Internal Audit Questions - Does anyone have sample questions for Management

Q

QHSEer

#11
AndyN said:
I agree that you should keep management involved, but it sounds to me that you should change your procedure! Incidently, an effective audit procedure shouldn't define audits by 'department' and certainly not 'every department'!! The ISO 9001:2000 requirements indicate that 'processes' should be audited.

My approach to auditing management is to find out how their processes are performing, say late delivery, scrap rates, poor supplier performance, inventory turns, etc and then audit the process to find out why these things are happening. You could involve them in the audit planning process to see if they have any reasons for 'loosing sleep' over the process. Or, you could ask what's new or changed in the process to see if the change is under control!

I hope this helps. I will be pleased to give you more if you need to. Tot ziens, Gaby!
Andy
Thanks for the input. And nice to see that someone in the States knows some dutch words.
Groetjes
Gaby:agree1:
 
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R

Regina Edwards

#12
Gi-Gi

Andy

As a Systems Engineers/Management Rep I am so sorry that I did not see your response earlier to prevent you from sharing your opinion with someone else. It is critical to the process to audit Sr. Management especially with the Management Review process. It is critical to see Sr. Management's buy in and approval of the overall System. This ensures that they have agreed on the IA schedule so that it would improve the QMS.

With TS-16949 the COPs and KOI's itself should have been defined by Sr. Management and the audit of how the COPs where should be performed on Sr. Management.

Most managers actually look forward to seeing how well they are doing to the standard. Even if they're not (ha,ha)


This was not meant to be rude, but I sub-contract audits for smaller businesses and we audit Sr. managers on a regular basis.
 
I

in_cr_ove

#13
it is imporatnt to interact (not audit the top management).
the purpose may be to understand the quality policy (unstated) and how is it deployed in the organisation.
queries may explore:
business plans and its interaction with quality management system
what are the improvements desired and how does it get communicated to organisation
satisfaction with existing quality management system based on management review (if not satisfied, what are the plans to improve)
interaction (audit) should focus on usability of quality management system to deliver business and quality objectives.
hope, these thought are useful.
 
#14
Er, run that by me again......

Regina Edwards said:
Andy

As a Systems Engineers/Management Rep I am so sorry that I did not see your response earlier to prevent you from sharing your opinion with someone else. It is critical to the process to audit Sr. Management especially with the Management Review process. It is critical to see Sr. Management's buy in and approval of the overall System. This ensures that they have agreed on the IA schedule so that it would improve the QMS.

With TS-16949 the COPs and KOI's itself should have been defined by Sr. Management and the audit of how the COPs where should be performed on Sr. Management.

Most managers actually look forward to seeing how well they are doing to the standard. Even if they're not (ha,ha)


This was not meant to be rude, but I sub-contract audits for smaller businesses and we audit Sr. managers on a regular basis.
Regina. I'm not sure I understand. It appears to me that your idea of auditing, if I read it correctly, is to audit Management Review (for example) and to have management demonstrate their 'commitment' to the use of the quality system. Since I also read that you're doing audits for smaller companies, I going to 'read between the lines' and suggest that these are not truely internal audits and that we are not seeing this along the same lines.......:mg:
I have tried over the years of consulting, and training many thousands of internal auditors, to keep away from adopting the same behaviours as third party audits (yes, I know, heretic me again....). But y'know, it doesn't work for internal auditors to follow those ways.:nope:

Tell me more about what you're doing for these companies so we can shed some light for the readers of this thread....:yes:

Thanks
Andy
 

Anerol C

Trusted Information Resource
#15
I will audit Operations Director next friday; I have been trying to implement ISO 9000 during the last 8 months without sucess :nope:, I don't see a real management commitment,
What can I ask to him so he can realize that his staff is not caring about the system?:bonk:


Thanks
AC
 
#16
I will audit Operations Director next friday; I have been trying to implement ISO 9000 during the last 8 months without sucess :nope:, I don't see a real management commitment,
What can I ask to him so he can realize that his staff is not caring about the system?:bonk:


Thanks
AC
Anerol:
It's not so much about asking him something as you describe, but doing some research to discover, when planning the audit, what are the Operations issues that he's being measured on (by his boss) and then which ones are not going to meet the goals set for the organization. So, for example if he's got to reduce scrap, improve yield etc., find out what's not working and audit that part of the process.

Your audit should then investigate if his people are actually using the process as described in the quality system documentation and determine if this is the reason for the per performance. Your report should then help the OPs Director to see what needs to be done.

Make it personal to his goals and objectives and he'll see it, unless he doesn't 'get' it!
 
Last edited:

Stijloor

Staff member
Super Moderator
#17
I will audit Operations Director next friday; I have been trying to implement ISO 9000 during the last 8 months without sucess :nope:, I don't see a real management commitment,
What can I ask to him so he can realize that his staff is not caring about the system?:bonk:

Thanks
AC
Hello Anerol,

Look at this post + attachment. I am sure that you can develop some more specific audit points. It may help you to get started.

Stijloor.
 
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