Elements of a Robust Internal Audit Program

S

statman78

#1
Hi,

I am new to a company where I have been assigned to head up the corporate audit program. The Quality System is a 3-4 years old. As I am responsible for the audit program I have to make sure that the audit schedule is followed and that CAPAs are initiated. There are several other auditors in the company but when the time of the audit comes they back down at the last minute because they are too busy trying to complete their own job. So far we have not fallen behind schedule and I have told my boss that we need at least one more full time audit person so the two of us can go around and audit with out relying on the help of others.

We use an audit checklist or plan to audit. I also lead a auditor training program internally. I have added effectivity surverys that auditees have to fill out for each internal auditor. How do I improve the internal audit program? I need fresh ideas from those who have a great audit program. Any help would be appreciated.
 
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BradM

Staff member
Admin
#4
Hi,

I am new to a company where I have been assigned to head up the corporate audit program. The Quality System is a 3-4 years old. As I am responsible for the audit program I have to make sure that the audit schedule is followed and that CAPAs are initiated. There are several other auditors in the company but when the time of the audit comes they back down at the last minute because they are too busy trying to complete their own job. So far we have not fallen behind schedule and I have told my boss that we need at least one more full time audit person so the two of us can go around and audit with out relying on the help of others.

We use an audit checklist or plan to audit. I also lead a auditor training program internally. I have added effectivity surverys that auditees have to fill out for each internal auditor. How do I improve the internal audit program? I need fresh ideas from those who have a great audit program. Any help would be appreciated.
Have you discussed the internal auditing issue with your upper management? You will need their help to assure your internal auditors are not always busy on other projects. If the other auditors are competent and objective, then it would be nice to be able to use them to audit other areas.

As far as this effectivity survey, maybe some of your internal auditors are skittish about the survey. Maybe consider dropping that survey. As the lead, you can take the audit results from the internal audits and use them for improvement/training opportunities.

If you are not behind, you're better off than a lot of programs.:)
 

Helmut Jilling

Auditor / Consultant
#5
Hi,

I am new to a company where I have been assigned to head up the corporate audit program. The Quality System is a 3-4 years old. As I am responsible for the audit program I have to make sure that the audit schedule is followed and that CAPAs are initiated. There are several other auditors in the company but when the time of the audit comes they back down at the last minute because they are too busy trying to complete their own job. So far we have not fallen behind schedule and I have told my boss that we need at least one more full time audit person so the two of us can go around and audit with out relying on the help of others.

We use an audit checklist or plan to audit. I also lead a auditor training program internally. I have added effectivity surverys that auditees have to fill out for each internal auditor. How do I improve the internal audit program? I need fresh ideas from those who have a great audit program. Any help would be appreciated.
If you are using a checklist to audit, just a list of questions for auditors to ask, then you are likely not doing a process approach audit. That style of auditing is no longer appropriate for the process approach required by ISO 9001. If the auditors are too busy to audit, that will result in audits going through the motions but having little real benefit.

In either case, it may be beneficial to get some new training in good internal audits, and develop a few more auditors.
 

Wes Bucey

Quite Involved in Discussions
#7
A major consideration is coordinating the number of auditing areas with the number of auditors so the audits can be completed within the alloted time windows. Some folks may need dedicated full-time auditors (like the guys who paint the Golden Gate Bridge - a continuous full-time job.) Others can function very well with part-time auditors, provided they adhere to the priority guidelines in the next paragraph.

Therefore, an auditor and an auditee need to coordinate the time of the audit and COMMIT to keeping the appointment. This means no last minute begging off for something with a higher priority. For that pre-set day and time, the audit IS the highest priority as far as the organization is concerned and the person in charge of all the auditing needs concurrence and authority from top management to ensure it is the highest priority at that moment. This is a major component of "management commitment" to the Quality Management System.

It bears repeating that auditors need to prepare PRIOR to the on-site audit by familiarizing themselves with the documentation for the process they will audit. That way, if they ask questions of an auditee,
  1. "Where and what is the next process after yours?
  2. What criteria will the next person consider in accepting or rejecting work to process?"
They'll be able to detect a disconnect between plan and execution.
 
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