The audit was carried out according to a checklist. Checklists for the areas of activity of the faculty Checklist Area of ​​audit Quality of faculty staffing Place of inspection: Auditor

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1 s in the areas of activity of the faculty Checklist Region Quality of staffing of the faculty Does the percentage of teachers at the faculty's rates correspond to the requirements of the Federal State Educational Standard? Does the percentage of teachers' graduation by individual faculty correspond to the requirements of the Federal State Educational Standard? Does the percentage of doctors of science meet the requirements of the Federal State Educational Standard? Is there a personnel reserve for the position of dean of the faculty? Are there teachers from among current managers and employees of specialized organizations, enterprises and institutions? Does the number of full-time teachers meet regulatory requirements?

2 Area Quality of the educational process at the faculty Is the quality of teaching analyzed by the Faculty's Academic and Methodological Councils? What are the main decisions? Does the average score on the intermediate assessment of students meet the requirements of the university? (Indicate the results of intermediate certification for courses for the reporting period) Does the average IGA score of interns and residents meet the university requirements? What are the dynamics of IGA results for the reporting period? What are the results of the initial accreditation of specialists? (when carried out) Has the faculty carried out a procedure for external assessment of the quality of education? What are the main results? Is work carried out with underachieving students?

3 Area Quality of educational and methodological work of the faculty 1% provision of work programs of disciplines/practice programs Is the educational process provided with materials for intermediate and final control in full (FOS)? Is the supply of basic and additional literature at the Faculty of Federal State Educational Standards adequate? (indicator, %) Is there methodological support: simulation training? e-learning, learning using distance technologies? Is methodological support monitored at the faculty? In the case of completing coursework, a graduate of qualifying work, does the subject matter of the Kyrgyz Republic, thesis correspond to the profile of the EP? (90%)

4 Area Quality of educational work at the faculty Is there full documentation regulating the process of educational work at the faculty? Is educational work planned at the faculty? Is the analysis of educational work carried out at the faculty? Are questions on educational work presented to the Academic and Methodological Councils of the faculty? Are faculty students informed about events, forms and types of educational work at the faculty? What evidence? Do faculty members serve as supervisors of academic groups? Do students of the faculty: a) participate in research work? B) in Olympiads at various levels?? C) in the implementation of educational programs? D) in the work of sports sections, clubs, associations, studios, etc.? e) in educational activities Are there any students in need of dormitories? Is there an analysis of the quality of educational work and monitoring of decisions made? Is the career guidance process carried out at the faculty? Among applicants and among graduates for postgraduate programs? What are the results of monitoring students’ satisfaction with the quality of extracurricular activities?

5 Area Quality of research activities 7. Are there any applications for grants implemented at the faculty? Are international scientific projects implemented at the faculty? Are there patents for inventions received by employees of departments implementing EP at the faculty? Do students take part in a competition for the best scientific work? Do students participate in scientific events: conferences, forums, symposia, etc.? (publications and presentations) Does the faculty control and monitor the results of research activities? What are the results of monitoring student satisfaction with the quality of research activities?

6 Area Quality of international activities and mobility of faculty students. Cooperation with Russian and foreign universities, organizations, institutions, enterprises Is there documentary evidence of the implementation of international socially significant projects at the faculty? Do faculty members undergo foreign internships? Is there any grant support for international activities? Are there international student exchanges? Do teachers and students of the department participate in international conferences and seminars? Do foreign students study at the faculty?

7 Area Contingent of students and graduates of the faculty Is the plan for admitting applicants to the faculty, including places with full reimbursement of costs, being implemented? Is the movement of the contingent recorded? The main reasons for the expulsion of students:

8 Area Quality of material, technical and library and information resources Do library and information resources meet the requirements of the Federal State Educational Standard? Does the provision of electronic library resources meet the requirements of the Federal State Educational Standard? Is there control over the material and technical support of the educational process at the faculty?

