Compliance Assessment

Compliance Assessment

Ongoing assessment of your policies and programs helps you maintain a strong level of compliance with the ISO standards that you have adopted.Compliance assessment has three main objectives:

  • Identify compliance gaps
  • Mitigate risks
  • Seek continuous improvement

Compliance is different from certification.

  • ISO compliance: Compliance assessment happens after certification, looking at on-going activities that demonstrate your compliance with the mandatory and non-mandatory requirements of an ISO standard (necessary to pass the surveillance audits in years 2-3 and the re-certification audit in year 4).

Compliance assessment approach

Fiqra can help you put in place a compliance assessment program for your organization.We typically conduct a compliance assessment along five key steps:

1. Assessment planning:

  • Develop assessment criteria that will be used to conduct the assessment.

2. Compliance review:

  • Collect relevant data and documents (such as policies, procedures and forms).
  • Conduct interviews/surveys to assess the level of compliance, identify risks and characterize areas of non-compliance.

3. Evaluation and gap analysis:

  • Evaluate compliance findings against the assessment criteria.
  • Conduct a gap analysis to dentify discrepancies between current practices and compliance requirements.
  • Prepare a gap analysis report.

4. Key stakeholder consultations:

  • Meet with your senior leadership to review assessment findings and recommended mitigation strategy for each identified risk.

5. Compliance improvement plan:

  • Communicate compliance improvement plan to your departments and employees.
  • Distribute critical policy and procedures to employees.
  • Propose training programs for employees.
  • Conduct competency checks and scenario-based evaluations to test employee knowledge.

Compliance Assessment Approach

Compliance assessment approach

Please contact us to inquire about compliance assessment services.


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