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5.1. Preparation of Audit Program
Define the scope, objectives and frequency of the audit.
The auditor prepares a comprehensive audit program.
Consult with relevant stakeholders to cover all areas of concern.
Documentation: Audit Program Document
Frequency: As per organizational requirements.
Responsible Party: Auditor
Approval: Reviewed and endorsed by the Managing Director.
5.2. Review and Endorsement of the Audit Program
Ensure alignment with organizational goals.
Submit the program to the Managing Director for review.
Incorporate feedback and adjustments as necessary.
Documentation: Endorsed Audit Program
Frequency: Annually or when updated.
Responsible Party: Managing Director
5.3. Scheduling the Audit
Ensure coverage of relevant areas within defined timeframes.
Schedule audit activities based on the approved program.
Prepare a detailed yearly audit plan, including dates and team assignments.
Communicate the schedule to all auditees in advance.
Documentation: Audit Schedule
Frequency: Annually
Responsible Party: Auditor
5.4. Auditee Awareness and Preparation
Inform and prepare the auditee for the audit.
Notify the auditee of the schedule, scope and expectations (at least 2-4 weeks in advance).
Advise auditees to prepare relevant documents and records.
Documentation: Audit Notification to Auditee
Responsible Party: Auditor
5.5. Team Selection and Checklist Preparation
Equip the audit team to assess operations effectively.
Select team members based on expertise.
Prepare a comprehensive audit checklist.
Documentation: Audit Checklist
Responsible Party: Audit Team Leader, Auditors, Auditees, Management
5.6. Conducting the Audit
Evaluate compliance and identify improvement areas.
Introduce the audit team to the auditee.
Conduct the audit systematically according to the checklist.
Document findings in real-time and categorize them as Minor, Major, or Improvement Opportunities.
Documentation: Audit Report (preliminary findings)
Responsible Party: Auditor and Audit Team
5.7. Sharing Findings and Learnings
Communicate key findings from the audit.
Present preliminary findings to the auditee at the audit's conclusion.
Discuss findings and agree on next steps.
Documentation: Preliminary Audit Findings, Final Audit Report
Responsible Party: Auditor
5.8. Auditee Acknowledgment and Gap Closure Plan
Ensure the auditee acknowledges findings and commits to corrective actions.
Obtain formal acknowledgment of findings from the auditee.
Develop and submit a corrective action plan to the auditor.
Documentation: Corrective Action Plan
Responsible Party: Auditee
5.9. Follow Up on Findings
Verify the effectiveness of corrective actions.
Review and verify the implementation of corrective actions.
Conduct follow up audits as necessary.
Documentation: Follow Up Report
Responsible Party: Auditor
5.10. Compilation of Evidence
Assess compliance and verify findings.
Compile all evidence collected during the audit.
Documentation: Final Audit Report (including compiled evidence)
Responsible Party: Auditor
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