South East Training - Business Process Auditing Toolkit
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The Opening Meeting
The opening meeting marks the start of the investigation phase of the business process audit. It is held on site, with the local management, and is chaired by the lead auditor.
The meeting gives the auditors the opportunity to confirm the purpose, scope and programme for the audit, to explain the audit process and to confirm the availability of the interviewees. The meeting may also provide the auditor with an insight into the local management's attitude towards business process auditing and business process improvement in general.
This meeting should normally take take no longer than 15 minutes. A suggested agenda appears below.
|Introductions||Introductions of all present at the meeting and completion of an attendance list. The list forms part of the audit record.|
|Purpose||Explanation of the purpose of the audit and, if necessary, a statement about the authority for conducting it.|
|Scope||Confirmation of the scope of the audit.|
|Programme||Review of the audit programme. The auditors should confirm that personnel with an understanding of the processes to be investigated will be available for interview. Further information about audit programmes appears on the Audit Programme page.|
|Guides||The introduction of personnel who will guide the audit team from one location to another as required.|
|Responsibilities||Identification of audit responsibilities, e.g. which auditors will audit which areas? Who will agree the observation statements for the auditee?|
|Documentation||Confirmation of the status of documents, e.g. policy statements, procedures, protocols, used by the auditors to prepare the audit.|
|Communication||With whom the audit team should communication in the event of a serious problem being encountered during the audit, such as a failure of personnel to co-operate with the audit team.|
Confirmation of arrangements such as:
|Auditee Response||Response to any information offered, or questions put, by the auditee management.|
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