Perform Policy and Guidelines Compliance Assessment using eAuditor
Policy and Guidelines Compliance refers to the process of ensuring that an individual, team, or organization adheres to established rules, standards, regulations, and best practices set forth in various policies and guidelines. These policies and guidelines are created to maintain consistency, ensure legal and ethical practices, reduce risks, and achieve desired objectives. Compliance with these regulations is essential for an organization to function within the legal framework, meet industry standards, and ensure accountability.
Performing Policy and Guidelines Compliance Assessment using eAuditor
Performing Policy and Guidelines Compliance Assessments using eAuditor ensures a thorough evaluation of an organization’s adherence to established policies and guidelines while maintaining compliance with regulatory requirements, safety protocols, and operational standards.
-
Preparation Stage
Objective: Prepare the necessary tools, and documentation, and plan the assessment.
- Select Assessment Template:
- Choose from eAuditor’s pre-designed templates (e.g., “Compliance Checklist,” “Policy Adherence”).
- Or create a custom template based on specific policies and guidelines for assessment.
- Understand the Policies and Guidelines:
- Review relevant policies, regulations, and best practices to ensure clarity on what is being evaluated.
- Collaborate with relevant stakeholders (legal teams, department heads) to understand the specific requirements.
- Set Assessment Parameters:
- Scope: Define whether the assessment covers the entire organization or specific departments.
- Frequency: Decide if the audit will be a one-time event or part of an ongoing assessment cycle (quarterly, annually).
- Key Personnel: Identify stakeholders (managers, employees) who need to be notified or involved in the assessment process.
-
On-Site Data Collection (Audit Execution)
Objective: Collect data using eAuditor’s mobile features to assess adherence to policies and guidelines.
- Access eAuditor on Mobile/Tablet:
- Launch the eAuditor app on a mobile device and open the relevant template for the compliance assessment.
- Fill in Observations:
- For each checklist item, document whether the policy or guideline is being followed.
- Include detailed notes where applicable to provide further context or explanations.
- Rate Compliance Status:
- Compliant: All aspects are in line with the policy.
- Non-compliant: Deviations from the guidelines are observed.
- Needs Improvement: The policy is partially followed but needs modifications.
- Take Photos or Attach Evidence:
- Capture photos of any non-compliance issues or areas needing improvement.
- Attach relevant documents, screenshots, or evidence to the audit items directly within eAuditor.
- Add Comments and Notes:
- Provide additional context or recommendations for each observed issue.
- Explain why certain policies are not being followed or areas where improvements are necessary.
-
Assessment Report Generation
Objective: Compile the collected data and generate a detailed compliance report.
- Automated Report Generation:
- eAuditor generates a compliance report automatically once the audit is complete.
- The report will include:
- A summary of policy compliance.
- Detailed observations for non-compliant items.
- Evidence (photos, comments) attached to each audit item.
- Recommendations for corrective actions or improvements.
- Export and Share Reports:
- Export reports in PDF, Excel, or other file formats for distribution.
- Share the compliance report with department heads, compliance officers, or any other relevant personnel.
-
Follow-up and Corrective Actions
Objective: Address identified non-compliance and ensure that corrective actions are taken.
- Create Action Items:
- For each non-compliant issue, create actionable tasks in eAuditor.
- Assign tasks to responsible teams or individuals to ensure that corrective actions are implemented.
- Track Action Progress:
- Monitor the status of corrective actions through eAuditor’s task-tracking feature.
- Set deadlines and reminders for follow-up to ensure actions are completed on time.
- Re-assessment (If Necessary):
- Schedule a follow-up audit if significant non-compliance is found or if corrective actions were not completed.
- Verify that improvements have been made and that policies are now being followed correctly.
-
Continuous Improvement
Objective: Enhance policies and guidelines for better future compliance.
- Review the Assessment Results:
- Analyze patterns of non-compliance to identify areas where policies or guidelines may need revision.
- Evaluate if there are recurring issues that indicate a lack of clarity in the policies or training.
- Update Policies and Guidelines:
- Based on feedback from audits, adjust policies to improve compliance.
- Clarify any ambiguous guidelines that may be causing confusion among employees.
- Implement Regular Audits:
- Set up periodic assessments (quarterly, yearly) to ensure ongoing compliance and make adjustments as needed.
- Use findings from each audit to create a cycle of continuous improvement in policy enforcement.
Conclusion
By performing a Policy and Guidelines Compliance Assessment using eAuditor, you ensure that your organization adheres to critical internal policies and external regulatory requirements. The process involves a systematic approach to collecting data, evaluating compliance, documenting findings, and implementing corrective actions. By maintaining regular audits and continuously reviewing and refining policies, organizations can enhance compliance, mitigate risks, and ensure operational consistency.