Evaluating the Effectiveness of Internal Audit Process

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ColleenMcG

I wonder how other companies are evaluating the effectiveness of their internal audit process. I've tried surveys, but I get very little actionable feedback from them. Does anyone have stories of successful or unsuccessful methods to share with me?

Thanks,

Colleen
 
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Aaron Lupo

You want to know how your suppliers are evaluating the effectiveness of their internal audit process or just how people are doing it in general?
 
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ColleenMcG

Sorry that I wasn't more specific. I run the internal audit program at my company. I am looking for ways to determine the effectiveness of the internal audits we do (of processes or plants). I haven't come up with one that suits me very well, so I'm turning to this forum for advice.

The Audit Evaluation we currently use is attached. It is sent to the Quality Manager at our plants approximately 2 weeks after we've audited them. I'm getting very little actionable feedback from it.

Thanks,

Colleen
 

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Aaron Lupo

Can you call them and fill it out with them over the phone? I don't see anything wrong with the form you are using.

I like the evaluation form you use, simple and to the point, in fact I may steal it and use it myself!!. I would imagine that you are not only trying to gather the data but you are going to analyze it as well?
 
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ColleenMcG

Thanks for your comments.

I will try your suggestion and work with them to fill it out. I am looking for information that I will be able to analyze. Right now, I am not getting it because the "misguided" are filling out the form (for instance, I just received one yesterday that chastized the auditor for telling them at the closing meeting that there were 5 nonconformities and then writing up 33 in the audit report. Well, I was at the closing meeting and the auditors spoke of 10 nonconformities, I noticed the Quality Manager didn't write them all down--hence, the 5 that they mentioned on the evaluation--and the final report had 10 nonconformities and 33 Opportunities for Improvement. I guess that's what you get when you allow the Plant Manager to fill out the evaluation.).

Thanks, again, for your input. Still hoping for other suggestions/ideas/stories.

Colleen
 
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db

Audit effectiveness

Colleen, you really don't need any forms for determining the effectiveness of your audits. Select a couple of key measurables and track them. Here are some thoughts:

Are your audits occuring as per schedule?
How do your internal audits compare with external audits (finding the same type of things, etc.)
How long do corrective actions take, or rather, are corrective actions timely?
What is your auditor turnover rate?
Can a positive change in general business metrics be traced back to your audits?

These are just a few examples of what to look for. I just know that others have other suggestions.

Hope that helps
 
I'm on the same track as db, keeping it pretty simple. Once a year I go through the audits from the previous year and look for ways to improve the audit system.

I then issue a short memo with the good and the bad points, and any changes to the audit system to those concerned.

Naturally we also keep an eye on those things during the year.

/Claes
 
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ColleenMcG

you really don't need any forms for determining the effectiveness of your audits. Select a couple of key measurables and track them.


Great suggestion. I may use these in conjunction with the opinions of those who are audited. It will give, I think, a more complete picture than I am currently getting.

I then issue a short memo with the good and the bad points, and any changes to the audit system to those concerned.

Also a great suggestion. Objectives for improvement. Very nice.

Thanks to you both!

Colleen
 
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Bob Bonville

Effectiveness of Audit Process

Colleen, I think there are a few ways. I will be happy to expand on any of them if you need any more detail.
1. Maintain a healthy ratio of auditors to organizations employees
2. Retain only experienced, ISO Certified auditors
3. Through ASQ or other professional organizations in your area, arrange for auditing of each others audit process.
4. Surveys
5. Results of 2nd and 3rd party audits against the type of things your internal audit staff discovers.
6. Customer satisfaction factor with your internal audit function
7. Internal audit input to the Management Review Process, and how well it received and acted upon.

These are a few.

Bob Bonville
 
Good ones Bob,

And welcome to the Cove. :bigwave:

1: What is you ratio? Do you have blue collars among the auditor ranks too? Our ratio is 4% (including blue collars).

2: How experienced?

3: Yep, we exchange auditors among the companies within our group.

4: Not really, but we ask people to comment the audits.

5: Yes, we do check that, and we invariably get a greater number of findings and and in fact more "useful" findings in the internal audits. We should, of course. It's our company after all.

6: Nope, that we don't do. Could you expand on that?

7: Yes, absolutley.

/Claes
 
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