Compliance Logs & Evidence Collection Policy

Compliance Logs & Evidence Collection Policy

1. Purpose

To establish a consistent and reliable system for documenting compliance activities and collecting supporting evidence, ensuring accountability, traceability, and readiness for audits and regulatory inspections.

2. Scope

This policy applies to all departments and employees responsible for maintaining compliance with internal policies, legal regulations, and contractual obligations.

3. Compliance Logs

• All compliance-related activities must be recorded in designated logs or systems.

• Logs should capture:

  • Date and time of activity

  • Description of the activity or compliance check

  • Personnel involved

  • Outcomes or findings

  • Follow-up actions, if applicable

4. Evidence Collection

• Supporting evidence must be collected and stored securely to validate compliance activities. This includes but is not limited to:

  • Reports

  • Certificates and licenses

  • Inspection records

  • Photographs or videos

  • Correspondence (emails, memos)

  • Meeting minutes

  • Training attendance sheets

5. Documentation Standards

• All records and evidence must be accurate, legible, and stored in a retrievable format.

• Digital evidence should be backed up regularly according to the company’s data management policy.

• Confidential or sensitive information must be handled and stored in compliance with data protection requirements.

6. Retention Period

• Compliance logs and evidence must be retained for a minimum period as specified by relevant laws, regulations, or company policy (typically 5 to 7 years).

• After the retention period, records should be securely disposed of or archived following the document retention policy.

7. Responsibilities

• Employees: Maintain accurate logs and submit required evidence promptly.

• Supervisors/Managers: Review compliance logs and evidence for completeness and accuracy.

• Compliance/Quality Assurance Team: Conduct audits to verify compliance and manage evidence repositories.

8. Audit and Review

• Compliance logs and evidence will be periodically reviewed through internal and external audits.

• Discrepancies or gaps must be addressed immediately with corrective actions documented.

9. Non-Compliance

• Failure to maintain compliance logs or provide required evidence may result in disciplinary action and impact regulatory standing or contractual agreements.