Internal Audit Schedule - Documentation requirements for Internal Audits

C

Curt de Mich

#1
Hello All,

I have recently started scheduling my Internal Audits with project tracker software. This allows me to keep track of C/A and all affiliated paperwork with an electronic trail.

For some reason our owner doesn't seem to think this will meet the documentation requirements for Internal Audits. Is anyone using similar software to track Internal Audits?:frust:


Regards,

Curt
 
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M

M Greenaway

#2
Documentation can be any king of media.

Document approval of electronic media can be done by passwords, or secure locations on a server.

No problems !
 
#3
Documentation and tracking software

My question is what documentation requirements are you attempting to meet with the software? Is the software supposed to be your procedrue, or is it referenced by the procedure? Is it used just to schedule and track, or are you also using it to record and report audit results?

A lot depends on exactly how you are using the sofware.
 
A

Al Dyer

#4
In this case we are talking about a list of scheduled activities. It does not matter if it's on a computer program or written out by hand. (I won't go into document control issues just yet)

A schedule is just that, and if there is methodology to revise the schedule when changes or improvements occur I believe you are on solid ground and that the boss should let the people he/she hired do the job!!

When I was doing it the schedules were always in MS Word, Outlook, or Access, really no different than a canned program.

If the boss doesn't want a canned program, what does he want???? To hire a secretary to sit at a desk and call people when an audit is due???:mad:

Not sorry for the bluntness. Keep on posting and e-mail me if you want an example of an electronic schedule, although it sounds like you have it under control. :bigwave:
 
C

Curt de Mich

#5
Schedule

db,

I am using the software to schedule and track only at this time. I have written my procedure to referance my schedule as well as a procedure on how to schedule internal audits. IMO this more than covers both the 94 and 2K revisions of ISO.

Regards,

Curt:bonk:
 
#6
Re: Schedule

Originally posted by Curt

db,

I am using the software to schedule and track only at this time. I have written my procedure to referance my schedule as well as a procedure on how to schedule internal audits. IMO this more than covers both the 94 and 2K revisions of ISO.
Curt,

I have been using and continually developing an MS Access application for for audits since 1997. ( Planning, checklists, reports, follow up... It's all there) I have never had any complaints, quite the contrary. I really don't see what your boss is on about.

/Claes
 
S
#7
Curt, Your software method as you state meets the requirements for 4.17.1 Internal Audit Schedules.

"I am using the software to schedule and track only at this time."
Other documentation includes procedures, results, CA and follow-up.
 

barb butrym

Quite Involved in Discussions
#8
I have been using an access database for years....it does my summary of findings for Mgt Review and DoD reporting for me. Highlights trends and all sorts of stuff...reminds me whats due, tracks open actions all sorts of neat stuff. The auditors love it....leaves no room for error.
 
A

Aaron Lupo

#9
Barb, was the database you are using developed in-house or did you purchase it. If it was developed in house would you be interested in sharing or if you purchased it where did you but it from?
 

barb butrym

Quite Involved in Discussions
#10
I develop it for each client, based on their needs........I use the access wizards. I can send you the base...its wicked basic and not so good, I find that starting from scratch is better for me......and it gets better each time :biglaugh: i have always used a report that summarizes the findings by my favorite N/C topics.....training...documentation...records...equipment...following procedures...safety..resources.....and clerical stuff or other. So each topic leads you to trends for reporting a summary...i give each one a heading and calculate how many each audit for each heading. # of formal CAR's issued, sometimes I tie this to the CAR data base, sometimes i just track from there, # of Doc change notices generated w/o a formal CAR if that applies. four headings for Quarters to schedule, a performed date, a closed date...and so on.....
 
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