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Web site int audit checklist intent

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Web site int audit checklist intent

  1. 1. Each ‘click’ of your mouse will take you through this free presentation in only a few minutes. You may save this file for future use or return to this web-site at any time to utilize these free presentations. The following is a brief Review highlighting The development and use of an Audit Checklist.A fictitious procedure is used to demonstrate the process ofdeveloping checklists that give the auditor a strong startingpoint. This goes a long way to ensure a through audit. This skill is invaluable to an effective and comprehensive internal audit program. Mastery of this skill by the internal auditor adds greatly to the overall audit program within an organization. This skill applies to the internal audit for any of the international standards. wwwMBCIncorp.com - Martin Business Consulting, Inc. 1
  2. 2. Audit Checklist Development Set-up Procedure – SOP 1015.1 The “Utility” person will do machine set-ups per the production schedule.5.2 The “Utility” person runs 3 parts for set-up verification. Let’s Breakdown5.3 “Utility” person takes the set-up parts to the the process of Lab for measurement. developing and5.4 All material produced after set-up is contained until the verification of the set-up. using a checksheet.5.5 After verification the normal sampling plan is followed. wwwMBCIncorp.com - Martin Business Consulting, Inc. 2
  3. 3. Audit Checklist DevelopmentSet-up Procedure – SOP 101 1. The auditor in the development of5.1 The “Utility” person will do machine set-ups per the checksheet must account for the production schedule. each requirement of the5.2 The “Utility” person runs 3 procedure. parts for set-up verification.5.3 “Utility” person takes the set- 2. Some items are accounted for by up parts to the Lab questions to the responsible for measurement.5.4 All material produced after set- person. up is contained until the verification of the 3. Other items are accounted for by set-up. direct observation of the auditor5.5 After verification the normal sampling plan is followed. wwwMBCIncorp.com - Martin Business Consulting, Inc. 3
  4. 4. Audit Checklist DevelopmentSet-up Procedure – SOP 101 Checklist – SOP 1015.1 The “Utility” person will do 1. Who does the machine machine set-ups per the production schedule. 1. Who does the machine set-up? (5.1)5.2 When are set-ups runs 3 2. The “Utility” person set-up? (5.1) parts for set-up verification. 2. When are set-ups conducted? (5.1)5.3 “Utility” person takes the set- conducted? (5.1) 3. How manythe Labare run up parts to parts 3. How many parts are run for set-up verification? (5.2) for measurement. for set-up verification? (5.2)5.4 All material produced after set- up is contained 4. Where are the parts the until the verification of set-up. 4. Where are the parts transferred to? (5.3)5.5 After verification the normal transferred to? (5.3) 4A. Transfer by Who? (5.3) sampling plan is followed. 4A. Transfer by Who? (5.3) wwwMBCIncorp.com - Martin Business Consulting, Inc. 4
  5. 5. Audit Checklist DevelopmentSet-up Procedure – SOP 101 Checklist – SOP 1015.1 The “Utility” person will do machine set-ups per the production schedule.5.2 The “Utility” person runs 3 parts for set-up verification.5.3 “Utility” person takes the set-5. How is production material up parts to the Lab 5. How is production material handled while awaiting for measurement. handled while awaiting5.4verification of set-up parts? All material produced after set- verification of set-up parts? (5.4) contained up is (5.4)6. How is the process of the until the verification set-up. 6. How is the process controlled after part normal5.5 After verification the controlled after part verification? (5.5) sampling plan is followed. verification? (5.5) wwwMBCIncorp.com - Martin Business Consulting, Inc. 5
