Preaudit, Audit and Post Audit Checklist

Preaudit checklist:
1. Who are the members of the audit team, and what are their roles and assignments?
2. What are the credentials and experience of the assigned audit team?
3. What orientation or training can you provide them to be comfortable within the environment?
4. Communicate with your managers and sta. in the areas to be audited.
5. If an area was audited before, review the prior report to see the issues raised and the recommendations made. Get an update of corrections or changes made as a result of prior
audit work and give your sta. and the audit department credit.

Audit checklist:
1. Purpose of the audit?
2. Scope and objectives?
3. Who are the audit sta. assigned? (Ask to be noti. ed if any sta. are changed.)
4. Timeframe for work to be performed?
5. Use of computer time/access to system/logs/training needed.
6. Access to IT management and sta. ?
7. Communicate (1) and (2) to all IT sta. a. ected.
8. Set weekly or biweekly meetings with audit manager/audit team to discuss audit progress and issues.
9. Before the audit is . nished, request closeout conference from audit group.
10. Request a copy of audit report.

Postaudit checklist:
1. When the audit report is issued, pull your team together and discuss the report; if you follow the preceding steps, there should be no surprises. If there are, there was a communication breakdown somewhere.
2. If you disagree with the report or portions of the report, do so in writing with supporting evidence. Remember, the auditor has supporting evidence for their reports, and this exists in their working papers. For those areas you agree, indicate what corrective actions your team plans to take.
3. Have your team provide a status report to you on a three–six-month cycle with a copy to go to internal audit. A is shows that you value their work.