Questionnaire for Internal Audit of Top Management

[gsrmaiya]

Hi Friends,

I am doing the auditing first time and need your help. I am going to audit our CEO/VP. Myself low level employee. Does anyone have the questionnaire to audit top management team.

Appreciate your help in advance....


gsrmaiya

 

[harry]

Re: Questionaire for Top Management Internal Audit

.................... Myself low level employee. Does anyone have the questionnaire to audit top management team.......

Welcome to the Cove. I hope you will find this place a good learning ground.

1. First, I would question the competency of whoever scheduled you to audit top management.

2. There isn't really a need to have a face to face or interview type of audit. You check if they had done their job / are committed / provide resources and carry out all the necessary part of their duties by finding evidence that they had done so throughout the duration and stages of the audit.

3. Therefore a questionnaire/checklist is redundant but a knowledge of the duties and responsibilities of top management are.

4. If you need further reading. These are the related threads.

 

[AndyN]

Re: Questionaire for Internal Audit of Top Management

Hi Friends,

I am doing the auditing first time and need your help. I am going to audit our CEO/VP. Myself low level employee. Does anyone have the questionnaire to audit top management team.

Appreciate your help in advance....


gsrmaiya

Are you the only auditor? Did someone - the internal audit process owner - assign you to do the audit? Did they set some expectations of scope and criteria for the audit, in other words, why are you auditing management? If not, don't do the audit until you have the answers to the last questions. If you are here looking for help, then something is wrong with the process.

 

[Sidney Vianna]

Re: Questionaire for Internal Audit of Top Management

Appreciate your help in advance....

Have a look at the How to audit top management processes TC 176 APG paper.

 

[Duke Okes]

Re: Questionaire for Internal Audit of Top Management

Look thru the standard, your policy manual, and your QMS procedures and see what top management is responsible for, then meet with them and ask for evidence they have done it. No different than auditing anyone else.

 

[bookcat]

Re: Questionaire for Internal Audit of Top Management

Ask for the evidences of management commitment to the quality management system e.g. provision of resource, etc.

 

[Jim Wynne]

Re: Questionaire for Internal Audit of Top Management

1. First, I would question the competency of whoever scheduled you to audit top management.

This is the perfect answer.

If you are here looking for help, then something is wrong with the process.

This is good too. I think that if you do a conscientious job of auditing the processes of the QMS, you'll know all you need to know about management commitment. If it's not there, direct auditing will of top management will lead to trouble, guaranteed.

 

[howste]

Re: Questionaire for Internal Audit of Top Management

Have a look at the How to audit top management processes TC 176 APG paper.

That's exactly what I was going to post. Note that, as Andy and Jim pointed out, it says "An auditor with limited auditing experience should not be assigned to interview top management."

 

[AndyN]

I'm not convinced that auditing 'management' in and of itself, is much use. How would anyone actually audit 'commitment', for example?

The best way, IMHO, is to audit a process and involve the management at that time - you'll get a pretty clear picture then...

I'd like to know what this looks like:

"Ask for the evidences of management commitment to the quality management system e.g. provision of resource, etc."

 

[Randy]

Top management? If you talk to them wait until the end of the audit so you have something to actually talk about. Other than that you'll look kinda foolish if you ask what they did during a management review while you have a copy of the record in your hand.