Audit Plan MNC (Minor Nonconformance)

R

RunnyBabbit

#1
Hello,

In his last surveillance visit our external auditor raised a MNC due to non-compliance with our Internal Audit schedule:

"Details:
Repair and service 28/12/12
The audit plan shows that this audit took place on the 28/12/12 there is no evidence of this audit being completed."

Since we are a tiny company (9 employees) it is common for us to be regularly re-prioritising tasks and in this instance our internal auditor has another important business matter to deal with this week which means the audit scheduled this week will now not take place and will be done in a couple of weeks time instead.

How serious is it that the audit schedule is not strictly complied with in terms of date carried out?

Can we change our audit plan to be a bit more 'flexible' in some way?

Thanks for any advice.
 
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TPMB4

Quite Involved in Discussions
#2
Re: Audit Plan MNC

You have me worried now. We change our schedule a lot due to priorities. We try to keep to the schedule as much as is possible however there does need to be flexibility. If our external auditor has the same viewpoint as your's then we are due a NC too.

Just out of curiosity, why give an exact date? Could it be better to put a month or a 2 week date range instead? It is your company's schedule afterall and your company has to make it work.

Could that be a corrective action to have your schedule fixed on a reasonable date range not a specific date with the exact date being fixed nearer the time? Perhaps that is a simple change. Put your annual schedule in with date ranges with something in your procedures to state that the exact date must be provided by the internal auditor within a certain number of days before the date range.
 

qusys

Trusted Information Resource
#3
Re: Audit Plan MNC

<snip> Since we are a tiny company (9 employees) it is common for us to be regularly re-prioritising tasks and in this instance our internal auditor has another important business matter to deal with this week which means the audit scheduled this week will now not take place and will be done in a couple of weeks time instead. <snip>
Yes, audit program could be reviewed in case of upcoming changes. Consider to discuss it during management review and manage it as a dynamic controlled document. In your specific case, you could have rescheduled it adding a comment for the postponing, having the change approved by management.
I do not know what you have written in your documented procedures for internal audit. Consider to explore the root cause to fix the nonconformity.
Hope this helps:bigwave:
 
#5
Hello,

In his last surveillance visit our external auditor raised a MNC due to non-compliance with our Internal Audit schedule:

"Details:
Repair and service 28/12/12
The audit plan shows that this audit took place on the 28/12/12 there is no evidence of this audit being completed."

Since we are a tiny company (9 employees) it is common for us to be regularly re-prioritising tasks and in this instance our internal auditor has another important business matter to deal with this week which means the audit scheduled this week will now not take place and will be done in a couple of weeks time instead.

How serious is it that the audit schedule is not strictly complied with in terms of date carried out?

Can we change our audit plan to be a bit more 'flexible' in some way?

Thanks for any advice.
Part of the issue which cause these types of low hanging audit findings, is because people draw up a calendar of audits and then can't get to them. It's not required to try to guess at when an audit is done and put a date on it. You can stop this in future by not filling up a calendar with when you "think" you can get to the audits, but - as I have done - leave the calendar with an "X" in the month and then, closer to a time which is appropriate, select what and when you want to audit. This may be the opportunity you need to stop doing audits by rote and do them based on 'status and importance"...

It's a poor nc from the CB auditor point of view and is a simple compliance issue - no risk was noted or problems identified as a result of not doing it, were there?
 

TPMB4

Quite Involved in Discussions
#6
At this stage we have dates assigned as months not specific days.

Think I will take AndyN's advice and take out the specifics of what is audited and when. I think he is totally right about auditing according to risk and need not according to rote.

AFAIK you only have to audit all parts of your system in a 12 month period. I think we got hung up on a calendar for the auditing with what is being audited and when. I don't think it is necessary to be that specific.
 
R

RunnyBabbit

#8
What sort of documentation would I need to generate to 'officially' reschedule the audit?
 

qusys

Trusted Information Resource
#9
What sort of documentation would I need to generate to 'officially' reschedule the audit?
It depends on responsibilities and authorities.
Top mgmt is the"customer" of your internal audit , so that it could be approved by them an eventual change of the internal audit program .
For istance, Quality mgmt representative could write an email where he/she asks for program change with associated reason.
The important is that management is aware of the risks of delaying and postponing the internal audit already scheduled.:bigwave:
 

Kales Veggie

People: The Vital Few
#10
What sort of documentation would I need to generate to 'officially' reschedule the audit?
Nothing. Just change the schedule document by identifying the change. (no document change request / approvals required). Management Rep. / Audit Program Manager should have this authority.

Do not over complicate things.
 
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