V
I find it a little bizarre that the company has given you the responsibility of being the internal auditor and management representative for the audit. In my years of auditing, I've never come across such a situation.
Are you the only internal auditor?
Who will audit you, as the management rep?
When I first started auditing, I was extremely nervous. I too had taken a lead auditor course but wasn’t convinced that I knew enough to actually lead the audits. After having a couple audits under my belt, it all became much easier.
The main things I try to focus on are:
1. Review the process with the person responsible.
2. You can make it a simple conversation of, “Can you take me through this process __________”. Most people are more than happy to do this and once they are talking about the process, questions will come to your mind to ask.
3. Once they explain the process, you can start to identify the inputs and outputs of the process.
4. If what they tell or show you doesn’t match the procedure or work instruction, you need to dig deeper but in a gentle way. I usually ask “Why is this task performed like this…?”
5. I don’t usually like to use a “check sheet” of questions to ask the operators or staff. I find it much more effective to just talk to the people about the process and then verify the information on the procedures/work instructions. I’ve found many more OFI’s than NC’s and at the same time found that people become much more comfortable when being audited.
6. Review any documents available that pertain to the process.
7. Make sure you write down all revisions and document numbers so that you can verify these documents on the master list of documents.
8. This may take you to other departments, but just follow the process. This will make you a much more effective auditor with “real time” results that will improve the way the company is run.
Good Luck!!
Are you the only internal auditor?
Who will audit you, as the management rep?
When I first started auditing, I was extremely nervous. I too had taken a lead auditor course but wasn’t convinced that I knew enough to actually lead the audits. After having a couple audits under my belt, it all became much easier.
The main things I try to focus on are:
1. Review the process with the person responsible.
2. You can make it a simple conversation of, “Can you take me through this process __________”. Most people are more than happy to do this and once they are talking about the process, questions will come to your mind to ask.
3. Once they explain the process, you can start to identify the inputs and outputs of the process.
4. If what they tell or show you doesn’t match the procedure or work instruction, you need to dig deeper but in a gentle way. I usually ask “Why is this task performed like this…?”
5. I don’t usually like to use a “check sheet” of questions to ask the operators or staff. I find it much more effective to just talk to the people about the process and then verify the information on the procedures/work instructions. I’ve found many more OFI’s than NC’s and at the same time found that people become much more comfortable when being audited.
6. Review any documents available that pertain to the process.
7. Make sure you write down all revisions and document numbers so that you can verify these documents on the master list of documents.
8. This may take you to other departments, but just follow the process. This will make you a much more effective auditor with “real time” results that will improve the way the company is run.
Good Luck!!
