Basics of Auditing with Perry Johnson Registrars, Inc.

Basics of Auditing with Perry Johnson Registrars, Inc.

The Audit Assignment Form (F-27)

Introduction to the Auditor Assignment Form (F-27)

The Auditor Assignment Form (F-27)

The Auditor Assignment Form (F-27) is a key tool in identifying the components of an audit. These components include the dates an audit is due to take place, the duration of the audit for each auditor, the Lead Auditor (LA) assigned to the team, the client's organizational information, the audit point of contacts (scheduler, client & auditor), the scope of the audit and the audit number.

These items, in addition to others, are what need to be communicated to the auditor prior to them going on-site. This form also helps the auditor produce the Audit Plan, something we will learn about in a later section.

The next few pages will give you an opportunity to look through the F-27 and identify what each component is for.

An Interactive Look

Basic Audit & Contact Information

An Interactive Look

Audit Duration, Site(s), Auditor(s) & Travel Information

An Interactive Look

Certification, Audit Scope, Risk & Complexity Levels

The Travel Notes are for internal staff only.

  • The Travel Notes are for internal staff only.

How many Lead Auditors (LA) are assigned to an audit?

  • Unlimited, depends on the size of the audit
  • 1 Lead Auditor
  • In audits with multiple auditors, at least 2 Lead Auditors

Fill in the blanks by using the F-27 below.

On the F-27 below, the client has  employees and all employees speak . The scheduler for this audit is .

What to Do When Things Don't Go As Expected

Travel Issues

Travel Issues

PJR books (and in some cases pre-pays) travel arrangements for a majority of our auditors.  It is completely reasonable for you to expect that these arrangements are made reasonably in advance of the audit. PJR’s usual course of action is to book travel two weeks in advance. However, in some cases there are circumstances that delay the travel booking.

What can delay a travel booking?

Delays in travel booking are often attributable to client issues, including the following:

  • Delinquency in money owed to PJR
  • Lack of responsiveness to issues related to their most recent audit (unresolved nonconformances, etc.)
  • A desire to explore rescheduling options
  • An contractual amendment that has not been returned with a concurring signoff

Please be assured that PJR is always working to resolve such items so that audits can proceed as planned.

What about auditor caused delays?

Delays in travel booking can also be caused in some cases by an auditor, these include:

  • Lack of completion of one or more of the required QMS/EMS Modules for an EA Code.  Remember that assigned auditors must be qualified under all applicable EA codes before they can be approved to participate in an audit 
  • Unresolved issues from a prior audit (audit report, approval of a client’s corrective action, etc.). Your assistance in closure of the prior audit is always appreciated and helps in ensuring there is no delay in the subsequent audit.

What causes issues with pre-paid travel?

There a few items that can cause issues with pre-paid travel bookings, including: 

  • An issue with the credit card used by our travel agency (fraud alert, etc).  In these cases we ask that you use your own credit card to check in to your hotel/pick up the rental car, and let your scheduler know about the issue as soon as possible.
  • An auditor that expresses a desire to use a different rental car company.  Our corporate booking and related insurance arrangements are with Budget Rent-A-Car.  At present, this is the only rental car agency that we are able to make pre-payment arrangements with.

So what can you do?

In any of these situations, communication is key. [Need more content here]

What are the most common reasons for a delay in booking travel?

  • Delinquency of money owed to PJR
  • Lack of responsiveness to issues related to their most recent audit
  • A desire to explore rescheduling options
Select all that apply.

The auditor must be qualified under all applicable EA codes before the audit can be approved.

  • The auditor must be qualified under all applicable EA codes before the audit can be approved.

Changes Discovered During the Audit

Changes Discovered During the Audit

Essentially, PJR needs to be informed of any changes that are a deviation from the Auditor Assignment Form (F-27.)

Remember that the Auditor Assignment Form (F-27) represents a legally binding arrangement between the client, auditor(s), and PJR.  Any deviations from this must be communicated to PJR immediately.

A separate module titled “Communication of Changes” covers this topic more in depth.

Identify an item that if changes are discovered would need to be communicated to PJR.