Owner: Ben Aston and Sarah Wartnaby, Compliance Managers SCL Compliance team Accountable Exec: Kate Lou Version: 1.0 Date: 07/09/2023 Approved by Board: 07/09/2023
CONTENTS
1. Introduction 2. Achieving Compliance Excellence 3. Building a Culture of Compliance: 4. Robust Compliance Monitoring and Reporting 5. Enhancing Stakeholder Confidence
6. Continuous Improvement 7. Audit Policy and Procedure o Audit process overview o
Funding Assurance Audits (Internal and External) o Regular Audit Schedule o Risk Reduction and error rating o Audit Findings Reporting o Compliance errors and risk responsibility
8. Responsibility: 9. Review and Revision 10. Conclusion
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