9 Area Quality of organizational and management activities, QMS Is there a work plan for the faculty approved by the vice-rector for water management? Are quality objectives taken into account when planning faculty activities? Does the faculty's document flow meet the university's requirements? Are there plans, minutes of meetings and regulations on the Academic and Methodological Council of the faculty? Does the activity of the Academic Council comply with the regulations on the Faculty Academic Council? Are there approved quality objectives? Is there an approved list of quality records? Is there a report on the work of the faculty approved by the Vice-Rector for Academic Affairs? Is customer satisfaction monitored? Are its results analyzed? Is the effectiveness of the educational process monitored? Are its results analyzed? Has a CD/PD plan been developed at the faculty based on the SAC report? Monitoring process performance? Monitoring customer satisfaction?

10 1 Is the implementation of plans monitored at the faculty? (faculty work plan, quality goals, comprehensive faculty development program, CD/PD plan)

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Audit... For accountants and employees of financial departments, this topic causes a feeling of slight anxiety, and for people in creative professions, it brings outright boredom. But for every manager it is very important to know what is actually happening in the area of ​​​​work entrusted to him. In addition, if you approach this issue “with soul,” then sincere interest will take the place of boredom.

Let's imagine a three-dimensional figure, for example, a cube. Dividing it by vertical and horizontal planes into a certain number of cells, we get n equal cubes. By placing hinges at the vertices of the cube, we can, while keeping the base in one place, tilt it in a vertical plane - left/right or forward/backward. We have obtained a flexible structure that, despite all changes, retains all the main parameters: height, width, depth ( rice. 1).

Rice. 1. Illustration of the flexibility of matrix structures

The matrix structure of the Atlant-M holding can be likened to such a moving cube: it has departments - commercial And budget(in our company, a department is an independent company code).

The main functions of budget departments (for example, department personnel management, department business development) include the development, implementation and control of the execution of management decisions, policies, regulations, procedures, etc. It is these units that create the framework of the “cube”, their activities ensure the strength of the entire structure, since they:

describe the experience gained; optimize existing business processes;

transfer best practices to other departments;

organize the work of new enterprises;

optimize business processes using an ERP system and control the activities of commercial departments.

The components of the “cube” of our company are commercial branches - separate auto centers. Under pressure from external influences, its axes can shift, adapting to current events (for example, the global financial crisis). The management system created and protected by the budget departments does not allow the entire structure of the holding to crumble under the influence of “displacements” into individual cubes. Such tools that help maintain system integrity include audits.

The audit allows you to solve the following tasks:

monitor the activities of branches in all business processes;

collect information about areas of activity that can be optimized;

analyze the effectiveness of innovation implementation on the ground;

conduct benchmarking studies of the success of branches operating in different markets with different brands of cars.

Audits are carried out for each business process (based on the relevant Regulations) using checklist (check-list- checklist, list of questions, inspection plan), which consistently describes which processes and operations are mandatory for a particular department. The checklist is made in the form of a table with indicators (program file Excel with several “sheets” - rice. 2, 3).

Rice. 2. General view of the checklist

Click on image to enlarge

Rice. 3. View of a separate sheet

The audit technology was introduced into the management practice of our company by employees of the business development department. Our best specialists work here - experts in the sale of cars and spare parts, service and warranty service, disposition and logistics, and finance. Let me note that we constantly use working groups to solve new problems or create new technologies. The group that developed the audit methodology included HR specialists from Minsk, Moscow and Kyiv (8–10 people, the composition varied depending on the stage of work). The training was carried out on a specially created virtual platform using the Internet.

At the initial stage, initiatives from group members were collected - proposals regarding the inspection procedure and proposals on the content of the checklist. This information was consolidated, structured and presented to group members for study and adjustment. In total, several such iterations were carried out in the process of developing methods.

When developing the checklist, we aimed to:

Minimize the time required to fill it.

Use important and measurable(!) criteria, do not overload it with excessive detail.

To test the functionality of checklists before starting scheduled audits, several pilot projects were implemented.

How do audit data benefit us?

Employees of departments with a high integral performance assessment at the end of the year receive a bonus. (The integral assessment is equal to the sum of audit scores for the functions of the main and end-to-end (supporting) business processes, which have a certain weight.)

Based on the results of the audit report, each department receives an action plan that will help optimize its work.

Paying a lot of attention to core business processes, we do not forget about budget departments (finance, information technology, marketing, personnel management), and regularly improve their activities.

