Audit Notification

Audit Notification

It is paramount to notify an auditee of an audit in order to give them enough time to prepare. This is applicable to both internal and external audits.  Notifications can be in form of emails, audit plans, letters, or internal audit plans that are distributed at the beginning of a financial year. 

Unannounced audits are also acceptable in cases such as cash counts and food audits in the hospitality sector or any other processes that management deems necessary to conduct ad-hoc audits.

Different organizations have different time frames for audit notifications. Some opt for seven days while others go for fourteen days. The truth of the matter is the days are determined based on the processes and the complexities of these processes and just how busy an organization is. 

The information which is included in an audit notification:

  1. The exact audit dates for the audit
  2. Timetable including the audit activities at the various processes/department
  3. The auditees – this can be in form of their names, process owners, or department and their heads depending on who is to be audited. 
  4. Names of the audit team members indicating the team leader, any observers, and technical experts
  5. The roles and responsibilities of the audit team members- the particular processes the auditors will audit.
  6. The audit objective(s) i.e. 
  • To verify conformance to documented procedures  
  • To Verify conformance to ISO 9001:2015
  •  To verify conformance to legal requirements ( statutory and regulatory requirements )
  • To identify any areas of improvement
  • To check the effectiveness of the system in attaining the set objectives
  1. Audit basis 
  2. Audit criteria e.g.  Relevant International Standards (ISO), documented procedures, Legal requirements- both statutory and regulatory requirements. 
  3. Audit scope – which shall include a description of the extent and boundaries of the audit. If there are any processes to be avoided during audits, this should be clarified and justifications are given. 
  4. Any resources required for the audit 
  5.  The signature of the lead auditor or the person who prepared the notification/audit plan.

Sample

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