Preparing for an Audit

The following steps offer some advice on preparing for an audit. This guidance is designed to make the audit process run smoothly, minimise the amount of time the internal auditors are on site, limit the disruption to your operations and increase the likelihood of internal audit’s work providing reliable outcomes.

  • Consider who should be present at the planning meeting to help you and the team determine an appropriate scope for the audit.
  • Following the planning meeting it is helpful to assemble all appropriate information that you think the Internal Audit team will need to carry out their fieldwork. The team will be able to provide advice on the type of information they will need to see.
  • Tell your staff about the audit. You may want to distribute the Terms of Reference for the audit as an aid to inform staff of the audit and its scope.
  • If your department, planning unit or section has been audited in the past it is worth reviewing the last audit report and the follow up procedures.
  • Identify an “audit contact” who can act as a liaison to work with the Internal Audit team.  This contact should be responsible for ensuring that the audit team have access to records, files or any other resources they will need to complete their review as well as directing the team to appropriate colleagues who can help the audit team with specific areas of their review.

If you do have any questions about the best way to prepare for an audit in your area please contact the Internal Audit Senior Manager.

 

Need Help or More Information?

Who to Contact
If you have any questions about these web pages or about Audit Committee and Internal Audit at the University of Sheffield, please contact us.

Helen Dingle
Chief Financial Officer

Joanne Viney
Financial Accountant