Defining Internal Audit Process Goals & Objectives

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kreco

Can anybody help me out in establishing goals & objectives for the internal audit process? So far my boss has; 1) maintain current standard certifications (ISO 9001:2000, AS 9100 & TS 16949), 2) Complete scheduled audits on time, 3) Complete external audit NCN's on time and 4) Complete Re-qualification testing on time (I oversee one tech responsible for requals). I just don't have a warm fuzzy feeling with these, but I just can't seem to identify some good measureable, attainable objectives. :bonk: Any suggestions? :confused:
 
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tarheels4 - 2007

kreco said:
Can anybody help me out in establishing goals & objectives for the internal audit process? So far my boss has; 1) maintain current standard certifications (ISO 9001:2000, AS 9100 & TS 16949), 2) Complete scheduled audits on time, 3) Complete external audit NCN's on time and 4) Complete Re-qualification testing on time (I oversee one tech responsible for requals). I just don't have a warm fuzzy feeling with these, but I just can't seem to identify some good measureable, attainable objectives. :bonk: Any suggestions? :confused:

How about, no external audit noncomformances against the audit process.
 
K

kreco

Well as much as I like the sounds of "no external findings against the audit process", I honestly can say that that is an impossible goal (you see, we have the devil himself as our TS auditor :nope: ). Perhaps we can say reduce NCN's by 50% (the last couple of audits we've received 8 total NCNs :eek: each time!! So maybe reduce the years total by 50%?
 
T

tarheels4 - 2007

kreco said:
Well as much as I like the sounds of "no external findings against the audit process", I honestly can say that that is an impossible goal (you see, we have the devil himself as our TS auditor :nope: ). Perhaps we can say reduce NCN's by 50% (the last couple of audits we've received 8 total NCNs :eek: each time!! So maybe reduce the years total by 50%?
You didn't recieve 8 CARs against the internal audit process did you? If so maybe retraining is in order. I would think that zero non-conformances against the internal audit process should be achievable.
 
K

kreco

:eek: Silly me! I need my specs on today! :cool: No we did not receive 8 for the internal audit process, infact we received ZERO! So yes! Maybe that is something to "maintain"! :agree1:
 

AndyN

Moved On
What's the reason for having goals and objectives.......

for the internal audit program, may I ask? I understand that there may be a clear purpose for the internal audits, but goals and objectives open up measurement - and I've never seen measurement of audits that gives meaningful results data!:eek:

Let me know what the background to your bosses quest is here - your 'gut feel' may be worth trusting.;)

Andy
 
D

db

I think the goal of compliance is rather short sighted. I would rather see a goal of opportunities to improve the organization. Are the internal audits leading to beneficial changes that are not necessarily related to compliance? Are the auditors finding better ways for the process to perform? IAs should be just as much about continual improvements, as they are compliance.
 
K

kreco

AndyN said:
for the internal audit program, may I ask? I understand that there may be a clear purpose for the internal audits, but goals and objectives open up measurement - and I've never seen measurement of audits that gives meaningful results data!:eek:

Let me know what the background to your bosses quest is here - your 'gut feel' may be worth trusting.;)

Andy

We are under the impression that we must have established goals and objectives for every identified process? Am I mistaken? Auditor also wants to know how we measure the "effectiveness" of our audit system. Like I said above, our auditor's name is Satan!
 

RoxaneB

Change Agent and Data Storyteller
Super Moderator
While the Auditor may not be quite on the same level as the Devil, there may be a reason that you're receiving as many findings are you are. To have a goal to reduce the number of external findings is not beneficial in my opinion. If there is no change to your management system (i.e., if you do not plan to improve your system), you can't expect the number of findings to go down...at least, that's how I see things.

I do have metrics to keep track of my Internal Audits...when they're done (versus forecast), auditor assessments conducted (versus forecast), reports complete within 5 business days of last audit day, etc.

Why?

Not because we have problems with our Internal Audit process...but to ensure that we do not encounter problems such as audits not being done, etc.

The process of Internal Audits (at my location) is a routine function. We know we will do them and we schedule them during our annual planning cycle. Our Routine Management methodology requires Routine Key Performance Indicators that will indicate whether or not your Routine Processes are under control. As I have said many times in the Cove, we are strong advocates of the philosophy "There can be no Improvement without Routine."

In other words, if you can't control your day-to-day operations, how can you expect to improve?

The Routine KPIs are like a pulse check of our operations....if they're green, all is good with the world. If they're red, a result has gone outside of our Control Limits and a Fact-Cause-Action will be done to get the process back under control.

And before anyone asks "Aren't your Internal Audits part of the improvement process???", let me explain....While the process of conducting internal audits is routine, the outputs/results of our Internal Audits foster Continual Improvement and impact other processes.
 
T

tarheels4 - 2007

kreco said:
Auditor also wants to know how we measure the "effectiveness" of our audit system. Like I said above, our auditor's name is Satan!
I like the idea of a zero goal for non-conformances against the internal audit process, however, "Satan" may see it as a personal challenge to pick you apart. db is right about a goal for OFIs, it would be a good thing. Often though OFIs written by internal auditors are really nonconformances.
 
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