The personnel management system at Atlant-M can be schematically represented as a star with five main rays - areas of activity ( rice. 4): selection and use of human resources; development; grade; motivation; safety.

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Rice. 4. HR management scheme in the Atlant-M holding

* “Personnel ballast” - maladapted employees who systematically make serious mistakes and mistakes in their work; people with low motivation who have not been performing their functions effectively for a long time; unwilling or unable to learn/repurpose their activities. If the manager considers their further work inappropriate, he begins either the dismissal procedure or (if appropriate) transfers lists of such employees to the human resources department for retraining.

The “Star” scheme helps young managers and specialists with no experience in personnel management to master the basics of people management, and young HR professionals to prepare for licensing. In our company, licensing is an internal exam confirming the presence of the necessary amount of knowledge to conduct a certain activity.

Audit of business process implementation "Human Resource Management" (HP) In the departments we conduct it in the form of performance assessment. The reasons for it are:

verification (review of documentation, collection of oral information);

comparison of the collected data with the regulatory and basic requirements of the Regulations/Standards of Operations in the field of PM.

The purpose of the audit is to obtain reliable information about the compliance of the activities performed with corporate standards of work, and, if necessary, to develop measures to eliminate shortcomings in working with personnel. The audit process is described in the relevant Regulations, which are guidelines for commission members. The regulation helps department heads and commission members determine requirements for each criterion and consider controversial issues.

Each area of ​​HR activity - the ray of the “star” - consists of several blocks and is reflected on a separate sheet of the checklist ( rice. 3). The verification program includes:

calculation and assessment of economic indicators of UE;

checking compliance with regulations;

checking personnel document flow.

We evaluate economic results in UE based on the plan/actual ratio: we check the deviation of current indicators from planned ones - productivity, profitability and staff turnover. Staff turnover, in turn, is assessed by two groups of indicators - overall staff turnover and staff turnover in key positions. The assessment is carried out on a three-point scale, where:
“1” - the work fully complies with the requirements described in the documentation;
“0.5” - the work is not being carried out in full, there are comments;
“0” - work is carried out to a minimum extent or not at all.

The audit is carried out by a commission consisting of at least two people. The checklist presents two groups of criteria:

to check the availability of documents and their correctness;

to conduct an interview.

Representatives of three groups of personnel are interviewed: managers; specialists; workers. The number of employees interviewed must be necessary and sufficient to ensure that auditors obtain a clear picture of the group of criteria being assessed. Our experience shows that to do this, it is enough to interview 10–20% of the department’s staff.

On a separate sheet of the checklist is presented assessment model (rice. 5): each criterion is assigned a certain weight, the indicator is calculated based on the possible maximum score. Thus, the calculation clearly shows the deviation from the best possible result.

Click on image to enlarge

Rice. 5. Model for assessing the business process “Human Resources Management”

The results of the assessment are not only recorded digitally, but also illustrated using “emoticon” drawings ( rice. 6). Such “visibility” of data presentation allows the inspector to quickly evaluate the result.

Rice. 6. Visualization of ratings

When giving assessments, each member of the commission works individually. At the end of the work, the commission meets to discuss the results, develop a common decision and prepare recommendations. Based on the results of the assessment, a report is drawn up. Within a month after the audit, the HR manager of the audited department prepares a plan for further work indicating specific activities (in accordance with the list of recommendations).

All our enterprises are engaged in one line of business and have standard structures. At the same time, management is structured in such a way that department heads enjoy a sufficient degree of freedom in strategic and operational management (in order to take into account the specifics of the market as flexibly as possible). The organizational structures of the holding's divisions differ from each other, since the enterprises, like their leaders, are at different stages of development. Such unevenness often masked the complexities inherent in each individual department and did not make it possible to evaluate (and compare) the effectiveness of management decisions made by their directors.

Audits helped us identify ineffective top managers, as well as those who “pursue subjective interests.” For example, using the opportunities available within the framework of the given independence, some of them make adjustments to the organizational structure that lead to the emergence of redundant levels of control And duplication of functions. On the other hand, it became clear to us that in each department it is necessary to introduce the position of a deputy director who would manage end-to-end functions (back office). All these problems became obvious based on the results of the inspections.

