BIZOPS-29 Applicable Legal Authorities

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What is this control about?

Implementing the control of Applicable Legal Authorities is important for organizations to ensure compliance with relevant laws, regulations, and legal requirements that apply to their operations. This control involves identifying, understanding, and adhering to the legal obligations and authorities that govern the organization’s activities.

Available tools in the marketplace

 Management review Tools
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Available templates

TrustCloud has a curated list of templates, internally or externally sourced, to help you get started. Click on the link for a downloadable version:

Control implementation

Here are some guidelines to implement a Applicable Legal Authorities program:

  • Identify Relevant Legal Authorities: Start by identifying the legal authorities that apply to the organization’s operations. This includes laws, regulations, standards, industry guidelines, contractual obligations, and other legal requirements that govern the organization’s activities. Consider the organization’s industry, geographic location, and specific business operations to determine the applicable legal authorities.
  • Establish a Legal Research Process: Develop a process for conducting ongoing legal research to stay up-to-date with changes in applicable legal authorities. This may involve subscribing to legal databases, monitoring regulatory websites, attending industry conferences, and engaging legal professionals to ensure access to accurate and current information. Create a system for organizing and documenting the legal research findings.
  • Conduct a Gap Analysis: Perform a gap analysis to assess the organization’s current practices and procedures against the identified legal authorities. Compare the organization’s existing policies, processes, and controls with the requirements set forth by the legal authorities. Identify any gaps or areas of non-compliance that need to be addressed.
  • Develop Policies and Procedures: Develop policies and procedures that outline how the organization will comply with the identified legal authorities. These policies should clearly communicate the organization’s commitment to legal compliance, specify the responsibilities of relevant stakeholders, and provide guidelines for adherence to legal requirements. Consider involving legal experts to ensure accuracy and alignment with legal obligations.

What evidence do auditors look for?

Most auditors, at a minimum, are looking for the below-suggested action:

  • Legal Register or Compliance Matrix: Auditors expect to review a documented legal register or compliance matrix. This document provides an inventory of the applicable legal authorities that apply to the organization’s operations. It outlines the specific laws, regulations, industry standards, contractual obligations, and other legal requirements that the organization must adhere to. The legal register or compliance matrix demonstrates that the organization has identified and documented the relevant legal authorities.

Evidence example

For the suggested action, an example is provided below:

  • Legal Register or Compliance Matrix

You can use this template. Relevant Laws Regulation and contractual requirements

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