Looking for Options in Organizing Internal Audit Paperwork - Any ideas?

GStough

Staff member
Super Moderator
#1
Just curious how other auditors manage the sometimes mountainous volume of documents (working docs, evidence, etc.) when planning, performing, and reporting audits. I have a system, but I can't help but think there surely MUST be a better way to do it.....color-coding, binders, loose rings, etc.

Any ideas? :thanx:
 
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Coury Ferguson

Moderator here to help
Staff member
Super Moderator
#2
Re: Looking for options in organizing internal audit paperwork...any ideas?

Just curious how other auditors manage the sometimes mountainous volume of documents (working docs, evidence, etc.) when planning, performing, and reporting audits. I have a system, but I can't help but think there surely MUST be a better way to do it.....color-coding, binders, loose rings, etc.

Any ideas? :thanx:
Gidget,

If there is no limit of Money, try a Fast Scanner to save all records, to an Optical Disk. You can also place them in file cabinets or three-ring binders, which ever will work for your company.
 
Last edited:

RoxaneB

Super Moderator
Super Moderator
#3
Re: Looking for options in organizing internal audit paperwork...any ideas?

Just curious how other auditors manage the sometimes mountainous volume of documents (working docs, evidence, etc.) when planning, performing, and reporting audits. I have a system, but I can't help but think there surely MUST be a better way to do it.....color-coding, binders, loose rings, etc.

Any ideas? :thanx:
A schedule helps to plan and prioritize, I find.

Rather than carry copious amounts of paperwork with me, I review the paper portion ahead of time and develop what I believe the expected answers will be. This helps out in note-taking - I can listen, actually listen, to the auditee and check off answers as they're said and write down the stuff that I didn't anticipate. I find this helps the auditee as they feel I'm spending more time focused on them than documenting every word they say.

I have clearly labelled file folders which are always in alphabetical order at all stages of my audit. This assists me in locating information quickly. It only takes a second to remember that Quality Control comes after Purchasing.

At the end of every day - if a multi-day audit - I set aside time to review my notes, show linkages to additional clauses, prepare follow-ups for the next day and verify which follow-ups were closed. I will tentatively draft up nonconformances and reports as necessary, and start the report.

I have a laminated copy of the standard to which I am auditing, where every "shall" word is highlighted (underneath the lamination, of course) to facilitate the ease of locating requirements when necessary.

If, however, you have copious amounts of documents at the end of the audit, you need to change how you report audits. Your notes should stand up on their own. Evidence should not be included the report, or its supporting files. Your notes should say things like "Reviewed Form-### ' Titled ABC' dated 10-Oct-06. Clear indication of customer requirements, product specs, blah blah blah..." and then check of if it conforms to the requirements or not.
 

Jim Wynne

Staff member
Admin
#4
Re: Looking for options in organizing internal audit paperwork...any ideas?

If, however, you have copious amounts of documents at the end of the audit, you need to change how you report audits.
Yes. There's nothing more irritating (or needlessly time-consuming) than an auditor who's always running off to make photocopies.
 
C

C Emmons

#5
I worked with my IT department and had all of my internal audit documentation put online - works well. The audit plan is part of the audit report - checklist are built in as links - so that everything is maintained by facility by date creating an online audit log. It prevents alot of copying reports and sending to facilities - Management etc. I can simply send an email informing all inovled that the audits are complete and the report is available online.
 

Helmut Jilling

Auditor / Consultant
#6
Re: Looking for options in organizing internal audit paperwork...any ideas?

Yes. There's nothing more irritating (or needlessly time-consuming) than an auditor who's always running off to make photocopies.

I agree. I would start here. There are some who have 50-100 pages of blank forms, etc. in the audit packet. Why? The only items you need to have in the bundle are those you actually used in the audit. WI's with notes, a few sample forms or records. Maybe only those with issues or where you wrote some audit note in the margins. Then, when you have learned to make a smaller pile, if you want to scan it, go that next step. But, scanning 100 pages of irrelevant printouts adds no value?
 
G

Greg B

#8
I use a Manila folder with a pre made A4 sticker on the front that has a checklist of all the documents, notifications I require. They all stay in the Manila folder on my desk . I take notes as I travel around the audit in pad. I then type it all up into my database at the end of the day and produce a report. I hate carrying a clipboard and reams of paper. I don't take copies of forms or evidence. I just check off that I have seen the required record or evidence. It saves me having to photocopy reams of data. I will take a copy if it shows an NC though, for evidence in the close out. PPPPPP (prior preparation prevents poor performance) and KISS (Keep it simple Stup*d) are my favorite things :)
 

Randy

Super Moderator
#9
Yeah, this ain't high tech or rocket science. Do whatever it takes to protect the stuff and keep it accessable. In a giant peanutbutter jar in the closet, whatever.
 

Colin

Quite Involved in Discussions
#10
Sounds an obvious solution but have you looked at any of the software applications which make your QMS available on-line and offer audit tools?

Am I allowed to post a link to an example?
 
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