The obtained assessments also showed how important for the effective management of people is the qualified and stable work of the HR manager himself, his loyalty to the company, and, in addition, consistency and continuity in this activity at the level of the department and the holding as a whole.

The results of the HR audit convincingly demonstrated:

reducing the percentage of staff turnover is possible only with systematic work with personnel;

the adopted personnel management strategy directly affects the performance of the department as a whole.

The assessments in the checklist helped us in our work with line managers. For example, we constantly tell them about the importance of the adaptation period: the less attention a new employee is given in the first days on the job, the higher the likelihood that he will leave the company or work with low productivity. An objective assessment of the commission, based on interviews with 10% of employees, turned out to be much more convincing for line managers than words.

How did the employees themselves react to the audits? At first, people were worried and asked members of the inspection team questions: “Are we being inspected? Is something wrong? During the interview, I once again told people about the general management system at Atlant-M, part of which are audits - systemic monitoring of the correct execution of business processes. When conducting them, we do not pursue any “repressive” goals (“inspection” is punishment); the results of the assessments are used only to improve the organizational structure and activities of the departments.

One of my colleagues printed out the texts of the Corporate Code and Internal Labor Regulations and gave them to employees on the eve of audits along with wages. This information helped explain to employees the essence of what was happening, and as a result, they began to feel more relaxed about the audit procedure. Since the questions asked during the interviews were not about the performance of an individual, but about the personnel management system as a whole, people were willing and open to talk about both problems and achievements. As a result, we received feedback from employees about the quality of work of the HR department, as well as an assessment of the work of their immediate supervisors and the department's HR manager. I recommend that HR staff regularly improve their interview skills!

Conducting audits (including HR audits) in our company has proven itself to be excellent; its results helped to identify shortcomings and find hidden reserves for further improvement and development.

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It should be remembered that there are a large number of different features of such procedures. They must be ordered, follow each other in a certain order.

Since this is precisely one of the reasons for the absence of problems of all kinds during inspections by regulatory authorities.

A special checklist can significantly simplify this kind of work. Its importance is quite difficult to overestimate. There are many variations of such document formats.

If possible, you should familiarize yourself with its properties and the nuances of its composition in advance. This way you can avoid many difficulties in the future.

General information

This document contains the most detailed information about the list of questions for the audit. The type of sheet in question does not have a format established by law.

But at the same time, certain rules must be followed when forming it. This will reduce the likelihood of complications during the procedure.

Before you begin compiling such a sheet, you need to consider the following questions:

• what is this?
• purpose of the document;
• legal framework.

What is it?

The checklist itself is a special document that allows you to simultaneously solve a fairly large number of different tasks.

The document can be used by various institutions, regulatory organizations and officials. It is only important to remember the legal norms that apply when drawing up a document of this type.

The document itself reflects the following questions:

The use of this kind of documents has both its advantages and disadvantages. The main disadvantages include the following:

List of issues identified in the document	May be too narrow, resulting in an insufficiently comprehensive inspection
The checklist can be restraining in some cases	The limiting factor for the auditor is that he simply will not go beyond the questions posed.
The document cannot replace	Standard audit plan
An inexperienced auditor may have some difficulties	With an understanding of the questions formulated on the sheet, he simply will not be able to clearly and clearly explain what exactly he is looking for in a particular case
The document must be prepared as well as possible	Duplication of questions can cause serious confusion

In most cases, both the advantages and disadvantages of a document depend on many different factors.

First of all, this concerns the following points:

The checklist is a universal tool for implementing tasks related to auditing and some other procedures that must be regularly carried out at the enterprise.

Such documents may include the following:

Purpose of the document

Users of this type of document today can be:

This sheet allows you to simultaneously or sequentially solve the following list of tasks:

• correctly, in accordance with legal regulations, plan the audit itself;
• carry out selective control, plan all your time as efficiently as possible;
• allows you to avoid missing any important stages of the audit;
• used as a memory aid;
• significantly simplifies the audit itself;
• the audit is carried out in a structured, holistic manner;
• With the help of a checklist, it will be possible to communicate between different institutions, as well as the employees conducting the inspection.

