The five step approach to the compliance audit is explained below

Scope and Plan

• The identification of scope for Compliance Audit
• Project planning, resourcing and scheduling

Information Gathering

• Understand the standards or best practices that the organization is complied with.
• Understand the organizational processes, configurations and supporting documents

Audit

• Prepare compliance review sheets/checklists
• Review the existing and implemented processes and standards against the established standard
• Understand the deviations (gaps) from the standard, impact and scope for improvements
• Evidence on compliance to standards or best practices

Documentation

• Documentation of information assessed and evidences where required
• Provide current state analysis report on compliance
• Provide recommendations to close the gaps and non-conformities

Improvement

• Assist in the corrective action on closing the gaps
• Guide in amending the existing processes to achieve the business and organization goals