The compliance audit allows a company to carry out an objective and precise inventory of its regulatory obligations in a particular area or service (data protection, state of finances, working conditions, etc.). Today, the audit process is greatly facilitated by compliance audit software such as the one developed by a Montreal-based technology company, Nimonik Inc.
It is used to identify minor or major deviations in order to make corrections and ensure compliance. Different types of audits are possible.
What exactly is a compliance audit?
The compliance audit is a control and evaluation tool that allows a company or an institution to determine the level of compliance of an existing system with respect to a legal, regulatory, or normative reference.
The existing system can be:
– its sector of activity in general or one of its departments (human resources, payroll, etc.);
– the protection of personal data;
– labor conditions ;
– the environment ;
– its territory…
Why do a compliance audit: objectives and benefits
The compliance audit makes it possible to take stock of the situation and define areas for improvement. Its purpose is to verify and measure the compliance of an organization with the following objectives:
– identify risks and provide concrete solutions;
– better manage activities;
– possibly modifying practices;
– to guard against sanctions related to non-compliance.
What are the types of compliance audits?
There are several types of audits aimed at assessing an establishment’s compliance with regulations or standards. Here are two of them:
External Audit
It is led by a person outside the company and can relate to many areas:
– financial state,
– work organization,
– occupational safety, etc.
It makes it possible to detect any malfunctions or to understand an existing incident and implement improvements. The external audit can also be used to verify the compliance of a supplier’s system with the requirements of a standard or rules specific to the company.
Pre-certification audit
Also called “dummy audit” or “pre-audit”, it allows a company to do a test before the stage of the real certification or labeling, whichever is last:
– ISO9001,
– ISO14001,
– IFS, etc.
The pre-certification audit is also suitable for preparing and reassuring the actors and personnel concerned before the certification process, but also to work on identified weak points.
How to do an effective compliance audit: 3 key steps
1 – Make a documentary study and an inventory of the activities concerned
2 – Choose the type of audit information collection
The audit can be carried out in several ways and through different tools:
– Findings on the ground;
– Interviews with the actors concerned;
– Document reviews, etc.
3 – Use a service provider or equip yourself with suitable software
Many professionals (internal or external to the organization) can assist you in setting up and carrying out a compliance audit:
– independent experts,
– specialized firms,
– consulting companies…
You can also rely on specific software such as compliance audit software developed by Nimonik Inc. that provides regulatory monitoring. The compliance audit software allows you:
– to carry out regulatory research by theme (fire, cybersecurity, occupational health and safety, etc.);
– access all the regulations (decree, contracts, etc.) to be complied with;
– to have a follow-up of the legislative texts (to evolve according to the novelties);
– manage your compliance strategy;
– and put in place a compliance action plan.
Nimonik’s compliance audit software is the best answer for any company policymaker to ensure compliance with internal and external obligations because the software is compatible with the two most popular operating systems (iOS and Android) as well as a wide range of devices. It also provides no less than 2,000 free audit templates and accommodates custom templates. And finally, Nimonik’s compliance audit software enables team collaboration on a single audit result. In this way, each team member can analyze the same results and then discuss them together regarding the steps to be taken next.
