Audit Trails - Definition, Description and Software

AndyN

Moved On
Re: Audit Trial

Has anyone practicing Audit Trials

Sathish

Well, not trials, but trails..................

Yes, every competent, effective internal auditor practices audit trails.........it's also part of auditing process.........
 

BradM

Leader
Admin
Re: Audit Trial

Has anyone practicing Audit Trials

Sathish

Hello Sathish!

I am confused by your wording. The link you provided went to audit trail; not audit trial. Did you mean audit trail?

If yes, then I am familiar with it. many software packages have them; essentially showing who made the change, what they changed, and when. And... it is very nice to go back and see the changes on stuff. Mainly, you probably should establish some rule as to enter reasons for the audit trail. You may want a standard listing. Otherwise if left to people's imagination, they will enter a few words, up to typing in a short story!:D
 
J

JaneB

Re: Audit Trial

Sathish,
Can you be a bit more specific in your question? I don't understand your meaning (and the misspelling? in the title doesn't help).

For example, whose point of view are you asking the question from:
  • An auditor following an audit trail? (Answer, yes of course, as Andy says)
  • Or a quality manager/similar designing one?
  • or an employee generating the records etc. to set out an audit trail?
 
S

sathis

Re: Audit Trial

Hello Sathish!

I am confused by your wording. The link you provided went to audit trail; not audit trial. Did you mean audit trail?

If yes, then I am familiar with it. many software packages have them; essentially showing who made the change, what they changed, and when. And... it is very nice to go back and see the changes on stuff. Mainly, you probably should establish some rule as to enter reasons for the audit trail. You may want a standard listing. Otherwise if left to people's imagination, they will enter a few words, up to typing in a short story!:D

Any software you can recommend

Sathis
 
A

amanbhai

Re: Audit Trails

I never heard of software for audit trail. Can anyone give more insight? :thanks:
 

Marc

Fully vaccinated are you?
Leader
Re: Audit Trails

I am not aware of any audit trail software these days, but there may be some out there if you are following a 'routine'. I know in the late 1990's, for example, there was a company that made software for the Newton from Apple where you would follow a checklist and could make notes. I haven't seen anything like that in a while.
 

BradM

Leader
Admin
Allow me to clarify... It is audit trails within software that I am speaking of, not software for audit trails.

Sorry if I caused any confusion.:)
 

Ettore

Quite Involved in Discussions
Source: Quality Digest article - http://www.qualitydigest.com/mar07/articles/02_article.shtml

by Chad Kymal

When conducting a system audit for ISO/TS 16949:2002, it’s important to study how processes are linked together in the normal organizational sense. Following an audit trail allows an auditor to verify most of the processes defined in a typical ISO/TS 16949 process map. It also allows for a detailed study of links between processes and departments. While on the audit trail, the auditor will audit not only for conformity, but also for performance as judged by the customer.

Audit trails are techniques that minimize the number of times an auditor examines one area. They also allow for a detailed study of links because the processes connected by samples taken in one area lead to a second or third area of investigation. For example, during business planning and management review, an auditor would find customer needs and expectations in the process that gauges customer focus. The auditor would subsequently move on to the quality policy in relation to that customer focus. This could then lead the auditor to study the business objectives as they relate to needs, expectations and quality policy. Finally, the management review would be studied to ensure that the company is fulfilling the objectives of the business, and that it’s ultimately satisfying the needs and expectations expressed by its customers.

The three basic audit trails that follow the key links for the major processes found in most automotive organizations are:

• Business planning and management (BPM) review : Followed when auditing strategic planning, business planning, policy deployment, objective setting, customer expectations, management review or operations review

• New product development (NPD): Followed when auditing processes related to new product development, which begins with the bid or quote and ends with product approval

• Production and service provision: Followed when verifying that an organization has effective control over its production and service operations


The audit trail and process auditing

What’s the best way to use these audit trails? The auditor should start by taking the organization’s process map and trying to understand the processes in the organization that correspond to the audit trails provided. He or she should then insert the processes in their respective audit trails. In other words, the auditor should use the company’s business processes and procedures during the audit for guidance. Doing this will help uncover weaknesses in the process map. The processes corresponding to the audit trails—not the clauses found in ISO/TS 16949—are used to create the audit plan. Because the actual audit trails will vary from one organization to another, using tools such as audit-trail flowcharts will aid auditors in confirming the processes and links to be audited.

Of the four audit trails given here, the BPM review trail, new product development trail and the provision audit trail are the most important.

Business planning and management review

Management commitment, along with the business planning process, often guarantees an organization’s success or failure. If the BPM review audit trail is effective, there’s a good chance that the other clauses of ISO/TS 16949 will also be properly implemented in the organization
 
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