Internal Auditing Checklist - Major NCR because the Checklist was not Completed

  • Thread starter Retired Member 171988
  • Start date
R

Retired Member 171988

#1
So I just got zinged on an external audit with a Major NCR because the checklist was not complete. Not all questions had anything wrote in comments, nor did all have the box for "comply" check off.

Has anyone heard of this? My arguement was that we write and submit an Audit Report summarizing the audit and findings, and that acts as the main record for the audit, the checklist is merely supplemental.

Thoughts? Is it warrented or excessive.
 
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Randy

Super Moderator
#2
Re: Internal Auditing Checklist

Fall back on your audit procedure itself:

1)Does it "require" the use of the checklist? Yes or No

2)If it requires the use of the checklist is it required to be filled out? Yes or No

3)Is the checklist considered a system record? Yes or No

If the answer to any of the above is Yes, then you shot yourself in the foot.

And the biggy....Why are you using something that isn't required to begin with?

999 times out of 1000 the nonconformities I identify are from something the organization has placed upon its own back that isn't required to begin with...Just like this

But a Major? That's a hard one to swallow especially if the "audit results" (report) were to show good depth and coverage
 

Raffy

Quite Involved in Discussions
#3
Hi,:bigwave:
I cannot believe that a checklist that were not completed will bear a "MAJOR" Nonconformity. Its been a long years and we haven't had a findings as Major NC for not properly filling-up a checklist.:frust:
Have you accepted the verdict already? I know that there's a procedure on how to appeal for any findings that are not clear to the auditees.
Raffy :cool:
 
S

ssz102

#4
the key point for this problem is wthether the checklist have details requirement in your procedure?
if it is yes, the auditor behave is right
 
R

Retired Member 171988

#5
No we do not even mention checklists in our procedure.

I also argued that sometimes the answer is a simple yes or no and does not require additional comments.
 
S

ssz102

#7
if i am inner auditor in your company, i will marking evidence in the end of every article checklist instead of "yes" or "no" only during inner audit, therefore, to showing actually status
 
K

keres

#8
So I just got zinged on an external audit with a Major NCR because the checklist was not complete. Not all questions had anything wrote in comments, nor did all have the box for "comply" check off.

Has anyone heard of this? My arguement was that we write and submit an Audit Report summarizing the audit and findings, and that acts as the main record for the audit, the checklist is merely supplemental.

Thoughts? Is it warrented or excessive.
Please,
Provide us the exact text of the nonconformity!
 

qusys

Trusted Information Resource
#9
So I just got zinged on an external audit with a Major NCR because the checklist was not complete. Not all questions had anything wrote in comments, nor did all have the box for "comply" check off.

Has anyone heard of this? My arguement was that we write and submit an Audit Report summarizing the audit and findings, and that acts as the main record for the audit, the checklist is merely supplemental.

Thoughts? Is it warrented or excessive.
The use of checklist in the internal audit does not imply that they eventually shall be filled it.
Checklist can also be seen as a list or series of topic that the auditor want to cover according to the audit criteria and objective.
It depends on your procedure if you want to retain them in paper format with writing and note of the auditor or also in electronic way in file format.
Please. let us know the text of ncn as well as the violeted cluase that was indicated in the report.:bigwave:
 

bhartigambhir

Involved In Discussions
#10
As per Internal Audit Clause 8.2.2.4 for Internal Audit the Note says "Specific Checklist should be used for each Audit". So it is necessary to use a checklist but checklist was not complete never cause for a Major NCR. As you had used the checklist but it is not fully filled than it can be a observation of a minor NC.
 
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