SCL Compliance Policies and Procedures 23-24

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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