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Internal Audit Checklist - Standard vs. Process Based

Last post 02-23-2008 9:47 by Daniel Rae. 2 replies.
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  • 02-13-2008 10:40

    Internal Audit Checklist - Standard vs. Process Based


     

    What practice do you tend to use when performing an internal audits. Do you use various checklists across different standards, or do you use a process approach driven from a flow charts?

    Any comments welcome

    Thanks

    Gregor

     

    Gregor McCall
    Upgrade Solutions Manager
    Gael Ltd


    t: +44 (0)1355 593 421
    f: +44 (0)1355 579 191
    w: www.gaelquality.com
  • 02-22-2008 18:28 In reply to

    Re: Internal Audit Checklist - Standard vs. Process Based


    short answer - I combine both the process and standard based approach for internal audits, ISO 9001:2000, creating seperate audit reports by department and also by standard. This demonstrates conformance to internal procedures as well as your standard.

    long answer - The standard that you need to conform to should point you in the right direction. Ask yourself what you need to show auditors from another organization when they view your internal audit reports. 

    I like to divide the internal audit into functional or logical areas first, and collect all the related procedures - documents -  flowcharts - whatevers. Then start organizing using the audit module. Create an audit record for each area, and add all the related documents and department to the scope. use that organized list to develop a checklist and save that in the audit record so you have it next time.

    You may also need to review whatever standard you are working with, to verify that you are also auditing anything related to compliance with said standard. Create a seperate audit record that references the areas of the standard that were covered in your process approach, then you can cover anything that hasnt been hit with the process approach. Here is an example, at my company we have procedures for the receiving, storing, and tracking of material. These procedures cover ISO 9001 7.5.4 control of customer property, so there is no need to cover that while auditing based on the standard.

  • 02-23-2008 9:47 In reply to

    • Daniel Rae
    • Top 10 Contributor
    • Joined on 12-14-2007
    • Gael Ltd
    • East Kilbride
    • Lanarkshire
    • Scotland
    • Posts 674
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    Re: Internal Audit Checklist - Standard vs. Process Based


     Great answer, thanks for replying techguru. And welcome to the community! Yes

    Daniel Rae
    Web Community Champion
    Gael Ltd

    t: +44 (0)1355 593 435
    f: +44 (0)1355 579 191
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