  6. 6. Audit Checklist Development• Once the questions are developed, the auditor must transfer them to a checksheet• The format of the checksheet isn’t important and may vary by auditor.• Each auditor will develop a format that they are comfortable with.• The format development comes from auditor experience. wwwMBCIncorp.com - Martin Business Consulting, Inc. 6
  7. 7. Audit Checklist Development lide ts ex t! n e rma th fo ut le o b he pock ssiC a f or wwwMBCIncorp.com - Martin Business Consulting, Inc. 7
  8. 8. Audit Checklist DevelopmentProcedure Number SOP 101 Rev A Issue Date 2/14/08Audit date May 12, 2008CHECKLIST FOR AUDIT REPORT NO: Page _____ of _____ Item ACTIVITY No: REQUIREMENT Interview COMPLIANCE COMMENTS/REMARKS t fo rm a s heet ul this c heck helpf gh this t how throu see jus itor! ’s go tem to he aud Let by i t item ecome s to b tool wwwMBCIncorp.com - Martin Business Consulting, Inc. 8
  9. 9. Audit Checklist DevelopmentProcedure Number SOP 101 Rev A Issue Date 2/14/08Audit date May 12, 2008 a nd s ue date isCHECKLIST FOR AUDIT REPORT NO: Page _____ of _____ ce dure the Item , Pro ment to ACTIVITY er No: REQUIREMENT Interview numb o cu COMPLIANCE dit. COMMENTS/REMARKS u e dure ks this d of the a ve e Proc ate lin da te ob jecti 1 . Th audit d et ime/ o m es the e at t h ee t bec ed u r cksh s. of th e proc d ch e it on m plete ture aud m pleti h e co e fo r f u p er co 2. T idenc th e p ro ev n as to ess. fi catio it proc 3. Veri al aud n inter wwwMBCIncorp.com - Martin Business Consulting, Inc. 9
  10. 10. Audit Checklist DevelopmentProcedure Number SOP 101 Rev A Issue Date 2/14/08Audit date May 12, 2008CHECKLIST FOR AUDIT REPORT NO: Page _____ of _____ Item ACTIVITY No: REQUIREMENT Interview COMPLIANCE COMMENTS/REMARKS 1. The “item No.”, “Requirement”, and “Interview” field give the auditor a place to itemize the questions to be ask and the person to be interviewed. 2. In most cases the interviewee is identified by job title. 3. There may be some exceptions where a proper name is utilized. wwwMBCIncorp.com - Martin Business Consulting, Inc. 10
  11. 11. Audit Checklist DevelopmentProcedure Number SOP 101 Rev A Issue Date 2/14/08Audit date May 12, 2008CHECKLIST FOR AUDIT REPORT NO: Page _____ of _____ Item ACTIVITY No: REQUIREMENT Interview COMPLIANCE COMMENTS/REMARKS The “Activity Compliance.” and “Comments/Remarks” fields give the auditor a place to document compliance and to record information about the answers given the auditor, or observation of the auditor. wwwMBCIncorp.com - Martin Business Consulting, Inc. 11
  12. 12. Audit Checklist DevelopmentProcedure Number SOP 101 Rev A Issue Date 2/14/08 ” rview on toAudit date May 12, 2008 Issue Date 2/14/08 e “In te rs n th he peProcedure Number SOP 101 Rev A Item 1. I umn is t d. ACTIVITY COMPLIANCE lco COMMENTS/REMARKSe rview No: REQUIREMENT Interview te 1 Who does the machine set-up? (5.1) Set-up Tech be in e ve th ome our 2 When are set-ups conducted? (5.1) Set-up Tech ha r e we that bec r 3 How many parts are run for set-up Set-up Tech 1 . He stions fo r o u que g point verification? (5.2) 4 Where are the parts transferred to? Set-up Tech in (5.3) 4A. Transfer by Who? (5.3) start process. t audi n 5 How is production material Supervisor m ber i cates the handled while awaiting T he nu ses indi being 2. e nt verification of set-up parts? (5.4) pa renth re eleme du 6 How is the process controlled after Machine p roce ated. tig part verification? (5.5) Operator i nves wwwMBCIncorp.com - Martin Business Consulting, Inc. 12
  13. 13. Audit Checklist UseProcedure Number SOP 101 Rev A Issue Date 2/14/08Audit date May 12, 2008Procedure Number SOP 101 Rev A Issue Date 2/14/08 Item ACTIVITY No: REQUIREMENT Interview COMPLIANCE COMMENTS/REMARKS 1 Who does the machine set-up? Set-up Tech Check training records for (5.1) Yes set-up man “John Allen” 2 When are set-ups conducted? (5.1) Set-up Tech 1. The first question is confirmed 3 How many parts are run for set-up Set-up Tech verification? (5.2) as OK and the name of the 4 Where are the parts transferred to? Set-up Tech person being interviewed is (5.3) 4A. Transfer by Who? (5.3) noted. 5 How is production material Supervisor handled while awaiting 2. This allows the auditor to verification of set-up parts? (5.4) confirm training at a later 6 How is the process controlled after Machine interview, perhaps in the HR part verification? (5.5) Operator department. wwwMBCIncorp.com - Martin Business Consulting, Inc. 13
