Evidence Documentation in Internal Audit Reports

K

kgott

#1
When we do an internal audit we ask to see evidence, the 'show me' stuff, no worries there.

When we prepare and submit the report, should we also include copies of the all the 'show me' documentation we asked to see during the audit?

thanks
 
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Marc

Hunkered Down for the Duration with a Mask on...
Staff member
Admin
#4
Yes - If it's a *summary* of the actual report, references are OK.
 

Colin

Quite Involved in Discussions
#5
When we do an internal audit we ask to see evidence, the 'show me' stuff, no worries there.

When we prepare and submit the report, should we also include copies of the all the 'show me' documentation we asked to see during the audit?

thanks
Only of it helps to clarify a point you want to make. Otherwise it is (as Soma said) not very economical to do. Plus, there may be confidential stuff in there too. As Marc said, the odd summary report can be helpful but generally, as long as you make a note of the reference it should not need copies of the documents.
 

qusys

Trusted Information Resource
#6
When we do an internal audit we ask to see evidence, the 'show me' stuff, no worries there.

When we prepare and submit the report, should we also include copies of the all the 'show me' documentation we asked to see during the audit?

thanks
We usually indicate references like id number of procedures or quality documentation, links, email , minute meeting, reports of data and stuff like that, checked during internal audit
 
A

AliPat

#7
Most of our evidence is on a computer based Management Information System so I note for example, the task when it was completed, who completed it etc. This can then be verified by going back into the system. If the documentation is physical I note down the what it is, reference number, date, issue date etc. I don't have enough filing space to add copies of all the documents I would see within an internal audit
 

Mikishots

Trusted Information Resource
#8
When we do an internal audit we ask to see evidence, the 'show me' stuff, no worries there.

When we prepare and submit the report, should we also include copies of the all the 'show me' documentation we asked to see during the audit?

thanks
I don't.

Audit evidence leading to audit findings is to be collected and recorded, but to show evidence of everything that I looked at and found no issues with is not productive or necessary.

Each finding has a stated requirement and objective evidence tied to it. The audit scope defines specifically what I am including in the audit.

In short, my reports include:

- objectives
- scope
- who performed the audit
- date and location
- criteria
- findings and evidence supporting it
- conclusions
- degree of effectiveness.

I keep evidence as supporting documentation for the audit, and can produce anything i need if it's requested. If I have no evidence, it's not a finding.
 
K

kgott

#9
Fantastic; thank you all.

I was brought up to include all evidence in the report but I've often wondered what purpose it served when the main people only ever looked at the front page which shows finding and actions required anyway.

thanks
 
#10
Fantastic; thank you all.

I was brought up to include all evidence in the report but I've often wondered what purpose it served when the main people only ever looked at the front page which shows finding and actions required anyway.

thanks
When this type of question arises, I recall those tv pictures of the "Feds" arriving at a crime scene and boxing up and leaving with "evidence". Gathering up evidence in this manner only goes to reinforce for people that auditors are "cops" waiting for an opportunity to get evidence of them doing something wrong!

To my way of thinking, by fully engaging management in the planning, preparation and execution of the audit, the only information needed will be in the auditor's notes.
 
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