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Pre-Audit Logistics Checklist

This document outlines a pre-audit logistics checklist with the following key parts: Part A addresses securing necessary documents and records from the auditee, assessing audit complexities, and identifying any security, language, or location issues. Part B covers travel and living arrangements such as transportation, hotel reservations, and identification documents if traveling internationally. Part C involves securing audit authorization from the client and identifying the purpose, scope, and standards, as well as selecting the audit team and reviewing their qualifications. Part D lists the methods, materials, and equipment needed including checklists, forms, computers, and communication devices. Part E identifies the necessary outputs including notifying relevant parties of the audit plan

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Richard R M Thodé
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80 views

Pre-Audit Logistics Checklist

This document outlines a pre-audit logistics checklist with the following key parts: Part A addresses securing necessary documents and records from the auditee, assessing audit complexities, and identifying any security, language, or location issues. Part B covers travel and living arrangements such as transportation, hotel reservations, and identification documents if traveling internationally. Part C involves securing audit authorization from the client and identifying the purpose, scope, and standards, as well as selecting the audit team and reviewing their qualifications. Part D lists the methods, materials, and equipment needed including checklists, forms, computers, and communication devices. Part E identifies the necessary outputs including notifying relevant parties of the audit plan

Uploaded by

Richard R M Thodé
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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Download as PDF, TXT or read online on Scribd
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Pre-Audit Logistics Checklist 10 4P R C HK-1

Lo catio n :

A u d it Start D ate : A u d it N o :

Part A: Auditee Interface


[1] Secure documents/ records: quality manual, prior audit reports, corrective action
log/reports.
[2] Assess audit complexities: number of employees, geographical size, process/ operation
complexities, new process/ product/ service, other.
[3] Identify security, health, and safety requirements: security clearance, need for safety
orientation, safety equipment, clothing restrictions.
[4] Identify language issues that could affect the audit, command of English language, languages
other than English.
[5] Obtain recommendations for suitable hotels (e.g. moderately priced & close to the audit site).
[6] Secure instructions on how to get to the audit site and who to contact upon arrival.
[7] Identify meeting room for opening meeting and closing meeting.
[8] Office space for auditor(s) with table surface, electrical receptacles, telephone.
[9] Seek audit plan pre-approval.
[10] Secure detail interview schedule agreement.
Part B: Travel and Living Arrangements (consider: cost and convenience)
[1] Transportation: airplane reservations, auto arrangements, etc.
[2] Hotel: lodging reservations.
[3] Identification: passport/ visa if out of country.
Part C: Client Interface
[1] Secure audit authorization: memo, letter, schedule
[2] Identify purpose, scope, and performance standards.
[3] Select team.
[4] Review auditor qualifications, experience, and background.
[5] Secure audit plan approval.
Part D: Audit Team Methods, Materials and Equipment
[1] Performance standard, supplier contract.
[2] Auditing procedures, guidelines, instructions.
[3] Produce/ provide checklist, log sheets.
[4] Secure Forms: audit/ auditor evaluation forms, report forms, attendance roster, opening
meeting forms, closing meeting forms, nonconformance forms, etc.
[5] Computer, printer, paper and software.
[6] Need for other communication devices: cell phone, pager.
Part E: Outputs
[1] Notification, letter, memo, e-mail, or other means (auditee, client).
[2] Audit plan (auditee, client, audit team members).
[3] Overall schedule (auditee, client, audit team members).
[4] Detail interview schedule (auditee, audit team members).

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[5] Travel & living arrangements (auditee, audit team members).
[6] Inform other auditors of their assignments.

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