9001 Internal Audit of Client Onboarding process

Jared

Starting to get Involved
#1
Hello, I am new here and I am also new to internal auditing. I've attended some internal audit process training and now I have to use it in the real world.

My question is, can I use this forum to post the audit checklist (with clauses) that I have put together for a Client Onboarding Process for you good people to look at? I would love to get feedback.

Thanks
 
Last edited:
Elsmar Forum Sponsor

John Broomfield

Leader
Super Moderator
#2
Welcome, Jared, to the Cove.

You could start by making sure your audit checklist adopts some or all of the recommendations we have already made here at the Cove:

Best practices for capturing audit objective evidence in a practical manner?

Your audit sample is determined by the audit objective (the question to be answered by the audit) so we would need that too.

The list of possible questions is potentially endless so we will be looking for your clear reasons for asking each and every question.

John
 

Jared

Starting to get Involved
#3
Hi,

I have put together internal audit criteria, see attached. I'd be interested to know what you think. Personally I feel the questions are too generic. I would appreciate feedback, am I missing something important? Have I included needless questions?

I have also attached the onboarding procedure. I will be interviewing the onboarding process owner. I'm feeling apprehensive about this as I'm not confident I am doing it correctly.

Thanks Jared
 

Attachments

Randy

Super Moderator
#4
Have you verified the competency of the onboarding process owner and the validity of the process? If not, then everything else is a waste of time.

I truly love seeing internal audits that seem to be purely defined by some kind of locked in checklist because they more often than not will direct me to the holes and weaknesses that can wind up populating my audit reports that many times seem to land with a resounding THUD!

I normally have a 1 question checklist. Why? Because my 2nd question will more often than not come out of the 1st answer....And that's all that can be guaranteed.
 

Jen Kirley

Quality and Auditing Expert
Leader
Admin
#5
It generally takes some practice to become comfortable not using a prepared checklist, but I encourage you to start now.

Auditing is supposed to be about verifying the effectiveness of a process. Have there been problems with this process? If yes, start there. Begin by asking too what is the goal of the process. What does good performance look like? (metrics, performnce measurement) Or, "What does winning look like?" or, "Who depends on this process going well? What do they need from this process?" (outputs)

The point I am trying to make is this: I don't understand the technical details in your procedure, and I fully expect your auditee(s) to not understand your questions as written. You can get your answers such as inputs, outputs, controls and resources by exploring the process with its owner. I can see some documentation is required by your procedure. You can ask for a list of clients, pick out 3 or 4 and ask to be walked through the process with these examples. Have a conversation. Ask questions in plain language: "What can go wrong?" and with the answer, "What do you need to do about that?" (This is plain speak for nonconforming outputs and corrective action.)

Audit process inputs generally take three forms: what you observe, what you are told, and what is documented. I think of it as a 3-legged stool that holds the process weight (controls); ideally there would be all 3 legs, but not all these three are needed or required all the time so I really hope to see 2 legs. If there is only one, for example the procedure exists but the descriptions and documentation don't align, there's a problem. If you are told 3 different things by 3 different people you need to learn which is correct; if the procedure is not correct that can become your focus. If required documentation is scarce, incorrect or haphazard, that stool leg is weak.

I hope this helps.
 

Jared

Starting to get Involved
#6
It generally takes some practice to become comfortable not using a prepared checklist, but I encourage you to start now.

Auditing is supposed to be about verifying the effectiveness of a process. Have there been problems with this process? If yes, start there. Begin by asking too what is the goal of the process. What does good performance look like? (metrics, performnce measurement) Or, "What does winning look like?" or, "Who depends on this process going well? What do they need from this process?" (outputs)

The point I am trying to make is this: I don't understand the technical details in your procedure, and I fully expect your auditee(s) to not understand your questions as written. You can get your answers such as inputs, outputs, controls and resources by exploring the process with its owner. I can see some documentation is required by your procedure. You can ask for a list of clients, pick out 3 or 4 and ask to be walked through the process with these examples. Have a conversation. Ask questions in plain language: "What can go wrong?" and with the answer, "What do you need to do about that?" (This is plain speak for nonconforming outputs and corrective action.)

Audit process inputs generally take three forms: what you observe, what you are told, and what is documented. I think of it as a 3-legged stool that holds the process weight (controls); ideally there would be all 3 legs, but not all these three are needed or required all the time so I really hope to see 2 legs. If there is only one, for example the procedure exists but the descriptions and documentation don't align, there's a problem. If you are told 3 different things by 3 different people you need to learn which is correct; if the procedure is not correct that can become your focus. If required documentation is scarce, incorrect or haphazard, that stool leg is weak.

I hope this helps.
That is very helpful Jen, thanks so much.
By nature I'm very much a template person but I'm starting to realise audits are quite organic but I think I just have to practise more.
 

John Broomfield

Leader
Super Moderator
#7
Remember that audit is mainly about your intentional listening (and observing) to what is and is not said.

So, the only reason for your question is to reveal more of the system (which includes behaviors) and its processes.

