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Conducting an Internal Audit

Conducting an Internal Audit. By Wendy Newton Edwards. What is an Audit?. An examination of an organisation’s activities to determine if the organisation is doing what it says it is doing. Benefits of an Internal Audit. The efficiency & effectiveness of operations

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Conducting an Internal Audit

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  1. Conducting an Internal Audit By Wendy Newton Edwards

  2. What is an Audit? An examination of an organisation’s activities to determine if the organisation is doing what it says it is doing.

  3. Benefits of an Internal Audit • The efficiency & effectiveness of operations • Compliance with legislation • Internal controls

  4. Steps to take … • Planning the audit • Deliverables: • Agreed Schedule • Evidence • Carrying out the audit • Deliverable: Audit Report • Next Step • Deliverables: • Corrective Action Report & Action Plan • Sign Off document for submission

  5. An Approach • Communicate what is required • Collect Evidence • Audit Interview • Obtaining Documents • Audit Documentation • Complete Audit Report • Gaps • Solutions / Corrective Actions • Discussion • Possible Corrective Action • Corrective Action Report (What & When)

  6. Documents Required • Initial Accreditation Application • Policies & Procedures • Applicable Attachments • Any Previous Audit Reports • Any new Policies & Procedures / relevant documentation created within the last year

  7. When looking at P & Ps • Objective of each policy • Who? (responsibility) • What? (steps / procedures) • How? • When?

  8. Types of Policies & Procedures • Quality Assurance • Administration • Learning Programme Design, Delivery and Evaluation • Learner Entry, Guidance & Support • Resource Mgt (Physical / Financial / HR) • Purchasing / SLA / Storing / Packaging • Assessment Mgt (Ass / RPL / Moderation / Appeals)

  9. Reviewing related documents … E.g. Within the Assessment Procedures an Assessment Plan is mentioned and it is indicated that the Plan is to be signed by both the Assessor and Learner. Audit: Is there an Assessment Plan Template? Is the Template used? Evidence? Should it be used? How applicable is the template?

  10. Summary of Review • Policy & Procedures • Related Documents • Application e.g. changes • Bankseta Accreditation Guidelines (and Own)

  11. Communicating Results Internally • Critical for implementation • Feedback to various stakeholders for adjustments • Make sure target audience fully understands the results • Communicate ASAP

  12. Issues Learnt • Don’t leave it to close to the Deadline! • Spread the load, try avoid one person • Make sure any reference to documents are accessible AND created! • Person allocated needs to know QMS • The more detailed the policy, the easier the audit • Before an audit read each policy

  13. Questions? Wendy Newton Edwards Cell: 083 235 9951 Email: wendynewton@iafrica.com

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