Auditing Top Management - Meeting Competency Requirements and Questions to Ask

L

LMills

#11
I am wondering if we are talking about two separate things: commitment and competency in upper management.

The higher the level in the organization, the less competency evidence will resemble that of the people at the process level. Let's keep in mind 6.2.2 says "determine the necessary competence for personnel performing work affecting conformity to product requirements."

Commitment is reviewed in a triad of documentation, verbal inputs by auditees and what auditors physically observe. When interviewing top management, one can ask what's new since the last audit, what has been done that they are most proud of, and what they see for challenges ahead. What they say can be compared to how the rest of your auditees verbalize - you can ask them how their managers make sure they get what's needed to do a good job - and what you see when you go about the place. If these things tend to "line up" then one can say one has verified management commitment.
Jen, i was referring primarily to commitment of top management. I was looking for the right approach/appropriate questions to top management to show evidence of this commitment. thanks!
 
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L

LMills

#12
I am wondering if we are talking about two separate things: commitment and competency in upper management.

The higher the level in the organization, the less competency evidence will resemble that of the people at the process level. Let's keep in mind 6.2.2 says "determine the necessary competence for personnel performing work affecting conformity to product requirements."

Commitment is reviewed in a triad of documentation, verbal inputs by auditees and what auditors physically observe. When interviewing top management, one can ask what's new since the last audit, what has been done that they are most proud of, and what they see for challenges ahead. What they say can be compared to how the rest of your auditees verbalize - you can ask them how their managers make sure they get what's needed to do a good job - and what you see when you go about the place. If these things tend to "line up" then one can say one has verified management commitment.
Audit the top management as a process - following process approach.
Process map / Turtle chart specified in Quality manual of your organization might help. Otherwise you can prepare a turtle chart by collecting following information. And then audit each element of the turtle chart finalized.

Start with asking about which activities being performed by top management (Might be like Business planning, budgeting, etc.). - This will become part of your process. [PROCESS]

Then ask what are the outputs out of the process/activities. (Outputs would be like Business plan for business planning, Budget for YearXXX, etc.) [OUTPUT]

Then ask/determine what inputs are required in order to perform the activities. (Inputs would be like Balanced scorecard for Business planning, Financial statements of previous year for Budget of current year) [INPUT]

Then ask how these activities are being done. Eg. How do you do Business planning, which elements are being considered. [PROCEDURE].

Then ask how effectiveness and efficiency of their process is being measured.
[MEASURES]


:2cents:

Thanks,
Amit

Thanks for your help Amit!
 
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