Audit Planning
Data Collection
Analysis and Reports
Corrective Actions
Follow-up and Monitoring
Audit Planning
The compliance audit team defines the scope of the audit, identifies the areas to be audited, and prepares the audit plan. This may include details such as the audit objectives, criteria, timeline, and resources needed. Compliance management software can be used to create and manage the audit plan.
Data Collection
The audit team collects all data and evidence related to the areas being audited. This may involve interviews with employees, review of documentation, and testing of processes and systems. Compliance management software helps to collect and manage the audit data.
Analysis and Reports
The audit team now analyzes the data collected to identify areas of non-compliance. The audit team prepares a report of its findings and makes recommendations for correction or improvement. Compliance management software is used to generate audit reports and to track the status of the recommendations.
Corrective Actions
Based on the audit report, the organization develops and implements corrective actions to address the non-compliance issues identified. Compliance management software can help to track and manage corrective actions and to monitor progress towards completion.
Follow-up and Monitoring
The audit team may need to follow up to ensure that corrective actions are effective and that the organization remains compliant. Compliance management software can be used for follow-up activities, to track and monitor audit findings, corrective actions, etc.
