Why live-audits makes sense?

GRC and Process

Live audits are conducted when the process owner or an operator performs his jobs while the auditor observes and asks process and work related questions while the live job/activity is performed. This happens practically at the process owner’s work place and work environment.

Process and procedure documents can be requested well before in advance before the live audit is conducted.

How should we conduct a live audit?

1. Observe how process owner perform his job, stop him/her and ask “Why” is the particular activity is performed.

2. Secondly ask “why” is the activity performed in a particular sequence. Match the activities and sequence in the process documents. If it matches then not only it helps you to gauge that training is provided to process owner or job owner but also implies they follow the process.

It is always advisable to question at least two process/job owner to determine uniformity in…

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