Keep a record of your questions (lines of inquiry) and the evidence with the agreed conclusions as you go. Find out and record any reasons for disagreement.

And always ask, showing genuine interest, when you see or hear something odd.

People love to talk about their work provided your interest is genuine and you’re not wasting their time.

A fresh line of inquiry for each audit is highly recommended (not a template or canned checklist) provided it contributes towards fulfillment of the audit objective (which is on behalf of your audit client - whomever initiates the audit).

For internal audits the audit client invariably and indirectly is top management or the customer.

Enjoy!
 
Thread starter Similar threads Forum Replies Date
D ISO 9001:2015 Internal Audit Check Sheet ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 3
Q ISO 9001-2015 Internal audit finding Internal Auditing 14
R AS9100D internal audit checklist or ISO 9001 2015 to AS9100 D AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 2
M ISO 9001 Major Nonconformance Internal Audit Schedule/COVID-19 ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 18
G Non Conformance During ISO 9001 Audit - Not All Internal Audits Completed General Auditing Discussions 19
D ISO 9001:2015 Internal Audit Training Advice Internal Auditing 10
W Where to begin with an ISO 9001:2015 internal audit Internal Auditing 13
E ISO 9001:2015 - Internal Audit Plan Clauses General Auditing Discussions 8
S Internal Audit - Risk and Opportunity (ISO 9001:2015 ) Internal Auditing 1
tony s An organization's Internal Audit Office certified to ISO 9001:2015 ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 28
Tagin Does ISO 9001:2015 require a full internal audit annually? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 21
L Please review my ISO 9001:2015 Internal Audit Plan Process Audits and Layered Process Audits 7
O ISO 9001:2015 Transition Internal Audit completion thread ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 16
S ISO 9001:2015 - Internal Auditing - Audit to the Standard? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 6
P Internal Audit Schedule Complexity (ISO 9001:2015 ) Internal Auditing 3
Z ISO 9001:2015 Internal Audit Template/Form Advice Document Control Systems, Procedures, Forms and Templates 4
T ISO 9001:2015 Clause 9.2.2 Internal Audit - Corrective Action Report Format ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 7
Q Incorrectly Performed ISO 9001:2008 Internal Audit ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 7
B Thoughts on performing an ISO 9001:2015 Remote Internal Audit ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 8
L Auditing Design and Development in ISO 9001 (Internal Audit) Internal Auditing 1
C ISO 9001:2008 Surveillance Audit - No Internal Audits Internal Auditing 9
A Developing a ISO 9001:2015 Internal Audit Plan and Schedule Internal Auditing 50
A Internal Audit - Coverage for ISO 9001:2015 Internal Auditing 4
J Can I conduct Internal Audit for combined ISO 9001, ISO 13485 and ISO 14001? Internal Auditing 37
B 9001 Internal Audit documentation ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 2
P Can internal ISO 17025 Auditor conduct ISO 9001 Audit ISO 17025 related Discussions 7
L Who can perform ISO 9001:2008 Internal Audit prior to our Registration Audit? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 8
T Should the Internal audit for ISO 9001 cover all elements of the standard? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 9
P ISO 9001 Internal audit rotation in a small company Internal Auditing 7
G ISO 9001 Internal Audit Checklist ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 21
I Types of Internal Audit findings based on ISO 9001 Clause 8.2.2 Quality Manager and Management Related Issues 10
L Internal Re-audit after Major Finding during ISO 9001 Re-Certification Audit ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 10
B Internal Audit Requirements for ISO 9001 Registration ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 10
D ISO 9001:2008 Internal Audit ? Strategic Department Internal Auditing 6
M Internal Audit of our ISO 9001 Quality Systems prior to the Registration Audit Internal Auditing 9
J ISO 9001 Checklist Type Internal Audit Forms? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 9
D "Simplified" AS9100 and ISO 9001 Internal Audit Checklists ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 43
P Internal Audit for ISO 9001:2000 vs. Internal Audit for OHSAS 18001:2007 Internal Auditing 4
S Must *All* Procedures Be Documented for ISO 9001 Internal Audit? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 19
S Internal ISO 9001:2008 Audit Summary Report wanted General Auditing Discussions 4
X ISO 9001:2008 Internal Audit - Classification of Audit Findings Internal Auditing 5
D Can we include internal audit (financial) in the scope of ISO 9001:2008? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 2
Z ISO 9001:2008 Internal Audit Question Sheet wanted Internal Auditing 3
D Internal Audit of Finance Department per ISO 9001:2008? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 17
R ISO 9001 Internal Quality Audit by Consultants (External agency) Internal Auditing 5
P Internal ISO 9001 Audit - Process Audit Checklist Internal Auditing 31
B Internal Audit Checklist fo ISO 9001 Internal Auditing 1
P Internal Audit of ISO-9001, ISO 13485-2003, CE Internal Auditing 1
G Combining AS9100, ISO 9001, & PRI (NADCAP) into 1 Internal Audit Internal Auditing 8
J Internal Audit Questions - Accounting - ISO 9001 Internal Auditing 24

Similar threads

Top Bottom