Evaluating the Effectiveness of Internal Audit Process

C

ColleenMcG

#1
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
 
Elsmar Forum Sponsor
A

Aaron Lupo

#2
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?
 
C

ColleenMcG

#3
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
 

Attachments

A

Aaron Lupo

#4
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?
 
C

ColleenMcG

#5
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
 
#6
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
 
#7
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
 
C

ColleenMcG

#8
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
 
B

Bob Bonville

#9
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
 
#10
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
 
Thread starter Similar threads Forum Replies Date
Q Evaluating Effectiveness of a Preventive Action after Closure Preventive Action and Continuous Improvement 7
M ISO 9001:2000 - Evaluating Training Effectiveness and Why ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 12
G Evaluating Training Effectiveness - 6.2.2 Competence, Awareness and Training ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 55
Marc Quality Policy - Evaluating Effectiveness - Is YOUR Quality Policy Effective? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 0
Tagin Evaluating nonconformances for escalation using Bayesian methods? Statistical Analysis Tools, Techniques and SPC 2
R Evaluating the need for preventive action Preventive Action and Continuous Improvement 3
M Informational US FDA – FDA provides updates on the agency’s continued commitment to evaluating postmarket safety of Essure device Medical Device and FDA Regulations and Standards News 0
S Evaluating the possibilities of using qmswrapper or greenlightguru Document Control Systems, Procedures, Forms and Templates 4
C Evaluating GRR Scores %Tol vs %TV Gage R&R (GR&R) and MSA (Measurement Systems Analysis) 9
J Potential Customers Asking for EIRs / 483s when evaluating a CRO for future work US Food and Drug Administration (FDA) 2
P FDA - Evaluating Substantial Equivalence in Premarket Notifications 21 CFR Part 820 - US FDA Quality System Regulations (QSR) 1
M Quality Control Procedure and Procedure for Evaluating Sub Contractor Document Control Systems, Procedures, Forms and Templates 1
M Evaluating Vendor (Supplier) Products using SQC Statistical Analysis Tools, Techniques and SPC 6
K Evaluating different Startup Options in EU and MDD ISO 13485:2016 - Medical Device Quality Management Systems 4
S Trading Company - Evaluating Supplier Performance and Approved Supplier List ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 2
J The 510(k) Program: Evaluating Substantial Equivalence in Premarket Notifications 21 CFR Part 820 - US FDA Quality System Regulations (QSR) 2
E Evaluating Lean Knowledge: Lean Philosophy Course for Production Engineering Students Lean in Manufacturing and Service Industries 1
A Evaluating an Integrated Management System - Dissertation Topic ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 5
optomist1 Evaluating Capability Indices with Minitab Using Minitab Software 7
C Trend Analysis - Evaluating Quality of Pricing - ANVOA or Std Dev? Statistical Analysis Tools, Techniques and SPC 25
W Re-Evaluating Corrective Actions - Recurrence of a Customer Complaint Nonconformance and Corrective Action 7
D Good source for Checking and Evaluating Control Plans needed FMEA and Control Plans 4
R EMP (Evaluating the Measurement Process) Studies for Bias Effect Gage R&R (GR&R) and MSA (Measurement Systems Analysis) 6
J Evaluating a Regression Model Using the Constant Variance Assumption Six Sigma 8
Wes Bucey "Downsizing" ramifications - Evaluating and Interpreting the News World News 0
A Methods of evaluating compliance to ISO 14001 ISO 14001:2015 Specific Discussions 6
M Evaluating my QMS (Quality Management System) ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 11
G 100% Sort Verification - Statistical Method for Evaluating Suspect Material Statistical Analysis Tools, Techniques and SPC 19
J Evaluating and Reporting the Results of Layered Process Audits Document Control Systems, Procedures, Forms and Templates 9
Gert Sorensen Evaluating Software for GMP Criticality? Software Quality Assurance 3
M Evaluating adverse effect on device tested with out of tolerance instrument General Measurement Device and Calibration Topics 3
Q Evaluating Internal Audit Results Internal Auditing 24
P Rockwell, Brinell, Vickers Conversion - Evaluating Aluminum 6061-T6 and 6063-T6 General Measurement Device and Calibration Topics 11
U Evaluating the aspects... All judgement based or is there a more objective way? Miscellaneous Environmental Standards and EMS Related Discussions 1
D Evaluating competence on training for new ISO 13485 standard for employees ISO 13485:2016 - Medical Device Quality Management Systems 7
Q "Service" Vendor (Supplier) Evaluation - How are you evaluating suppliers? Supplier Quality Assurance and other Supplier Issues 5
N Evaluating Process Stability - Unstable Processes - Cpk/Ppk? Capability, Accuracy and Stability - Processes, Machines, etc. 6
Z Seeking GM standard GM9684P - Procedure for evaluating parting lines Customer and Company Specific Requirements 2
S Metrics for Evaluating Design process Design and Development of Products and Processes 2
C Evaluating software that measures Ppk, Cmk, Cpk, PPI, etc. Capability, Accuracy and Stability - Processes, Machines, etc. 4
H Good starting point for a new QC Manager? Evaluating Existing Procedures Document Control Systems, Procedures, Forms and Templates 21
Gman2 Evaluating training, needed for office personnel? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 18
G Evaluating Processes - Cycle Time Concepts - Three Levels for any process Manufacturing and Related Processes 3
Marc Evaluating 5.3 c - Quality Policy - Framework General Auditing Discussions 1
T Evaluating Customer Satisfaction ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 14
B Risk Anlysis for Evaluating then Voiding or Not Issuing CPAR's Nonconformance and Corrective Action 1
C Can anyone suggest a means of evaluating a suppliers performance? Supplier Quality Assurance and other Supplier Issues 4
Raffy Evaluation Form - Re-evaluating suppliers for their performance Supplier Quality Assurance and other Supplier Issues 8
S Supplier Evaluation - Evaluating transport suppliers and equipment suppliers Supplier Quality Assurance and other Supplier Issues 2
D What exactly is needed on the subcontractor list for evaluating subcontractors QS-9000 - American Automotive Manufacturers Standard 4

Similar threads

Top Bottom