Internal Audit Checklist or a Protocol Guide wanted

S

shinyell

Dear All,

First, I thank you all for helping me at my previous problem.
Now, this is not a problem, maybe a suggestion. :D

I am in need of a Internal Audit checklist or a Protocol guide. I know this is not required by the standards, but maybe anyone out there is using a checklist / protocol for their Internal Audits.

I am scheduling for a next Internal Audit. And to be easy for me, I want to have a protocol / checklist to be forwarded to all the assigned Auditors. I will collect it together with their Audit Results and NCR's.

If anybody can share their checklist / protocol to me, so I can have an example on making my own.

Thank you so much.

Regards,
Shinyell
 

Randy

Super Moderator
Re: Internal Audit Checklist / Protocol

Just follow the link...pay attention to the paperclip/Disc icons

Expect no more from the audit than you put into it and when you use a prepackaged checklist that's all you'll get most of the time

Audit Checklist
 
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AndyN

Moved On
I am scheduling for a next Internal Audit. And to be easy for me, I want to have a protocol / checklist to be forwarded to all the assigned Auditors. I will collect it together with their Audit Results and NCR's.

May I make a suggestion? While taking a look at someone else's checklist etc is fine, using it as the basis of your checklist is not going to make your audit any easier! What it 'looks like' is not the problem you'll face, it's how the checklist is used that becomes the problem.

I'd also suggest that planning an internal audit should be 'hard work' - that is something that needs to be done, isn't fun, 'sexy', simple or easy! If we are talking about doing an audit to see what needs to be improved about a process etc. then that is hard work! Improvement - ask anyone who has done it - is hard work!

None of us like planning, but without it, the audit will be less than effective. It can be like planning for a big celebration meal at home - you have to get out a pencil and paper and sit down and think over what has to be done. If someone else gave you a list to use, chances are, it wouldn't be much use. OK some of it might be usable, but you might not find out the critical missing parts until after the audit.

I'd advise caution - it's far better and you'll get more from an audit if you do all the preparation.
 
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shinyell

I already have the schedule for internal audit and it was approved by my boss. What I wanted is a checklist for the assign Auditors, so they can send it back to me along with the Audit results.

I know it is not mandatory, but I just wanted to have an idea how to make my own checklist. I will making my own checklist.



May I make a suggestion? While taking a look at someone else's checklist etc is fine, using it as the basis of your checklist is not going to make your audit any easier! What it 'looks like' is not the problem you'll face, it's how the checklist is used that becomes the problem.

I'd also suggest that planning an internal audit should be 'hard work' - that is something that needs to be done, isn't fun, 'sexy', simple or easy! If we are talking about doing an audit to see what needs to be improved about a process etc. then that is hard work! Improvement - ask anyone who has done it - is hard work!

None of us like planning, but without it, the audit will be less than effective. It can be like planning for a big celebration meal at home - you have to get out a pencil and paper and sit down and think over what has to be done. If someone else gave you a list to use, chances are, it wouldn't be much use. OK some of it might be usable, but you might not find out the critical missing parts until after the audit.

I'd advise caution - it's far better and you'll get more from an audit if you do all the preparation.
 

AndyN

Moved On
I already have the schedule for internal audit and it was approved by my boss. What I wanted is a checklist for the assign Auditors, so they can send it back to me along with the Audit results.

I know it is not mandatory, but I just wanted to have an idea how to make my own checklist. I will making my own checklist.

I understand. The checklist is what I'm speak of. I'm glad you're making your own, but what about your auditors? Don't they make their own checklists? You really shouldn't be doing it for them, if they are competent to do the audit! It's a bit like keeping a dog and barking yourself, to have auditors who don't do their own preparation! (IMHO)
 
S

shinyell

I understand. The checklist is what I'm speak of. I'm glad you're making your own, but what about your auditors? Don't they make their own checklists? You really shouldn't be doing it for them, if they are competent to do the audit! It's a bit like keeping a dog and barking yourself, to have auditors who don't do their own preparation! (IMHO)


they do have their own checklist. but not all of them provide me the checklist after the audit. with their reason, "I dont need the checklist, I check the department and ask questions, they show me the evidences. Thats all." But now, I change the Internal Audit Procedure, I added to the same procedure, that checklists are mandatory. They should provide me their hand written notes or anything. Because, previously, our Company dont have a system. That is why, I am searching and if its impossible to make my own checklist or a protocol for them so they can use it and send it back to me.

It is not necessary a checklist, maybe an empty protocol would do. I am not familiar with the Standard, I am just starting to learn this process. Until the time I learn the Standard by heart, it will take some time. I know that fact. But I cant make the checklist on my own. I dont know under what Clauses would be needed for auditing Engineering Department, for instance. Or under what Clauses would be needed for auditing HR department.
 

AndyN

Moved On
they do have their own checklist. but not all of them provide me the checklist after the audit. with their reason, "I dont need the checklist, I check the department and ask questions, they show me the evidences. Thats all." But now, I change the Internal Audit Procedure, I added to the same procedure, that checklists are mandatory. They should provide me their hand written notes or anything. Because, previously, our Company dont have a system. That is why, I am searching and if its impossible to make my own checklist or a protocol for them so they can use it and send it back to me.

It is not necessary a checklist, maybe an empty protocol would do. I am not familiar with the Standard, I am just starting to learn this process. Until the time I learn the Standard by heart, it will take some time. I know that fact. But I cant make the checklist on my own. I dont know under what Clauses would be needed for auditing Engineering Department, for instance. Or under what Clauses would be needed for auditing HR department.

Thanks for telling us more, Shinyell! I don't believe that any type of form/template or protocol is going to help overcome this problem. Even if you have a nice one, it's not going to make the auditors give you their notes.

Do these auditors have some kind of formal training - perhaps by someone experienced in audits who has explained why their notes are important to the audit program? If they have, and they don't do this part of their assignment, you have to diagnose why they don't do it, first. You mustn't jump to a conclusion that a better checklist will help.

You don't have to worry about what clauses of the standard you're auditing too, either. The Engineering Process is supposed to be in compliance with the ISO 9001 standard (or similar). The internal auditors should be able to audit to see if the Engineering process is being implemented the way it's defined and if it is effective. The auditors don't have to consider 'ISO' at this stage....
 
J

Jan T

Hi Shinyell;

Check out Ace's audit matrix under the thread ISO 9001-14001 Internal Audit
Matrix.

Regards
Jan
 
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