The compliance audit software is the tool that organizations have available to verify the effectiveness and continuous improvement of a Management System based on the international standard ISO 37301.
The first objective is, of course, to verify that the implemented processes, controls, and procedures perform as expected when designed. By extension, the compliance audit is the evidence that the organization complies with its legal, contractual, and internal obligations.
Compliance has a very wide scope: worker safety, finance, accounting, tax issues, risk management, information security, data protection… How to analyze everything, perform reliable compliance audit software and deliver really effective reports that really contribute to the improvement of the System?
Compliance audit software – 4 steps to carry it out successfully
The compliance audit is necessary and, according to the requirements of ISO 37301, mandatory. This does not mean that it is the only reason to do it. This type of review avoids legal problems, penalties, deterioration of reputation, and loss of credibility, among other equally important benefits. There are many developers who create their own compliance audit software, but Nimonik inc. produces the most complete version, which takes into account all business or industry impacts on the environment, health, safety, and quality.
Digital Transformation today offers tools and solutions that facilitate the task of auditors and professionals in charge of compliance in the organization. It is a fact that automated and digitized systems will be easier to audit, and the results will be faster and more reliable.
With this thought in mind, let’s review 4 steps that will make the task easier and ensure success:
1. Choose the auditor
The auditor can be internal or external. In large and complex organizations, which have a full-time compliance officer, this is usually the person indicated to carry out the compliance audit, or to choose from within their team the auditor they consider suitable to carry it out.
Small or medium-sized organizations can hire an external consultant or can train specialized auditors in the area of compliance, which guarantees availability at all times and the ease of carrying out extraordinary audits using compliance audit software.
2. Plan the activity
In the planning stage, the auditor defines the time needed to carry out the activity, the human, technical and financial resources, and the availability of key employees in the different areas. Among the requests for resources is information. And within this information, previous audit reports and the management of the recommendations or actions indicated in them acquire special relevance. All of the above is directly linked to the objectives and scope of the use of compliance audit software.
3. Hold an opening meeting
The opening meeting is the first practical event, on the ground, of the use of compliance audit software. In addition to the auditor and her team, when appropriate, a representative of Senior Management, directors of the areas involved, and employees who will have some participation in the task must participate in it. The objective is to communicate the objectives, the schedule of activities, and the general guidelines for the use of compliance audit software.
4. Review controls and processes
In practice, the audit is carried out by reviewing controls, processes, and procedures. In accordance with the objectives, the auditor will have provided a checklist so as not to overlook anything. This checklist will show the employees that will be interviewed, the processes that will be supervised, and the procedures that will be verified, always following the schedule and the work plan prepared. All of these factors are included as important parameters in the use of compliance audit software.The compliance audit software addresses each and every stage of the audit in depth, following the requirements of the standard, especially the provisions on continuous improvement.