A
Wow! This post has drifted quite away from JasonPCSwitches original request. All great responses and all have some validity, but...
From his original post it appears that he is aware of some of the weaknesses of his approach, but he is in a spot right now where he needs to make some progress and get some momentum going on his internal audit plan. I've been in this situation once or twice myself and know what its like to try to juggle a lot of balls and I'd just like to get one of them even kind of working smoothly. I'll get back to making it a little better later.
Jason, there is a lot of debate back and forth about the use of predefined checklists, as is readily apparent from all of the great responses. With that said I like to use an audit template with established questions. However, I prompt and encourage my internal auditors to revise questions appropriately based upon the procedure and previous audit results.
I also like to phrase the questions to require the audit to collect and evaluate evidence as they go and use this evidence for other questions about the process.
For example:
My questions for an audit on the purchasing process requires the auditor to collect a number of recent purchase orders. Evaluate the purchase orders for the procedure requirements. Go back and check the requisitions and approval process for those purchase orders. Check the approved supplier list to be sure the suppliers are approved for those orders and that all of the approval documentation and process is in place. Go to receiving inspection and check the verification process for the products on those purchase orders, etc. The question are actually set up that way (i.e. Get 5 recent P.O.'s and evaluate for x, y, and z. Using the same 5 P.O.'s review the verification docuemntation for x, y, & Z. etc.)
I have found that this approach is helpful for the auditors as well, because they get to see the importance of the processes and how they inter-relate.
Good Luck
From his original post it appears that he is aware of some of the weaknesses of his approach, but he is in a spot right now where he needs to make some progress and get some momentum going on his internal audit plan. I've been in this situation once or twice myself and know what its like to try to juggle a lot of balls and I'd just like to get one of them even kind of working smoothly. I'll get back to making it a little better later.
Jason, there is a lot of debate back and forth about the use of predefined checklists, as is readily apparent from all of the great responses. With that said I like to use an audit template with established questions. However, I prompt and encourage my internal auditors to revise questions appropriately based upon the procedure and previous audit results.
I also like to phrase the questions to require the audit to collect and evaluate evidence as they go and use this evidence for other questions about the process.
For example:
My questions for an audit on the purchasing process requires the auditor to collect a number of recent purchase orders. Evaluate the purchase orders for the procedure requirements. Go back and check the requisitions and approval process for those purchase orders. Check the approved supplier list to be sure the suppliers are approved for those orders and that all of the approval documentation and process is in place. Go to receiving inspection and check the verification process for the products on those purchase orders, etc. The question are actually set up that way (i.e. Get 5 recent P.O.'s and evaluate for x, y, and z. Using the same 5 P.O.'s review the verification docuemntation for x, y, & Z. etc.)
I have found that this approach is helpful for the auditors as well, because they get to see the importance of the processes and how they inter-relate.
Good Luck
(quiet or otherwise)
I actually take exception to your saying that this statement is the hallmark of a true consultant. I'd like to think that a really true consultant would be honest enough to say when they don't know stuff. I do.
Jane, if you are insinuating that I am not professional enough to know my own limitations and admit when I am wrong or when I have no knowledge of a certain topic, then I am taking a very strong offense to that and I demand an apology!!! You have no idea about my background, experience and qualifications to make such an insinuation. I have expressed my oppinions and how I feel about auditing processes just like you express yours and just like everyone else in this forum. These are my oppinions (right, wrong or indiferent) and so far I have not seen any argument to make me change them. I am not passing any judgement on your qualifications based on your oppinions and I would appreciate it if you would do the same, at least as professional courtesy!