Compliance Auditing in Mumbai

Compliance Audit by Ikon Consultancy Services

All International Management Standards require to conduct a compliance audit using internal auditors. We review the documents before internal audits and assist our clients in performing the audits by conducting Internal Auditors Training for designated employees.

Internal Auditor Certification: The International Management standards require regularly scheduled internal audits of the Management System. It further states, personnel conducting the required audits must be properly qualified to perform the audits.

This training session is conducted to demonstrate to the participants how audits are planned and performed. Attendees are taken through each clause of the standard, explaining what it is an auditor should look for and audit against. The certification process includes a case study as well as having the attendees perform a live audit of your organization. This not only exposes the participants to real world application but also fulfills the standards requirement for conducting an internal audit.

  • Opening Meeting - An introductory section, stating the audit scope, explaining the responsibilities, need and the audit plan.
  • Performing the audit - The auditors can perform the above using various techniques such as interviews, conducting questioning sessions etc., The auditor has to verify all the documents that are prepared and also see that they are implemented properly.

The auditors have to verify whether

  • The relevant procedures are Available.
  • The procedures are Understood.
  • The relevant procedures are Applied.
  • The relevant procedures are Adequate.
  • Recording non-conformities - Whenever there occurs a 'no' in the checklist, the auditor has to record them.
  • Closing Meeting - Reporting audit results and explain the recorded non-conformities.