The Best Compliance Audit Checklists

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Published November 17th, 2020

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.

This article will briefly discuss

What is a Compliance Audit Checklist?

A compliance audit checklist is a tool used by external and internal auditors to determine the organization’s compliance with government regulations, industry standards, or internal policies. Compliance checklists help discover gaps in processes that can be improved in order to meet requirements.

Why Perform Compliance Audits?

Compliance audits are essential for businesses to ensure that they meet legal requirements or that they are working towards getting aligned with set parameters. Regular compliance audits help organizations 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
  5. Continuous operation – non-compliance with regulations can lead to disruption or even operation cessation

Powerful Technology for Performing Compliance Audits

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 burdensome and costly to maintain in the long term. Resources and time spent on collecting and organizing audit data can be better spent doing actual root cause analysis and actioning recommendations.

Replace your paper-based compliance audit checklists with the world’s most powerful mobile compliance audit software! With iAuditor by SafetyCulture, you can perform regular audits using your handheld device and easily capture photo evidence of non-compliance. Produce real-time reports while onsite and review and compare automatically gathered data through an online dashboard.

To help you get started we have prepared 8 Featured Compliance Audit Checklist Templates that are 100% customizable and you can download them for free!


Jona Tarlengco

SafetyCulture staff writer

Jona has been part of SafetyCulture for more than 2 years contributing her experience in writing quality and well-researched content. She usually writes a topic about risks, safety, and quality.