The JCI Internal Audit Checklist PDF

A JCI internal audit checklist pdf is an indispensable resource when conducting an internal audit, helping to pinpoint areas which need improving and those which meet standards.

Audits typically focus on quality planning. This involves questions regarding inspection of samples from production and documenting test results.

1. Identify the Purpose of the Audit
Hard evidence of what’s not working and offering solutions can save an organization significant resources in the long run. This approach can reduce time needed for external audits, address existing process issues more efficiently and help prepare for ISO 9001 certification.

Step one of planning an internal audit for JCI should be to establish its purpose and objectives, which will assist with identifying stakeholders and what needs to be audited as well as providing a clear roadmap for its execution.

It is crucial that all stakeholders involved in an audit understand and can agree upon a timeline for planning, performing and documenting it. This involves identifying key processes, departments and individuals involved as well as setting its scope. Furthermore, setting a schedule for interview scheduling, walkthroughs planning and testing ensures all are on board.

2. Identify the Auditors
Auditors conducting internal audits typically are professionals from diverse educational backgrounds who have been trained according to Institute of Internal Auditors standards. They should remain independent from the operations they are evaluating, interviewing employees, inspecting evidence, testing controls and reading policies as part of their evaluation of an organization’s effectiveness.

Based on the type of audit being conducted, different kinds of auditors may be needed. An environmental audit involves evaluating how your company affects the environment while sustainability auditors assess performance against United Nations Sustainable Development Goals.

Security and technology audits involve reviewing information technology systems to ensure their accuracy and security, often specialization being required in areas like change management or system backups and recovery. Likewise, ISO has established standards of information assurance.

3. Identify the Audit Schedule
Once you’ve identified all of the processes that need to be audited, it is essential to determine which are most essential. Critical processes will cause customers to experience disruption if they break down and should therefore be reviewed more frequently for potential audit.

Another important consideration in audits is how long they should last. If time and budget constraints prevent a comprehensive examination, limiting the process areas reviewed will help focus efforts more efficiently and decrease chances of missing important findings.

Once you have identified which processes require review, it’s essential to establish an audit schedule. This should be documented and communicated to all employees; ideally this should occur monthly if possible or quarterly otherwise; additionally any exceptions to this should also be recorded.

4. Identify the Audit Report
An audit report is the formal document which contains the auditor’s findings and conclusions after conducting an examination of financial statements of a company. Typically addressed to shareholders or directors of said company, an audit report typically begins with an introduction paragraph which clearly establishes its independence as well as that the financial statements have been scrutinized according to generally accepted accounting principles (GAAP).

The main body of an audit report typically comprises three paragraphs that outline an auditor’s responsibilities, purpose, and conclusions. Finally, in its concluding paragraph is presented their audit opinion which may either be unqualified or qualified based upon findings in previous sections of the report.

The third section of an audit report examines the effectiveness of the process being examined, including checking that procedures for identifying hazards and control measures are functioning as intended, whether processes are running as intended, and checking to ensure interfaces between departments are working as expected.