Compliance Documentation

What is Compliance Documentation?

Compliance documentation encompasses the artifacts that prove an organization’s alignment with regulatory, contractual, and internal control requirements. This includes policies, procedures, test results, reports, workflows, and audit evidence. In TPRM, structured documentation helps validate third-party controls, track exceptions, and support regulatory audits involving external service providers.

FAQs

Why is documentation central to compliance programs?

It provides verifiable proof that controls are implemented and maintained.

How does documentation support vendor assessments?

It enables reviewers to confirm how third-party controls operate in practice.

Is version control important?

Yes, maintaining history and updates ensures auditability and consistency.