Also, such documents are often used to solve other problems. It is worth familiarizing yourself with all the main properties of such documents in advance. This will make it possible to avoid a large number of different difficulties.

Legal basis

The main legislative act in accordance with which a document of this type must be drawn up is.

This regulatory document includes the following main sections:

	Auditing activities
	List of main NAPs that also regulate this type of activity
	What is an audit organization
	What is meant by the term “auditor”
	What does mandatory audit mean?
	Auditor's report
	List of basic rules, standards of actions carried out by auditors
	Denotes complete independence of various audit organizations
	Auditor confidentiality
	How is the quality of the inspection monitored?
	Auditor qualification certificate
	The procedure and grounds for revocation of an auditor’s certificate
	Conducting state control in the considered field of activity of the enterprise

If possible, you should carefully familiarize yourself with all the nuances of the legislation regulating auditing activities. Since it is these regulatory documents that must be complied with.

Example of filling out a checklist for internal audit

The process of compiling this type of sheet is quite simple, but has its own nuances. This kind of procedure can be significantly simplified by considering an example of a QMS internal audit checklist.

The compilation process itself can be carried out in various ways. First of all, you will need to consider the following fundamental questions:

• where to get the form;
• filling procedure;
• completed sample.

Where can I get the form?

An Excel example for internal audit can be easily downloaded from the Internet. If possible, you should use only well-proven and proven resources.

Today there are quite a large number of private institutions engaged in auditing. Such enterprises can provide a sample of this document free of charge, as a consultation. Or for an additional fee.

Filling procedure

The procedure for completing the audit is not reflected in the legislation. But it is necessary, if possible, to adhere to the following algorithm:

Typically, an Excel sheet is used as the main format. The reason for this is the ease of compilation and printing. Quite often checklists are needed in paper format.

If necessary, an electronic document can be easily sent via the Internet. You should remember some important nuances in the formation of this kind of sheet.

Completed sample

The only sure way to avoid various kinds of difficulties when drawing up such a document is to use an already completed sample.

Thus, it will also be possible to significantly speed up the procedure for carrying out such procedures. This is especially true for the question writing part. It is often at this stage that all sorts of difficulties arise.

Inspectors can come to visit you in three cases: as part of a scheduled or unscheduled inspection (for example, after an employee’s complaint against the employer), as well as during the investigation of an accident with a company employee. The date of the scheduled inspection can be found on the websites of the relevant supervisory departments (GIT of the corresponding region, the Prosecutor General's Office of the Russian Federation).

If you look at it step by step, the inspection takes place according to the following algorithm: the organization receives a notification from the State Tax Inspectorate about the provision of documents, then the inspection itself, after which an act and instructions are drawn up based on its results and administrative liability is brought in case of violations.

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Of course, each stage may have its own subtleties. For example, the list of requested documents will definitely be expanded: visiting inspectors will in any case ask you to show something additional. And you need to be prepared for this. On the other hand, when you see the date of a visit to your company on the calendar, you don’t need to immediately become despondent. If, for objective reasons, the company cannot receive “guests” on the appointed day, it is definitely worth discussing the possibility of rescheduling with the State Transport Inspectorate. There is another point associated with the date that is important after the verification is completed. You can appeal an act or order in court only within 10 calendar days from the date of delivery or receipt of a copy of the document. Don't forget about this if a GIT visit to the company is scheduled on the eve of the holidays.

What topics and documents are primarily of interest to inspectors?

I'll start with the main person of the company - the general director. As you know, in case of violations, responsibility can be assigned to the organization and separately to the official, who is the head of the enterprise. An expat director is especially at risk in this regard. In accordance with Art. 26 of the Federal Law of August 15, 1996 No. 114-FZ "" after two administrative fines, he may simply not be allowed into the territory of Russia. In this regard, I recommend documenting the transfer of responsibility from the general director to the HR manager or functional manager. To do this, it will be necessary to issue an order imposing on him the responsibility for maintaining personnel records and responsibility for violations, make appropriate changes to the employment contract and job description, and also issue him a power of attorney to represent interests and have the right to sign in personnel matters.

