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Exercise 1 Sample Audit Plan

The document outlines an audit plan for an organization. It will involve reviewing records, conducting interviews and tours of different areas from May 3-6. The roles include a lead auditor, assisting auditors, an audit sponsor and employees. A post-audit meeting will be held on May 20 to establish a continuous improvement plan based on the findings.

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Bennice 8
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107 views

Exercise 1 Sample Audit Plan

The document outlines an audit plan for an organization. It will involve reviewing records, conducting interviews and tours of different areas from May 3-6. The roles include a lead auditor, assisting auditors, an audit sponsor and employees. A post-audit meeting will be held on May 20 to establish a continuous improvement plan based on the findings.

Uploaded by

Bennice 8
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
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2014 AUDIT PLAN for __________________

Background:
Short summary why firm doing this audit (i.e. objective)

Audit Criteria:
Identify the audit tool used for this audit

Audit Scope
Identify the parts of the business included in the audit

Participant Roles:

Clarify the roles and responsibilities for all participants. Examples of participants include:

Lead Auditor:

Assisting Auditors:

Audit Sponsor:

Employees (eg. managers/supervisors/workers):

Summary of Activities:
Consider including a summary or table outlining key activities, dates and responsibilities.

Dates Activity Responsible


Pre-audit meeting.

Post audit follow up to establish


continuous improvement plan.
Answer sheet – possible activities

Summary of Activities:

Dates Activity Responsible


May 3 Pre-audit meeting. Lead & Management Team
May 3 Corporate program reviewed Lead
prior to records review,
observations & interviews.
May 4 Audit Questions developed and Lead
issued to assisting auditors.
May 5 Head office records review and Lead
interviews completed.
May 5 Warehouse – Records / Assisting
interviews / tour
May 5 Production area– Records / Assisting
interviews / tour
May 6 Site/dept. audit reports emailed Assisting
to lead auditor.
May 7 Review and complete Audit Lead and Assisting
report.
May 11 Conduct closing meeting. Lead and Sponsor
May 12 Final report issued, reviewed Lead, Sponsor and Senior
and signed off. Manager
May 20 Post audit follow up to establish Lead & Management Team
continuous improvement plan.

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