  14. 14. Audit Checklist UseProcedure Number SOP 101 Rev A Issue Date 2/14/08Audit date May 12, 2008Procedure Number SOP 101 Rev A Issue Date 2/14/08 Item ACTIVITY No: REQUIREMENT Interview COMPLIANCE COMMENTS/REMARKS 1 Who does the machine set-up? Set-up Tech Check training records for (5.1) Yes set-up man “John Allen” 2 When are set-ups conducted? (5.1) Set-up Tech Yes Confirmed by lab inspection records and the production schedule for the past 4 set-ups 3 How many parts are run for set-up Set-up Tech verification? (5.2) 4 Where are the parts transferred to? Set-up Tech 1. The second question is (5.3) 4A. Transfer by Who? (5.3) confirmed by the set-up 5 How is production material Supervisor person. handled while awaiting verification of set-up parts? (5.4) 2. Note the follow-up comment 6 How is the process controlled after Machine to confirm this important set- part verification? (5.5) Operator up step. wwwMBCIncorp.com - Martin Business Consulting, Inc. 14
  15. 15. Audit Checklist UseProcedure Number SOP 101 Rev A Issue Date 2/14/08Audit date May 12, 2008Procedure Number SOP 101 Rev A Issue Date 2/14/08 Item ACTIVITY No: REQUIREMENT Interview COMPLIANCE COMMENTS/REMARKS 1 Who does the machine set-up? Set-up Tech Check training records for (5.1) Yes set-up man “John Allen” 2 When are set-ups conducted? (5.1) Set-up Tech Yes Confirmed by lab inspection records and the production schedule for the past 4 set-ups 3 How many parts are run for set-up Set-up Tech No Per the set-up person only two (2) verification? (5.2) parts are being taken to the lab to 4 Where are the parts transferred to? Set-up Tech verify set-up. Inspection records in (5.3) 4A. Transfer by Who? (5.3) the lab confirm this statement 5 How is production material Supervisor 1. The third question is confirmed by handled while awaiting verification of set-up parts? (5.4) the set-up person. 6 How is the process controlled after Machine 2. Note the noncompliance is also part verification? (5.5) Operator confirmed by lab records. wwwMBCIncorp.com - Martin Business Consulting, Inc. 15
  16. 16. Audit Checklist UseProcedure Number SOP 101 Rev A Issue Date 2/14/08Audit date May 12, 2008Procedure Number SOP 101 Rev A Issue Date 2/14/08 Item ACTIVITY No: REQUIREMENT Interview COMPLIANCE COMMENTS/REMARKS 1 Who does the machine set-up? (5.1) Set-up Tech Yes The 1. fourth question isfor Check training records set-up man “John Allen” 2 When are set-ups conducted? (5.1) Set-up Tech confirmed by lab inspection records and the Yes Confirmed by the set-up person, as well asfor the past 4 set-ups production schedule observation of the auditor. beingperson to thetwo (2) Per the set-up only 3 How many parts are run for set-up Set-up Tech verification? (5.2) No parts are taken lab to 4 Where are the parts transferred to? Set-up Tech verify set-up. Inspection records in (5.3) 4A. Transfer by Who? (5.3) the lab confirm this statement 4, Yes/4A Yes 5 How is production material Supervisor handled while awaiting verification of set-up parts? (5.4) 6 How is the process controlled after Machine part verification? (5.5) Operator wwwMBCIncorp.com - Martin Business Consulting, Inc. 16