Equally interesting to GIT is the manager’s employment contract. BLS practice shows that this document always contains errors: functionality and responsibilities are not indicated, the place of work, working conditions and other conditions, including mandatory ones, are incorrectly indicated ().

I immediately advise you to prepare the company’s constituent documents (as a rule, the State Tax Inspectorate requests copies certified by a notary or the company’s seal).

During the audit, the company's staffing table will necessarily be examined. It is there that you can see different salaries for the same positions, which, in accordance with the law, is a violation (). Simply put, similar positions should have the same salary. If this is not the case for you, be prepared that, in addition to the actual fine for violation in accordance with , you will have to pay extra to those who had less salary (at least for three years (statute of limitations), and possibly for the entire period, if the GIT inspector will decide so). There is a way out of this situation, for example, by introducing unique positions with a division of functionality and unique job descriptions. But this needs to be done right now, without waiting for a scheduled or, worse, unscheduled inspection, since this project is quite large and labor-intensive.

Inspectors will be equally interested in documents related to wages: payroll and payslips, certificates of various payments, etc. Let me draw your attention to the fact that the payment dates in the documents must be exact, and not floating “until such and such a date.” Naturally, it is necessary to calculate wages on the same day: neither earlier nor later, with the exception of weekends, in which case wages are paid the day before ().

Wage indexation deserves special attention. It must be (). Consequently, you will be asked to provide a separate local regulation regulating its implementation. The procedure for carrying it out, as a rule, is prescribed in the Regulations on Remuneration or Internal Labor Regulations. If you don’t have it yet, I recommend starting to develop it right now. Let me remind you that indexation is carried out by the same amount for absolutely all employees. If your LNA indicates 2% per year, it means that each employee’s salary is indexed to this level.

Another subject of analysis is the time sheet. This document is the main source of information on labor protection. Imagine, you have indicated: the briefing has been carried out and there are signatures of all employees, and the time sheet will show that one of the employees was on vacation, two more were on a business trip, etc. But it is labor protection that poses the greatest risks to business. Failure to conduct induction training, periodic briefings, medical examinations (for mandatory cases) and much more - all this is fraught with huge risks. I’ll just say that if an organization does not have a labor protection system, the total fine for violations per employee can reach 600 thousand rubles.

Here I’ll add one more risk: it is associated with a special assessment of working conditions. The law requires that its results be posted on the corporate website (Clause 6, Article 15 of the Federal Law of December 28, 2013 No. 426-FZ ""). Some people, even today, may not have it; foreign representative offices may not have access to the corporate website. I’m sure it’s easier and cheaper to make a separate simple website than to later prove in court that you didn’t have the opportunity to publish this information. In addition, a special assessment should be carried out not only in relation to newly created jobs, but also in the case of renaming positions. Not everyone remembers this.

The vacation system poses serious risks to businesses. During each scheduled inspection, the GIT checks the vacation schedule. The very absence of a schedule entails a fine of up to 50 thousand rubles. (), but failure to provide leave threatens the same fine, but for each case, that is, for each employee. In addition, an even more serious danger has arisen due to unused vacations. Based on the results of one of the recent inspections, the capital’s State Tax Inspectorate announced a new “interpretation” of the violation. The inspectors saw signs (“Use of slave labor”). Possible punishment for this is up to imprisonment for a term of 3 to 10 years.

Pay very close attention to the topic of a corporate vehicle fleet: the issuance of company cars or compensation for the use of a personal car. GIT is persistently trying to recognize all employees who use company cars as drivers. Even if this is, for example, a regional sales manager who does not act as a driver, but only moves between clients. If this topic concerns you, be prepared to provide as many documents as possible: from certificates of medical examinations to documents confirming the technical condition of the vehicle.

Of course, this is not the entire list of requests and documents of interest to GIT. But all of them are directly related to compliance with the law, which means that it is within your power to analyze it in a timely and thorough manner, monitor changes and judicial practice.

The object of the audit can be: QMS (top level), process, department, information system, etc.

A model of this procedure is shown in Fig. 13.

