Policy
Compliance, Audit, and CAPA Management Policy
This policy defines the governance framework for compliance assurance, internal audit, and corrective and preventive action (CAPA) across the organization.
- Type
- Policy
- Version
- 1.0.40
- Date
- 2026-10-28
- Owner
- Chief Compliance Officer
- Approving authority
- Governance Library Maintainer
- Classification
- Public
- Confidentiality
- Public
- Category
- Compliance Management
- Review frequency
- Annual or as required by regulatory or framework changes
- Licence
- CC BY-SA 4.0
Read the full text on GitHub (opens in a new tab)
Outline
- 1. Purpose
- 2. Scope
- 3. Governance and accountability
- 4. Policy and control statements
- 5. References and framework alignment
- 6. Compliance mapping table
- 7. Definitions
Frameworks it maps to
- ISO 37301:2021
- ISO 19011:2026
- COBIT 2019 MEA01
- Cloud Security Alliance (CSA)
- NIST SP 800-53 Rev. 5 CA
- OECD AI Principles
- EU AI Act
Related documents
- Internal Audit Standardcompliance
- Corrective and Preventive Action (CAPA) Procedurecompliance
- Data Retention Schedulegovernance
- Global Regulatory Applicability Registercompliance
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