“ Self Audit Process”
<ul><li>Institutionalisation  of  the process of  continuous self review  </li></ul><ul><li>of operations. </li></ul><ul><...
<ul><li>SOPs / Operating Manuals / Factory Procedures </li></ul><ul><ul><li>How many  areas already covered ? </li></ul></...
<ul><li>Checking Compliance with Manuals </li></ul><ul><ul><li>Checklist / Questionnaire preparation </li></ul></ul><ul><u...
<ul><li>Review of Repeated Audit Features </li></ul><ul><ul><li>List of items  for review  </li></ul></ul><ul><ul><li>Putt...
<ul><li>Self Audit Process </li></ul><ul><li>Audit Schedules </li></ul><ul><li>Audit Analysis / Reports </li></ul><ul><li>...
Self Audit Process - Sample Model
<ul><li>Scope  Total  Coverage </li></ul><ul><li>Production   13 12 </li></ul><ul><li>Maintenance   8   7 </li></ul><ul><l...
<ul><li>Scope  Total  Coverage </li></ul><ul><li>Gypsum Mktg   1   1 </li></ul><ul><li>General   2   2 </li></ul><ul><li>P...
FPM Internal Audit  -  Month   Employee Response Sheet Unit :  Group :  Name of the Auditor’s  :  Date: Name of the Audite...
FPM Internal Audit  -  Month   Employee Response Sheet Query  Response Aware of any documents  emanating from FPM Process ...
Specimen Audit Response
Specimen Audit  Schedule
Specimen Audit  Schedule
“  THANK YOU “
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3a 6 Self Audit Process

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As IAs , have we not show the way to the operating departments ? Self Ausdit talks about how the audit customers can do a self check ...

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3a 6 Self Audit Process

  1. 1. “ Self Audit Process”
  2. 2. <ul><li>Institutionalisation of the process of continuous self review </li></ul><ul><li>of operations. </li></ul><ul><li>Appropriate course corrections by concerned Executives on all </li></ul><ul><li>repeated audit features as well as deviations from set procedures. </li></ul><ul><li>Facilitates continuous improvements </li></ul><ul><li>Enables ‘Management Audit’ to effectively plan their year end </li></ul><ul><li>audit work - reporting on the effectiveness of the process than on </li></ul><ul><li>isolated deviations. </li></ul>Advantages
  3. 3. <ul><li>SOPs / Operating Manuals / Factory Procedures </li></ul><ul><ul><li>How many areas already covered ? </li></ul></ul><ul><ul><li>Signed Manuals already released </li></ul></ul><ul><ul><li>Common areas brought out </li></ul></ul><ul><ul><li>Includes control procedures for each activity? </li></ul></ul><ul><ul><li>Explains the Self Audit Process to be in place, viz. Area, </li></ul></ul><ul><ul><li>Executive(s) responsible for audit, periodicity? </li></ul></ul><ul><ul><li>Plan of future action? </li></ul></ul>Pre-requisite - well documented manuals Status Analysis
  4. 4. <ul><li>Checking Compliance with Manuals </li></ul><ul><ul><li>Checklist / Questionnaire preparation </li></ul></ul><ul><ul><li>Visits / Interviews with concerned personnel </li></ul></ul><ul><ul><li>Brief one page report preparation </li></ul></ul><ul><ul><li>Escalation of exceptions during monthly operations </li></ul></ul><ul><ul><li>review meetings </li></ul></ul><ul><ul><li>Action Plan on deviation - Responsibility / Time Schedule </li></ul></ul>Self Audit Schedule
  5. 5. <ul><li>Review of Repeated Audit Features </li></ul><ul><ul><li>List of items for review </li></ul></ul><ul><ul><li>Putting in place Structured MIS - periodicity </li></ul></ul><ul><ul><li>Analysis and Exception reporting </li></ul></ul><ul><ul><li>Action Plan on areas for further improvement - </li></ul></ul><ul><ul><li>Responsibility / Time Schedule </li></ul></ul>Self Audit Schedule
  6. 6. <ul><li>Self Audit Process </li></ul><ul><li>Audit Schedules </li></ul><ul><li>Audit Analysis / Reports </li></ul><ul><li>Meeting Minutes </li></ul><ul><li>Action taken Report </li></ul>Documentation & Record Keeping on Self Audit
  7. 7. Self Audit Process - Sample Model
  8. 8. <ul><li>Scope Total Coverage </li></ul><ul><li>Production 13 12 </li></ul><ul><li>Maintenance 8 7 </li></ul><ul><li>Projects 4 3 </li></ul><ul><li>Personnel 3 3 </li></ul><ul><li>Finance 3 3 </li></ul><ul><li>Distribution 1 1 </li></ul><ul><li>Laboratory 1 1 </li></ul>Specimen
  9. 9. <ul><li>Scope Total Coverage </li></ul><ul><li>Gypsum Mktg 1 1 </li></ul><ul><li>General 2 2 </li></ul><ul><li>Purchase 2 1 </li></ul><ul><li>Safety 1 1 </li></ul><ul><li>Total 39 35 </li></ul>Specimen
  10. 10. FPM Internal Audit - Month Employee Response Sheet Unit : Group : Name of the Auditor’s : Date: Name of the Auditee : No & Name of the Procedure: Query Response Updated Copy - Aware? Check Understanding - FPM Aware of responsibility - FPM (To whom all applicable) Specimen
  11. 11. FPM Internal Audit - Month Employee Response Sheet Query Response Aware of any documents emanating from FPM Process of preparing the documents and record keeping Process of tracking of the FPM Constraints in adhering to FPM Suggestion for improvement- Why? Suggestion for New IT tools implementation for FPM Any other remarks Specimen
  12. 12. Specimen Audit Response
  13. 13. Specimen Audit Schedule
  14. 14. Specimen Audit Schedule
  15. 15. “ THANK YOU “

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