Internal Quality Audits: What They Are and How To Carry Them Out
[Pages:38]Internal Quality Audits: What They Are and How To Carry Them Out
A024XX10296 (Internal Quality Audits) Issue 2 31 July 1996
The National Computing Centre Limited Oxford House, Oxford Road Manchester M1 7ED
Telephone: Fax:
UK 0161 228 6333 0161 236 9877
International (+44) 161 228 6333 (+44) 161 236 9877
? The National Computing Centre Limited 1996 All Rights Reserved.
The copyright in this document is vested in The National Computing Centre Limited. The document must not be reproduced, by any means in whole or in part or used for manufacturing purposes, except with the prior written permission of The National Computing Centre Limited and then only on condition that this notice is included in any such reproduction. Information contained in this document is believed to be accurate at the time of publication but no liability whatsoever can be accepted by The National Computing Centre Limited arising out of any use made of this information.
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Internal Quality Audits: What They Are and How To Carry Them Out A024XX10296 (Internal Quality Audits) Issue 2
Issue Record
Issue 1 Draft A
2
Date 31.10.95 331.7.96
Comment For comment/approval For issue to new client
A024XX10296 (Internal Quality Audits) Issue 2 Internal Quality Audits: What They Are and How To Carry Them Out
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Internal Quality Audits: What They Are and How To Carry Them Out A024XX10296 (Internal Quality Audits) Issue 2
Contents
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2 Why Audit? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 3 The Purpose of an Internal Audit System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 4 What is an Audit?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 5 Types of Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
5.1 Internal and External Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 5.2 The Basic Approaches to Auditing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
6 The Structure of an Internal Audit System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 7 Organising Audits: Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 8 Auditors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 9 A Short Exercise in Auditing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 10 Questions, Questions - Interviewing Techniques for Auditing . . . . . . . . . . . . . . . . . . . . . 10
10.1 Examples of Open Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 10.2 Examples of Closed Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 10.3 When to Use `Open' and `Closed' Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
11 Practical Auditing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
11.1 Personality Traits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 11.2 Interviewing Style . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
12 Scheduling Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
12.1 When do You Carry Out Audits?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
13 How to Carry Out an Audit: An Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 14 Audit Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 15 The Missing Question and the Forbidden Word . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
15.1 The Missing Question . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 15.2 The Forbidden Word . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
16 Management Review Function. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
A024XX10296 (Internal Quality Audits) Issue 2
Internal Quality Audits: What They Are and How To Carry Them Out
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