What could be included in the planning of Internal Audit besides making Audit Plan?

[mjflkitty]

Hi!

I would just like to ask what could be included in the planning of Internal Audit besides making an Audit Plan?

Thank you

 

[Valeri]

You will need to schedule the audit with the auditee, review applicable documentation, review previous audits (e.g. registrar, internal and customer) for any non-compliance or for verification reviews.

 

[engjane]

Perhaps you are trying to think of too much detail – once you have your audit plan (when, where, what, standard), there isnt anything more to do until you actually plan an individual audit. Then you need to think about standards, documents, questions, control plans and so on.

Maybe you could explain your question a little more if this information doesn’t help?

 

[jaimezepeda]

In light of the threatening hurricanes approaching the SE USA, you might want to include seasonal weather conditions as part of your audit plan. I just had to cancel an audit in Fort Lauderdale, FL because of hurricanes Frances and Ivan.

Is this the kind of input you are looking for?

Jaime

 

[mitsu11]

Audit Holes

I had revamped our audit plan a year ago or so because I felt that auditing purely by department wasn't working. But neither would auditing by ISO (etc.) clause, nor by major company processes. So I locked myself in a room for a day, and crossed the three of them. For instance, I listed which clauses pertained directly or indirectly to engineering. Then I also listed which major processes pertained to them (as defined by my knowledge of the company's critical arteries of activity).

I then just turned it loose on my auditors. They could use these lists for each department to create their own list of audit questions. It really has created a more thorough search of what is going on in a department, and it does cover the gaps caused by inter-department activities. The assessment auditor loved it.

Of course, these lists need to be updated as the business changes, but that should be done each year when a new audit schedule is released anyway.

I am not sure if this is what you meant by planning of internal audit, but you really can't just say "Hey, go audit Customer Service" and not help them figure out what that means. Expecially in a large company, a Production auditor may not have a clue how Customer Service works before he gets there.

 

[IMC]

Seven steps to Planning the Audit:

1) Define the audit objectives.
2) Define the audit scope.
3) Define the audit criteria (i.e. ISO, specifications, work instructions, procedures, etc.)
4) Obtain and understand the objectives for the area to be audited.
5) Gather and understand product and process data and information for the area to be audited.
6) Prepare the workpapers (i.e. checklist, records, etc.)
7) Prepare and distribute the audit plan.

Above seven steps are taken from "Internal Auditing Basics" Video training program (Charles A. Cianfrani and John E. West).

 

[mjflkitty]

Thank you!

Thank you for all the reply!

I already made an Audit plan, I made the audit plna base on the Process Map. I was pertaining to the ....What could be some of the things I and my auditors can do while waiting for the actual audit week...I was thinking we could do some standard discuss, and what else?,,,,,,,,

 

[RoxaneB]

What could be some of the things I and my auditors can do while waiting for the actual audit week...I was thinking we could do some standard discuss, and what else?

Assuming your audit schedule has been developed, including scope, area, auditors, etc., the following lists the activities (referred to as the 3 P's) that are done at my organization before the audit is actually conducted:

• Paperwork, paperwork, paperwork! Get the initial paperwork finalized and get a head start on the paperwork that will be needed at the end (if that is possible to do).
• Prepare, prepare, prepare! When we audit in teams, members are each assigned to audit certain aspects. To prepare, we all meet and "teach" our assignments to the rest of the team, so that they can support us in case we struggle or are unable to effectively communicat with the auditee. We discuss potential responses. We discuss potential audit paths to follow. We also very the schedule, times, meeting places, dates, etc.
• Plan, plan, plan! If possible, get a tour of the area before the audit (especially if members of the team have never been in the auditee's department before). This will familiarize the team with the environment, sounds, noise, lighting, etc. and make it safer for all involved. This may also show the disruptions that can occur during the audit and a decision may need to be made to either audit around the disruptions or revise the audit somehow.

 

[C Emmons]

Thank you for all the reply!

I already made an Audit plan, I made the audit plna base on the Process Map. I was pertaining to the ....What could be some of the things I and my auditors can do while waiting for the actual audit week...I was thinking we could do some standard discuss, and what else?,,,,,,,,

I am not sure about your company, I actually have pre audit activity designed into my audits. There are certain documents available on an imaging system or filed at my corporate location that will allow me to conduct some pre audit activity before I go on site. Is this an option for you?

 

[mjflkitty]

Pre audit

Yes we do have a system that contains documents, I asked my auditors to look into it and they asked me that the said process example "Information Service(IS)" process is new added to the scope of the audit, and they are working on the documentation(e.g. process map, procedures) should this be counted as NC?