬇️ Declined
Document Retention	🟢 Compliant	➡️ Stable
Vendor Vetting	🟡 Partial	⬆️ Improving

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📂 9. Attachments

• [✓] Evidence Documentation (Audit Trails, Contracts, Checklists)
• [✓] Interview Notes & Attendance
• [✓] Previous Audit Reports (for comparison)
• [✓] Policy Documents Reviewed

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✅ 10. Approval & Sign-Off

Name	Position	Signature	Date
[Auditor Name]	Compliance Auditor	__________	31 Jan 2025
[Legal Director]	Head of Legal	__________	01 Feb 2025
[Board Member]	Audit Committee	__________	05 Feb 2025