Auditing the Top Management during the Opening Meeting of Internal Audit

S

selena15

#1
Hi Folks
I got a discussion with friends about one thing and i want share it :
is it akay to audit the top management during the opening meeting of internal audit ?
 
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SteelMaiden

Super Moderator
Super Moderator
#2
Re: public audit

An opening meeting is not necessarily a requirement of an internal audit, and if it is one of your requirements, I guess you can make it what you want. But, typically an opening meeting is a "meet and greet" where everyone introduces themselves and the "lead auditor" explains the scope and purpose of the audit.

IMHO, I would not begin auditing during the opening meeting, but I might audit management immediately after the opening meeting.
 
#3
Re: public audit

An opening meeting is not necessarily a requirement of an internal audit, and if it is one of your requirements, I guess you can make it what you want. But, typically an opening meeting is a "meet and greet" where everyone introduces themselves and the "lead auditor" explains the scope and purpose of the audit.

IMHO, I would not begin auditing during the opening meeting, but I might audit management immediately after the opening meeting.
Steel - it's a protocol that every auditor should adopt. It certainly doesn't have to be a formal affair, but to turn up in someone's work space/area/department and start auditing without introduction is courting a disaster.... There are other valid reasons to 'kick off' the audit in some way, but no 'opening' is not an option, IMHO!!

Totally agree with your second comment.
 
J
#4
I guess we must assume that the audit in the OP is a full audit and not just a process audit but in any regard some sort of notification is necessary before the Audit begins. I use to send out memos letting the affected areas know the days to expect the audit. This way we did not need to have an opening meeting.

Overall though I agree with the others that the opening meeting is different than the "audit" proper.

having said that, if you get some interesting looks or feedback from upper management as your going over the audit scope and timeline, you certainly can use such feedback to tweek how you proceed.
For instance if you mention looking at Design change review and the Engineering manager gets a "Deer in the Headlights":mg: look, you don't need to ignore that little insight. :tg:

Peace
James
 
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qusys

Trusted Information Resource
#5
Hi Folks
I got a discussion with friends about one thing and i want share it :
is it akay to audit the top management during the opening meeting of internal audit ?
Chapter nr. 5 shall be part of the audit plan as well.
The slot in the audit agenda could be after the open meeting and , in case of a supplier audit, after their presentation if any.
Usually in open meeting there is the presentation of the agenda and the time lines of the interviews to all process owners.
 

SteelMaiden

Super Moderator
Super Moderator
#6
Re: public audit

Steel - it's a protocol that every auditor should adopt. It certainly doesn't have to be a formal affair, but to turn up in someone's work space/area/department and start auditing without introduction is courting a disaster.... There are other valid reasons to 'kick off' the audit in some way, but no 'opening' is not an option, IMHO!!

Totally agree with your second comment.
anyone who thinks it is acceptable to walk into an area unannounced and begin auditing shouldn't be an auditor, imho.:( I'll stand by my statement that there is no requirement for an opening meeting. I'll also agree that once you get to the area you should take a moment to tell people why you are there.:rolleyes: I do that even if I'm not auditing.
 
#7
Re: public audit

anyone who thinks it is acceptable to walk into an area unannounced and begin auditing shouldn't be an auditor, imho.:( I'll stand by my statement that there is no requirement for an opening meeting. I'll also agree that once you get to the area you should take a moment to tell people why you are there.:rolleyes: I do that even if I'm not auditing.
Isn't that an 'opening meeting'.....???:notme:;)
 

Jim Wynne

Staff member
Admin
#8
Re: public audit

Steel - it's a protocol that every auditor should adopt. It certainly doesn't have to be a formal affair, but to turn up in someone's work space/area/department and start auditing without introduction is courting a disaster.... There are other valid reasons to 'kick off' the audit in some way, but no 'opening' is not an option, IMHO!!

Totally agree with your second comment.
So long as auditees are aware that an audit is to take place, there's no need for an opening meeting. What you refer to as an "opening" could be as simple as an auditor introducing herself if she hasn't been introduced to auditees, but again, if the audit has been scheduled and proper notifications (including the scope of the audit) are given, a meeting will be a waste of time in most cases.

As to the OP's question, I agree with Steelmaiden.
 
S

selena15

#9
Just to focuse on my remark Covers
the opening meeting wasn´t the scope, just to start to ask an auditee, the top manager as instance, during the opening meeting.
The guy has just say that if the top manager make a spitch about his high commitment to the standard, this audit won´t come up.
I assume that there are additional question to give to the top manager and also to audit a person is better in his proper area, to make it practical in case of need to show a proof
Sel
 
#10
Re: public audit

So long as auditees are aware that an audit is to take place, there's no need for an opening meeting. What you refer to as an "opening" could be as simple as an auditor introducing herself if she hasn't been introduced to auditees, but again, if the audit has been scheduled and proper notifications (including the scope of the audit) are given, a meeting will be a waste of time in most cases.
So Jim, you're concerned about wasting 5 mins? Too bizarre.....
 
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