Digital Compliance Audit Checklists

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What is a Compliance Audit?

A Compliance audit is a systematic review of an organization’s adherence to predefined benchmarks set by a governing body. Compliance audits are performed by an auditing team to help the organization standardize processes, identify organizational gaps, and mitigate risks.

Why Perform Compliance Audits?

Compliance audits are essential for businesses to ensure that they offer the same legal requirements and cover all necessary parameters. Regular compliance audits allow organizations to achieve the following:

  1. Ensure a safe working environment - comply with government requirements and safety protocols intended to promote a secure and stress-free workspace
  2. Increase productivity - manage production downtime and boost profitability
  3. Prevent penalties - stay compliant with legal standards to avoid any legal issues and consequences
  4. Establish a good reputation - gain public trust and dominate the industry you belong to by staying aligned with industry protocols

Go Paperless for your Compliance Audit Reports

Compliance audit reports generally include the assessment of policies, practices, and risks within the organization. It involves capturing significant data and photo evidence to identify gaps between the current and the desired compliance rate. Paperwork and data re-entries can be a hassle and time-consuming for auditors who can better spend time on doing root cause analysis and actioning recommendations.

Replace your paper-based compliance audit checklists with the world’s most powerful cloud-based inspection app like iAuditor. Perform regular audits with your handheld device to easily capture photo evidence of non-compliance items. Produce real-time reports while onsite and review and compare documented data through one online dashboard.

To help you get started we have prepared 7 Featured Compliance Audit Checklist Templates that are 100% customizable and you can download them for free!

7 Featured Compliance Audit Checklist Templates

1. OSHA PPE Compliance Audit Checklist

OSHA PPE Compliance Audit Checklist is used by safety officials and supervisors to help evaluate if workers comply with safety rules when utilizing PPE. This checklist contains 17 general inspection items to determine the need for PPE in protecting the workers, as well as performing equipment checks to ensure workers are using the right equipment to prevent risk.

2. Comprehensive OSHA Compliance Audit Checklist

OSHA Compliance Audit Checklist is a comprehensive assessment of the regulatory safety standards set by the Occupational Safety and Health Administration (OSHA). This checklist contains 43 sections covering a wide range of hazard identification procedures in the workplace. The template has been built to guide the inspector in performing the following:

  1. Identify non-compliance on employee practices
  2. Capture photo evidence or take note of irregularities in the process being done
  3. Assign action plans to appropriate team member
  4. Document observations and provide clear recommendations
  5. Complete audit with a digital signature and timestamp to validate the inspection

3. OSHA Housekeeping Compliance Audit Checklist

OSHA housekeeping compliance audit checklist is used to inspect if housekeeping activities adhere with OSHA standards. Facilities team can use this as a guide to do the following:

  1. Evaluate if walkways, working surfaces, lighting, storage, and sanitation facilities are clean and regularly maintained
  2. Capture photo evidence of damage or defective materials
  3. Appoint corrective actions to a specific person in charge
  4. Provide recommendation and overall cleaning assessment
  5. End inspection by providing a digital signature to validate your audit

4. Management Compliance Audit Checklist

A Management compliance audit checklist is used to analyze the effectiveness of the management systems of the organization. It helps to ensure processes are effectively addressing the objectives and goals of the business. This template can be used by compliance teams or audit managers to record and report any act of non-conformances or irregularities in the processes.

5. HSE Management Template

HSE Management Template is used to evaluate how organizations and businesses manage health and safety in their workspace. It is divided into 2 sections - HSE Management and HSE Performance Monitoring - and each entails an evaluation of HSE management protocols. Authorized personnel should list all people involved in the evaluation and provide an overall rating of the HSE management.

6. GDP Compliance Audit Checklist

GDP compliance audit checklist is used to assess compliance with EU Good Distribution Practice guidelines. This checklist is divided into 7 sections which cover questions across the areas of quality systems, personnel, premises & equipment, documentation, supplier operations, complaints & recalls, and transportation. Use this as a guide to do the following:

  1. Conduct an audit of your facilities, systems, and practices
  2. Evaluate each item (Pass, Fail or N/A) if it complies with regulatory standards
  3. Identify frequently failing items, capture photo evidence and take notes of non-compliance
  4. Calculate overall GDP compliance score across sections
  5. Capture digital signature to validate the audit

7. GMP Compliance Audit Checklist

Good Manufacturing Practice (GMP) Compliance Checklist is used to evaluate overall adherence to manufacturing protocols. This checklist is divided into 9 sections and applies scoring which will give insight into how audits are performing over time. This checklist helps to assess if your workers receive adequate training and comply with regulations when performing their tasks.

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Follow these 5 steps to start performing mobile inspections

  1. Create a free iAuditor account to get started
  2. Download a template above and modify it for your workplace or browse other checklist topics
  3. Install the iAuditor app on your mobile or tablet and perform an inspection
  4. Take photos, create actions and generate reports on your device
  5. Invite your teammates. Save time, save lives
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