H
Helmut Jilling
Auditor / ConsultantFeb 19, 2008
#2
Feb 19, 2008
#2
Re: Can someone share their audit checklist for human resources?
You should not be auditing your processes from a checklist, per se. You should audit the process' sequence of steps, and the interactions between it and linked processes as described in the procedures, flowcharts or whatever you use to define and describe/explain the process. And, you should assess whether it is compliant, and if it is effective. You should also audit whatever metrics are monitored to review it's effectiveness.
Auditing to checklists alone is passe.
sardonyx said:
Any help or suggestions? Aside from training records and matrix, what else should I consider? Thanks in advance for any inputs.
Click to expand...
You should not be auditing your processes from a checklist, per se. You should audit the process' sequence of steps, and the interactions between it and linked processes as described in the procedures, flowcharts or whatever you use to define and describe/explain the process. And, you should assess whether it is compliant, and if it is effective. You should also audit whatever metrics are monitored to review it's effectiveness.
Auditing to checklists alone is passe.
P
Patricia Ravanello
Quite Involved in DiscussionsFeb 19, 2008
#3
Feb 19, 2008
#3
Re: Can someone share their audit checklist for human resources?
If your internal auditors are having problems preparing for the audit, they should, as Helmut suggested review the process/flowchart, etc and then might want to prepare their own "check list" as a reminder of things to verify...however there is no such thing as a generic check list anymore...
sardonyx said:
Any help or suggestions? Aside from training records and matrix, what else should I consider? Thanks in advance for any inputs.
Click to expand...
If your internal auditors are having problems preparing for the audit, they should, as Helmut suggested review the process/flowchart, etc and then might want to prepare their own "check list" as a reminder of things to verify...however there is no such thing as a generic check list anymore...
Stijloor
Staff member
Super Moderator
Feb 20, 2008
#5
Feb 20, 2008
#5
Re: Can someone share their audit checklist for human resources?
I agree Helmut, but for newbie auditors, to have some audit points listed [on a simple "cheat sheet"] may be helpful to ensure that important process activities are not overlooked. As long as the list does not drive the audit.
Stijloor.
Helmut Jilling said:
Auditing to checklists alone is passe.
Click to expand...
Stijloor.
H
Helmut Jilling
Auditor / ConsultantFeb 20, 2008
#6
Feb 20, 2008
#6
Re: Can someone share their audit checklist for human resources?
I fully agree. Note, I said using checksheets alone, is passe. In fact, I encourage clients to make an official "cheatsheet" for each process to facilitate auditors doing a better job.
However, it has to be used as an add on to auditing the process flow, the procedures and the linkages.
Interestingly, I made an internal audit system that leads a newbie auditor through a process audit, using all the required steps, in a checksheet format. I use it in my internal auditor training sessions to help facilitate new auditors learning how to do this. It works very well.
Stijloor said:
I agree Helmut, but for newbie auditors, to have some audit points listed [on a simple "cheat sheet"] may be helpful to ensure that important process activities are not overlooked. As long as the list does not drive the audit.
Stijloor.
Stijloor.
Click to expand...
However, it has to be used as an add on to auditing the process flow, the procedures and the linkages.
Interestingly, I made an internal audit system that leads a newbie auditor through a process audit, using all the required steps, in a checksheet format. I use it in my internal auditor training sessions to help facilitate new auditors learning how to do this. It works very well.
Randy
Super Moderator
Feb 20, 2008
#7
Feb 20, 2008
#7
Re: Can someone share their audit checklist for human resources?
My audit checklist?
The appropriate requirements from the applicable standard.
Their procedures.
Thier statements that are given as fact.
I look for evidence of effective fulfillment of the above.
The end.
My audit checklist?
The appropriate requirements from the applicable standard.
Their procedures.
Thier statements that are given as fact.
I look for evidence of effective fulfillment of the above.
The end.
P
Patricia Ravanello
Quite Involved in DiscussionsFeb 20, 2008
#8
Feb 20, 2008
#8
Re: Can someone share their audit checklist for human resources?
Is your Audit Prep Checksheet proprietary, or can you post it, or at least the basic process sequence that your recommend?
Helmut Jilling said:
I fully agree. Note, I said using checksheets alone, is passe. In fact, I encourage clients to make an official "cheatsheet" for each process to facilitate auditors doing a better job.
However, it has to be used as an add on to auditing the process flow, the procedures and the linkages.
Interestingly, I made an internal audit system that leads a newbie auditor through a process audit, using all the required steps, in a checksheet format. I use it in my internal auditor training sessions to help facilitate new auditors learning how to do this. It works very well.
However, it has to be used as an add on to auditing the process flow, the procedures and the linkages.
Interestingly, I made an internal audit system that leads a newbie auditor through a process audit, using all the required steps, in a checksheet format. I use it in my internal auditor training sessions to help facilitate new auditors learning how to do this. It works very well.
Click to expand...
Stijloor
Staff member
Super Moderator
Feb 20, 2008
#9
Feb 20, 2008
#9
Re: Can someone share their audit checklist for human resources?
Randy,
We love simplicity!
Randy said:
My audit checklist?
The appropriate requirements from the applicable standard.
Their procedures.
Thier statements that are given as fact.
I look for evidence of effective fulfillment of the above.
The end.
The appropriate requirements from the applicable standard.
Their procedures.
Thier statements that are given as fact.
I look for evidence of effective fulfillment of the above.
The end.
Click to expand...
We love simplicity!