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ICA Audit FAQ's

Company certification is the process by which a firm’s systems are assessed for conformity against ISO standards.

ICA Audit offers company certification against ISO standards, ISO 19600; ISO 37001 and ISO 9001.  Copies of the standard can be purchased via the ISO website - https://www.iso.org/home.html.

ICA has developed audit schedules, based on ISO 19600; ISO 37001 or combined ISO 19600 and ISO 37001.

ISO 37001 is the standard for Anti-Bribery Management Systems – ISO 37001 is a new standard to support firms in their development of an effective anti-bribery and corruption management system.

ISO 19600 is the guidance for Compliance Management Systems – ISO 19600 gives comprehensive guidance with helpful and easy-to-follow examples for users wanting to implement a compliance management system or benchmark their framework against a standard.  ICA Audit have developed an audit schedule which means that you can be certificated against the ISO 19600 standard.

ISO 9001 is the standard for Quality Management Systems – ISO 9001 certification is used to demonstrate the ability to consistently provide products and services that meet regulatory and customer requirements.

 

ICA Audit possesses an enviable reputation within the world of compliance – ICA Audit’s certification is built on the legacy of the association’s long-standing relationships with compliance professionals and regulated firms around the world. By participating in ICA Audit’s company certification program, your firm will become a member of the global-wide community of regulated entities that ensure the highest standards of professional regulatory compliance.

ICA Audit provides expert audit teams – who have specialist experience in the audit of compliance management systems. The team undertakes 2 visits to the firm after which the lead auditor provides a report to ICA Audit’s conformity assessment body (CAB). After receipt of the report, a panel of the CAB’s Certification Committee reviews its contents before making a recommendation concerning certification.

Each journey will be different and will depend on the size and complexity of the firm. The Stage 1 Gap Analysis can usually be completed within two days or less.

The full audit and consultancy (Stage 2) will differ depending on the findings gap analysis and report (Stage 1). For example, if many gaps are identified in stage 1, we may provide guidance and support on rectifying certain areas before moving onto Stage 2 e.g. training recommendations, process and procedural amendments. If successful, this can then result in certification against the standard(s).

The process for certification will take between 6 – 12 weeks depending on your size and structure – whilst there is no fixed period of time defined for completion of the process in full, depending on the nature, size and location of your firm the full process from beginning to initial certification is likely to take between 6-12 weeks in its entirety. It may take longer if additional training or services are required, but you will be advised of this upon completion of your stage 1 gap analysis visit.

No. Clients can reach any stage of the process and each stage is individually costed. Some organisations may stop at Stage 1 (Gap Analysis and report) or Stage 2 (Full Audit and report). The process doesn’t have to end in the completion of Stage 3 (Certification).

No. Clients can choose to involve the entire organisation or focus on specific teams/departments e.g. a sanctions team.

Fees will vary – as your service is tailored to suit the needs and attributes of your business fees will vary. However, we work to a fee schedule devised to offer your business excellent value.

ICA Audit recognise that you may require some expert help to achieve your certification.

To maintain our obligations as a Certification Body, we must remain impartial and therefore cannot directly assist you with consultancy. However, we are happy to provide you with some guidance on how to choose a consultant who can assist you to implement and manage your ISO management system.

Where you do not require a consultant, but would like some general knowledge, we can help with training courses, guides and templates.

This is the start of an on-going relationship – the firm becomes part of the ICA’s family of certified organisations. In year 1 and 2, the firm will receive validation visits. In year 3 the firm will undergo audit and a process of recertification for conformity.

ICA offers a range of solutions to partners – it has a flexible corporate package that includes training, qualification, CPD, cutting-edge research and access to the opinions and observations of leading thinkers on compliance matters.

Help and support

Alternatively contact us on +44(0)121 362 7534 / studentservices@int-comp.org (Qualifications)
or +44(0)121 362 7747 / membership@int-comp.org (Membership)