When conducting an internal audit of a bank’s QMS, it is also recommended to use the international standard ISO 19011 “Guidelines for the audit of quality management systems and/or environmental management systems.”

Templates of documents that are necessary for conducting an audit of the bank’s QMS and auditing the bank’s processes are given in [1].

Rice. 13. Internal audit of the QMS

Since the QMS architecture consists of 2 levels (see Fig. 3 and 4), the internal audit of the QMS includes 2 corresponding stages (procedures) plus the general stage “Preparation for the audit”.

1. Preparation for the audit. Performed by: quality service.
2. Internal audit of the QMS (top level). Performed by: quality service.
3. Process audit. Implemented by: process team.

Let's look at these stages in more detail.

3.1. Preparing for an audit

Consists of the following functions.

• Development, coordination and approval of an internal audit program

Output: internal audit program. This document contains a list of all types of audits with names (for the coming year). For each audit, the following is indicated: a list of audit objects, the name of the head of the audit, and the duration of the audit.

• Formation and training (if necessary) of a group of internal auditors of the bank

In parallel with the development of the audit program, the need for auditors is determined, a group of auditors is formed and trained (if necessary), auditors are appointed for each process team, auditors are appointed to audit the top-level QMS, and the chief auditor is approved.

• Preparation and publication of the Order on conducting internal audits

Input: internal audit program.
Exit: order to conduct internal audits.
The order approves the audit program, the composition of the group of auditors and their responsibilities, the responsibilities of members of process teams, heads of departments and bank employees when conducting audits.

• Preparation of educational and methodological materials on internal audit

Output: educational and methodological materials on internal audit

• Development of a Unified Checklist for process audit

Output: checklist for process audit (single template).
A checklist is a table that is used by the auditor to verify compliance with established requirements. A fragment of the checklist (3 columns of the table) for auditing the process is given in Table. 1.

The checklist consists of 6 columns.

• Line number
• Verifiable Requirement
• Clarifying questions (if necessary)
• A method for assessing the fulfillment of a requirement (studying documentation, observation, survey, etc.)
• Compliance/non-compliance mark
• Audit evidence (record and auditor's comments)

A single process audit checklist is necessary to ensure that all process teams and auditors audit processes to the same requirements.

• Distribution of internal audit documentation to process teams

Output: documentation to internal audit for process teams. Includes all documents developed in previous procedures.

Table 1. Checklist for process audit (fragment)

№	Requirement	Evaluation method
1.	Documentation and process models
1.1.	Completeness of documentation (list)	Studying the documentation
1.2.	Relevance of documents and process models	Study of documentation, observation, survey
1.3.	Maintain models and documentation in accordance with ISO 9001 requirements (if there are requirements for this process) - for example, product development, document management, complaints handling, procurement, etc.	Studying the documentation
1.4.	Availability of access to up-to-date documentation from employee workplaces	Observation, survey
1.5.	Compliance of printed documents with their electronic versions	Studying the documentation
2.	Process Execution
2.1.	Carrying out the process in accordance with approved regulations and standards	Observation, survey
2.2.	Efficiency of interaction of procedures and process with other processes of the bank	Observation, survey
3.	Process staff
3.1.	Knowledge of the process by employees and qualifications to perform it	Survey, observation
3.2.	Correspondence of the number of employees to the complexity of the process	Calculation of the labor intensity of the process, survey, observation
3.3.	Knowledge by employees of the main regulatory documents of the QMS (Quality Policy, Regulations on the QMS)	Survey
4.	Resources, infrastructure and production process environment
4.1.	Availability of sufficient operational resources for the process and their quality	Survey, observation
4.2.	Availability of sufficient infrastructure for the process and its quality: - software - buildings (office), interior - technical equipment for office and telecommunications	Survey, observation
5.	Process management
5.1.	Process records management (record keeping) - in accordance with ISO 9001. List of records, content.	Studying records
5.2.	Operational monitoring of indicators	Survey, observation
5.3.	Development and implementation of preventive actions	Interview, study of records
5.4.	Development and implementation of corrective actions, process improvement	Interview, study of records
5.5.	Conducting audits and process analysis	Interview, study of records
6.	Goals, indicators and process measurement
6.1.	Availability and completeness of goals and process indicators	Studying the documentation
6.2.	Availability of effective means to measure process performance	Survey, observation
6.3.	Dynamics of changes in indicator values	Studying records

3.2. QMS audit (top level)

Consists of the following functions.

