Just curious how other auditors manage the sometimes mountainous volume of documents (working docs, evidence, etc.) when planning, performing, and reporting audits. I have a system, but I can't help but think there surely MUST be a better way to do it.....color-coding, binders, loose rings, etc.

Any ideas? :thanx:

Just curious how other auditors manage the sometimes mountainous volume of documents (working docs, evidence, etc.) when planning, performing, and reporting audits. I have a system, but I can't help but think there surely MUST be a better way to do it.....color-coding, binders, loose rings, etc.

Any ideas? :thanx:

Gidget,

If there is no limit of Money, try a Fast Scanner to save all records, to an Optical Disk. You can also place them in file cabinets or three-ring binders, which ever will work for your company.

Just curious how other auditors manage the sometimes mountainous volume of documents (working docs, evidence, etc.) when planning, performing, and reporting audits. I have a system, but I can't help but think there surely MUST be a better way to do it.....color-coding, binders, loose rings, etc.

Any ideas? :thanx:

A schedule helps to plan and prioritize, I find.

Rather than carry copious amounts of paperwork with me, I review the paper portion ahead of time and develop what I believe the expected answers will be. This helps out in note-taking - I can listen, actually listen, to the auditee and check off answers as they're said and write down the stuff that I didn't anticipate. I find this helps the auditee as they feel I'm spending more time focused on them than documenting every word they say.

I have clearly labelled file folders which are always in alphabetical order at all stages of my audit. This assists me in locating information quickly. It only takes a second to remember that Quality Control comes after Purchasing.

At the end of every day - if a multi-day audit - I set aside time to review my notes, show linkages to additional clauses, prepare follow-ups for the next day and verify which follow-ups were closed. I will tentatively draft up nonconformances and reports as necessary, and start the report.

I have a laminated copy of the standard to which I am auditing, where every "shall" word is highlighted (underneath the lamination, of course) to facilitate the ease of locating requirements when necessary.

If, however, you have copious amounts of documents at the end of the audit, you need to change how you report audits. Your notes should stand up on their own. Evidence should not be included the report, or its supporting files. Your notes should say things like "Reviewed Form-### ' Titled ABC' dated 10-Oct-06. Clear indication of customer requirements, product specs, blah blah blah..." and then check of if it conforms to the requirements or not.

If, however, you have copious amounts of documents at the end of the audit, you need to change how you report audits.

Yes. There's nothing more irritating (or needlessly time-consuming) than an auditor who's always running off to make photocopies.

I worked with my IT department and had all of my internal audit documentation put online - works well. The audit plan is part of the audit report - checklist are built in as links - so that everything is maintained by facility by date creating an online audit log. It prevents alot of copying reports and sending to facilities - Management etc. I can simply send an email informing all inovled that the audits are complete and the report is available online.

Yes. There's nothing more irritating (or needlessly time-consuming) than an auditor who's always running off to make photocopies.


I agree. I would start here. There are some who have 50-100 pages of blank forms, etc. in the audit packet. Why? The only items you need to have in the bundle are those you actually used in the audit. WI's with notes, a few sample forms or records. Maybe only those with issues or where you wrote some audit note in the margins. Then, when you have learned to make a smaller pile, if you want to scan it, go that next step. But, scanning 100 pages of irrelevant printouts adds no value?

I use empty milk crates

I use a Manila folder with a pre made A4 sticker on the front that has a checklist of all the documents, notifications I require. They all stay in the Manila folder on my desk . I take notes as I travel around the audit in pad. I then type it all up into my database at the end of the day and produce a report. I hate carrying a clipboard and reams of paper. I don't take copies of forms or evidence. I just check off that I have seen the required record or evidence. It saves me having to photocopy reams of data. I will take a copy if it shows an NC though, for evidence in the close out. PPPPPP (prior preparation prevents poor performance) and KISS (Keep it simple Stup*d) are my favorite things :)

Yeah, this ain't high tech or rocket science. Do whatever it takes to protect the stuff and keep it accessable. In a giant peanutbutter jar in the closet, whatever.

Sounds an obvious solution but have you looked at any of the software applications which make your QMS available on-line and offer audit tools?

Am I allowed to post a link to an example?

Sounds an obvious solution but have you looked at any of the software applications which make your QMS available on-line and offer audit tools?

Am I allowed to post a link to an example?

Please do. I believe it is allowed.
Thanks!

I don't take copies of forms or evidence. I just check off that I have seen the required record or evidence. It saves me having to photocopy reams of data.

I am also dead against photocopying the evidence unless it is essential. I don't even copy when their is an NC - just record its reference number etc. Otherwise you spend longer going to and from the copier than you do auditing. It also sends out the message to auditees that you don't trust them.

It also sends out the message to auditees that you don't trust them.

If you do trust them, why are audits necessary? :cool:

OK - here is an example that I have seen in use www.qualsys.co.uk

It is a document manager application which also has an Audit Manager tool, enabling users to schedule audits and report findings. It means that NC's can be posted electronically and a 'nag message' prevents the auditee from forgetting about their actions:)

If you do trust them, why are audits necessary? :cool:

I thought audits were to hopefully demonstrate that the system works and look for improvements - not to look for NC's:agree1:

I thought audits were to hopefully demonstrate that the system works and look for improvements - not to look for NC's:agree1:

Yes, I think so too. Sometimes I just can't resist the urge. :notme: I think that all audits should begin with the hypothesis that the system is in total conformance, and auditors should be looking for evidence that confirms the hypothesis, not to overthrow it. But at the same time, "looking for improvements" is just a euphemistic way of saying "looking for problems." If there are problems, they will be discovered during a conscientious audit process in due time, without anyone purposefully looking for them.:agree:

But at the same time, "looking for improvements" is just a euphemistic way of saying "looking for problems." If there are problems, they will be discovered during a conscientious audit process in due time, without anyone purposefully looking for them.:agree:

I don't disagree there, I just thnk it is about attitude - if we go looking for problems, we will find problems. There are some auditees who put our beliefs to the test sometimes though!:confused:

I use a Manila folder with a pre made A4 sticker on the front that has a checklist of all the documents, notifications I require. They all stay in the Manila folder on my desk . I take notes as I travel around the audit in pad. I then type it all up into my database at the end of the day and produce a report. I hate carrying a clipboard and reams of paper. I don't take copies of forms or evidence. I just check off that I have seen the required record or evidence. It saves me having to photocopy reams of data. I will take a copy if it shows an NC though, for evidence in the close out. PPPPPP (prior preparation prevents poor performance) and KISS (Keep it simple Stup*d) are my favorite things :)


Sounds pretty swift. I like it. (very important to have the copies of NC's, I agree.)

Attached is a sample of our online quality report - the underlined links along the side when clicked on - reveal the checklist with reference numbers for items reveiwed during the audit - if corrective actions are issued - the manager can link directly to the car from the audit report to complete. This keeps everything well organized for us. Just thought I would show and example.

Attached is a sample of our online quality report - the underlined links along the side when clicked on - reveal the checklist with reference numbers for items reveiwed during the audit - if corrective actions are issued - the manager can link directly to the car from the audit report to complete. This keeps everything well organized for us. Just thought I would show and example.

This is a great example! Thanks for sharing. I would love to eventually have all of our internal audit info online.

Wasn't it Reagan who said "Trust but verfiy"?