  17. 17. Audit Checklist UseProcedure Number SOP 101 Rev A Issue Date 2/14/08Audit date May 12, 2008Procedure Number SOP 101 Rev A Issue Date The fifth question is confirmed 1. 2/14/08 Item ACTIVITY No: REQUIREMENT Interview by the supervisor. COMPLIANCE COMMENTS/REMARKS 1 Who does the machine set-up? Set-up Tech Check training records for (5.1) Yes The auditor records the 2. set-up man “John Allen” 2 When are set-ups conducted? (5.1) Set-up Tech supervisors name to confirm Yes Confirmed by lab inspection records and the properproduction schedule for the past 4 set-ups training. 3 How many parts are run for set-up Set-up Tech No Per the set-up person only two (2) verification? (5.2) 4 Where are the parts transferred to? Set-up Tech 3. This trainingare beingInspection records in parts taken to the lab to is confirmed later verify set-up. (5.3) 4A. Transfer by Who? (5.3) in HR. the lab confirm this statement 4, Yes/4A Yes 5 How is production material Supervisor handled while awaiting verification of set-up parts? (5.4) Yes Check training records for supervisor “Kathy Connor” 6 How is the process controlled after Machine part verification? (5.5) Operator wwwMBCIncorp.com - Martin Business Consulting, Inc. 17
  18. 18. Audit Checklist UseProcedure Number SOP 101 Rev A Issue Date 2/14/08Audit date May 12, 2008Procedure Number SOP 101 Rev A Issue Date 2/14/08 Item ACTIVITY No: REQUIREMENT Interview COMPLIANCE COMMENTS/REMARKS 1 Who does the machine set-up? Set-up Tech Check training records for (5.1) Yes 1. The last question is confirmed set-up man “John Allen” 2 When are set-ups conducted? (5.1) Set-up Tech Yes the Confirmed by lab inspection records and the by line operator. production schedule for the past 4 set-ups 3 How many parts are run for set-up Set-up Tech No The auditorthe set-up person only two (2) 2. Per verification? (5.2) partsconfirms proper to are being taken to the lab 4 Where are the parts transferred to? Set-up Tech (5.3) 4A. Transfer by Who? (5.3) process control by Inspection records in verify set-up. verifying the lab confirm this statement inspection records correspond 4, Yes/4A Yes 5 How is production material Supervisor to job instructions for the handled while awaiting verification of set-up parts? (5.4) Yesoperator. training records for Check supervisor “Kathy Connor” 6 How is the process controlled after Machine Confirmed by Job instructions and part verification? (5.5) Operator Yes corresponding inspection records wwwMBCIncorp.com - Martin Business Consulting, Inc. 18
  19. 19. Audit Checklist Use Procedure Number SOP 101 Rev A Issue Date 2/14/08 1 Audit date . T May 12, 2008 hi Procedure Numbers c SOP 101 Rev A Issue Date 2/14/08 bec omp Item o me le ACTIVITY 2. No: s pa ted ch REQUIREMENT Interview Thi does the machine set-up? ck Set-up Tech COMPLIANCE COMMENTS/REMARKS s rt o e 1 Who f th s Check training records for for(5.1) is val u sur are set-ups e au h eet n o Yes set-up man “John Allen” 2inte Whenveill abconducted? (5.1) iSet-up Tech le o dt reco w Yes Confirmed by lab inspection records and the rn a an c b e u je set-up3. 3 Howl many parts arearun for ctive Set-up Tech. au d rd production schedule for the past 4 set-ups Giv i s. dits e No Per the set-up person only two (2) ingverification?t(5.2) and videnc parts are being taken to the lab to pro Wherej are the parts transferred to? fu Teche o e thor 4c edu b4A.cTransfer by Who? (5.3) Set-up e tive tur verify set-up. Inspection records in oug re in q (5.3) the lab confirm this statement e hly ues videnc 4, Yes/4A Yes 5 is tion Howauproduction material e th Supervisor dite awaiting a handled while d . w s at t h e Yes verification of set-up parts? (5.4) Check training records for supervisor “Kathy Connor” 6 How is the process controlled after Machine Confirmed by Job instructions and part verification? (5.5) Operator Yes corresponding inspection records wwwMBCIncorp.com - Martin Business Consulting, Inc. 19
  20. 20. Thank you• If you need additional information, training or direction about “Internal Audit”. Visit our web-site www.MBCIncorp.com• Select the menu tab “Course List & Services”, or “Public Seminars”• Or just contact National Quality Services, – E-mail – BMartin@MBCIncorp.com – Phone – 931-637-1446• Check the web site often for new PowerPoint presentation on many topics of interest wwwMBCIncorp.com - Martin Business Consulting, Inc. 20

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