• Development of a Checklist and Plan for the QMS audit (top level)

Output: checklist and QMS audit plan (top level)

A sample checklist (fragment) for a QMS audit (top level) is presented in Table. 2.

It lists the general requirements for QMS components (top level). These requirements must be detailed and supplemented by the requirements of ISO 9001 and the bank’s own requirements.

For example, the requirement “1.1. List (completeness) of documentation - compliance with requirementsISO 9001" details the requirements of the sectionISO 9001 "4.2. Documentation requirements"ISO 9001”, which indicates the composition of the necessary documentation.

“The documentation of the quality management system should include:

a) documented statements of quality policies and objectives;
b) quality manual..."

Based on the checklist, a QMS audit plan is developed.

The audit plan consists of 5 columns.

• Line number
• Checklist number, or section (group of requirements being checked) of the checklist
• Auditor's name
• Check date and time
• Full name and position of the person responsible from the team process members / process executors

The auditor selects requirements from a checklist and specifies in the plan when, how and with whom he will check them.

For example, to check the requirement “1.2. Relevance of documentation”, the auditor schedules several interviews with bank employees who are responsible for certain documents, and writes this down in the Plan.

• Conducting an audit of the QMS (top level) according to the Plan and filling out the Checklist

Input: checklist and QMS audit plan (top level).

Output: completed QMS audit checklist (top level).

The auditor evaluates the fulfillment of each requirement from the checklist using the selected assessment method (interviews bank employees, studies documentation, monitors the bank’s activities). Then he puts a mark on compliance/non-compliance and indicates the evidence that confirms this.

• Preparation of a Report on the results of the internal audit of the QMS (top level)

Input: completed QMS audit checklist (top level).

Output: report on the results of the internal audit of the QMS (top level).

The report on the results of the internal audit of the QMS combines all completed checklists in the order of requirements. The total number of identified inconsistencies, findings and conclusions are indicated.

Output: plan for corrective and preventive actions for the QMS (top level)

The most urgent and important actions are carried out immediately after development.
Actions that require significant labor and financial resources are carried out during the next period of operation of the QMS.

Table 2. Checklist for internal audit of the QMS (top level)

№	Requirement	Evaluation method
1.	QMS documentation
1.1.	List (completeness) of documentation - compliance with ISO 9001 requirements	Studying the documentation
1.2.	Relevance of documentation
1.3.	Contents of documentation - compliance with ISO 9001 requirements	Studying the documentation
2.	QMS processes
2.1.	List of mandatory QMS processes - compliance with ISO 9001 requirements	Study of documentation, survey
2.2.	Functioning of the QMS (planning and construction of the QMS, analysis of the QMS by management) - implementation in accordance with ISO 9001. Maintaining records.	Study of documentation, survey, observation
3.	Organizational structure of the QMS
3.1.	Availability of an officially appointed management representative for the QMS and his powers.	Job description of the quality director, orders.

3.3. Process audit

The rules for conducting a process audit are similar to the rules for auditing a QMS (top level), only the process is already the object of the audit. Therefore, we provide a list of procedures and actions without additional comments.

In order for the process audit to be carried out by the process team methodically correctly and effectively, it must include a qualified auditor from the quality service.

So, the process team performs when conducting an audit.

• Familiarization with internal audit documentation
• Development of a Process Audit Plan
  Input: process audit checklist (single template)
  Output: process audit plan.
• Conducting a process audit according to the Plan and filling out the Checklist Input: process audit plan and checklist.
  Output: completed process audit checklist.
• Preparation of a Report on the results of the process audit and transfer to the Quality Service
  Input: completed process audit checklist.
  Output: process audit report.
• Development of corrective and preventive actions based on audit results
  Output: plan for corrective and preventive actions for the process.
• Carrying out prompt corrective and preventive actions

3.4. Receiving and aggregating Process Audit Reports from process teams

Reports on the results of all audits should be collected together for further work with them.