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Factory & Establishment Audit
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Extensive Compliance Gap Assessment
Factory & establishment audits are comprehensive physical audits, covering documents and on-site verification. A physical compliance audit is much wider in scope compared to a remote audit since it involves visits by the auditors to the unit to comprehensively cover both the document review and physical verification parts. It is to be noted that in some categories of law, like environment, health & safety, regulatory laws, compliance with physical verification plays a vital role. The visit of the auditors to the site helps them understand the actual state of things, in addition to the input provided by the process owners.
Engagement Approach
The audit team sends a comprehensive questionnaire containing relevant general questions to assess laws and compliance. The unit fills and returns to the team.
Preparation of a list of laws
Based on the input provided by the unit on the questionnaire, the audit team prepares the list of laws applicable to the unit and the list of all documents under those laws that are to be reviewed.
Introductory meeting with the management of the unit
The intro meeting introduces the audit team to process owners & unit management. Audit schedules, document reviews, and verification times are set based on availability. Auditors engage departments per schedule.
Review of documents
The auditors review all the documents pertaining to the audit period in view of the current legal position and in light of the latest judgments of the Hon’ble Courts and note down their observations.
Physical verification
The auditors perform thorough on-site checks for critical compliance including layout, waste handling, safety measures, hazardous substance storage, fire precautions, and note findings.
Closing meeting
After the review of documents and the physical verification are complete, the audit team compiles all the observations, which are briefly discussed at the closing meeting with the process owners and the management.
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