Compliance Tools and Templates
Lee’s Compliance has drafted various generic policy templates which can be customised and implemented within your Organization.
Lee’s Compliance has drafted various generic contract templates which can be customised and implemented within your Organization.
POPIA Templates (per suite)
Lee’s Compliance has drafted a suite of generic POPIA templates which can be customised and implemented within your Organization. The suite consists of the following templates:
- POPIA Policies;
- POPIA summaries;
- POPIA guidelines;
- POPIA processing guide and data impact assessment template;
- POPIA section 18 notices per type of data subject and related information as classified;
- POPIA contract wording;
- Operator agreements;
- Trans border guidelines;
- Document storage and Archiving plans;
- Document destruction guides;
- Email disclaimers;
- Direct marketing guides and opt in forms;
- IT policy review and correlation with POPIA requirements;
- Job description of the Information officer and required delegations to deputy information officers;
- POPIA self assessment checklist(s)
Lee’s Compliance has drafted a host of generic Compliance Templates which can be customised and implemented within your Organization.
These templates include
- Compliance Risk Management Plans (CRMP)
- Risk registers
- Compliance Self Audit Checklists
- Due Diligence Checklists
- Audit Protocols and Report templates
- Compliance summaries and guidelines
which we have prepared in respect of a variety of laws, which are available on request.
Compliance Policy, Roadmap and Framework Template
Lee’s Compliance has developed a generic Compliance Policy and related Regulatory and Compliance Roadmap and Framework, which sets out certain governance related provisions as well as a plan on how one is to go about implementing a Compliance program within one’s organization, which can be adapted to suit one’s own specific needs.
The Compliance Universe is a high level listing and summary of all the Acts which are applicable to your Organization, which Universe consists of the following content:
- Act Name
- About the Law
- Applies To
- Risk Register and Rating
- Consequence of Non-Compliance
- Retention (Years)
- Impacted roles
- Impacted departments
- Compliance Status
- Responsible person(s)
The Compliance Universe will cover laws applicable to the industry or sector which your organization operates in, as well as those laws which apply specifically to your organization which as an illustration could include the following category of laws:
- financial and tax
- customs and excise
- employee, labour, industrial relations, HR and IR
- health and safety
- pharmaceutical and medical including those laws covering animal and human products
- foodstuffs and liquor
- information, e-commerce and electronic and telecommunications
- consumer protection
- anti-bribery and corruption
- product liability, quality and standards (codes and polices)
- intellectual property
- marketing and advertising
- logistics, including aviation, road transportation and operation of vehicles
- procurement and supply chain
- corporate law
- company secretarial
- corporate governance
- Mining, energy and petroleum, oil and gas
- competition and anti-trust.
*Note list not exhaustive.
Compliance Matrix – Full suite of Laws
Whilst the Compliance Universe houses a high level listing of those laws applicable to one’s organization, the Matrix of laws sets out in more detail, under separate matrices, per law, the provisions of each of these laws, including an overview of the law, risk rating, the significance of these laws, which are rated as per the organization’s specific risk methodology, who the law applies to and which employees within the organization need to comply with the law under question. Furthermore, the matrix will list the following important areas:
- Related laws
- Changes to the law
- Overview of the law
- Impact on the organization and specific compliance duties
- Regulator and contact details
- Reporting requirements and Prescribed forms
- Permit or certificate requirements and Prescribed forms
- Suggested Policies
- Risks of non-compliance and consequences of non-compliance
- Controls to ensure compliance
- Compliance program
- Penalties and fines
The full document gives the organization a good idea of the laws which apply to its operations, the impact of such laws and how it needs to comply with these laws.
Note: The Compliance Universe and the set of matrices usually go hand in hand – the Universe gives the Board and the Compliance Function a broad overview of the laws which apply to the organization and the matrices provide further detail per law and how such law applies to and impacts on the organization.
All our Templates are currently available in Generic form but can be customised on request.