Internal Audit Report Acceptance

Q

qmsboy

#1
Hi There,

1.Is it mandatory that we have to accept internal audit report after every internal audit?Is there any provision to object on audit finding if we have adequate evidance?
 
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K

Ka Pilo

#2
Hi There,

1.Is it mandatory that we have to accept internal audit report after every internal audit?Is there any provision to object on audit finding if we have adequate evidance?
It is mandatory to take corrective action on valid audit findings. Of course, you can contest invalid audit findings with your evidence.
 

somashekar

Staff member
Super Moderator
#3
Hi There,

1.Is it mandatory that we have to accept internal audit report after every internal audit?Is there any provision to object on audit finding if we have adequate evidance?
Leave it to the MR to decide in case of internal audits.
Another view is that you can respond to the audit finding with the adequate evidence and explain why this could not be evidenced during the audit process and see opportunity how evidences (records) retreivel can be improved.
 

qusys

Trusted Information Resource
#4
Hi There,

1.Is it mandatory that we have to accept internal audit report after every internal audit?Is there any provision to object on audit finding if we have adequate evidance?
We are used to do a debriefing meeting with the representatives of the audited process, presenting final results. At the end of the meeting we finally issue the report as well as non conformity.
During the audit time we reserved at the end of each section 10 minutes to have a brief recap, in order to have non surprise.
Just in case of disagreement of any ncn at the final debriefing , where also MR is present, we howver send the report and ask to respond to ncn with eventual evidence to show that it is not a gap vs audited criteria.
 
#5
If you do effective audits, there will be no issue with acceptance of audit non-conformities! If you are using 'ISO' verbiage to report ncs you will have problems. You may wish to consider how you go about planning and performing your audits - it sounds to me as if the audit process is providing reasons for people to object to ncs.
 
A

amanbhai

#6
We are used to do a debriefing meeting with the representatives of the audited process, presenting final results. At the end of the meeting we finally issue the report as well as non conformity.
During the audit time we reserved at the end of each section 10 minutes to have a brief recap, in order to have non surprise.
Just in case of disagreement of any ncn at the final debriefing , where also MR is present, we howver send the report and ask to respond to ncn with eventual evidence to show that it is not a gap vs audited criteria.
The exact same route we take to internal auditing and reporting internal audit ncs. However, few of the auditees always have problems and are not willing to take corrective actions easily.
 
A

arios

#7
Hi There,

1.Is it mandatory that we have to accept internal audit report after every internal audit?Is there any provision to object on audit finding if we have adequate evidance?
There could always be some room for divergent opinions regarding audit NC's, since auditing is not a exact science. It is not mandatory to have a acceptance signature on a report, but it is up to you. What I would recommend for internal auditors is to have "daily wrap up meetings" and "closing meetings". They promote communication and allow for resolution of issues if they exist, and at the end the aim is to have no surprises. An auditee will almost always want to have no NC's (which is a good goal but not always a realistic one), and in addition they will expect from you as an auditor an accurate and fair report which reflects the status of the QMS the best possible way and written in a concise, clear, impersonal and professional manner.
 
A

Al Dyer

#8
Accept the report and include all inconsistencies in the corrective action. There should be no reason for the inconsistency to be even recorded if the audit program is properly organized and the quantitative evidence is presented. Teamwork is the name of the game!

Al...
 

Jen Kirley

Quality and Auditing Expert
Staff member
Admin
#9
When there are no nonconformities, my people seldom, if ever hesitate to accept the audit report. :tg:

But I have two means of gathering acceptance at point of issue:

a) Gain acceptance at the time the nonconformity was found. This allows face-to-face discussion, exploration and explanation.

b) Send out a "draft" to the stakeholders, especially the NC owners, attached in an email. In the email message, give x number of days' worth of time for them to clarify, add more details, ask questions, etc. The message says "If I do not hear from you by close of business on xx/xx/xxxx, I will issue as-is; the due date for a response will be xx/xx/xxxx."

There are three reasons why I do this:

1) I am not perfect, and my audits are a "snapshot" that may not have captured all that is relevant to the situation. I have saved a lot of messy audit rewrites and re-issues this way. It's good for the record keeping aspect, as my NC tracking log keeps the originals after they're re-issued or "killed" in a new audit report.

2) The NC owner is empowered to "push back." I actually like this conflict because to push back he/she must be thinking and arguing the points in a management system way; I need people besides myself to do this. I need and want people to think of quality and what it means from the different perspectives: customers, registrars, our own quality of work life.

3) Humility. This willingness to "negotiate" clarifies that I am not the end-all in this process. I have our company's best interests at heart, but I am willing to give some ground if it's the right thing to do.

#1 and #2 don't happen often, mainly because I try to have the conversations and get the acceptance before the thing gets emailed out. But #3 is constant. I really do believe it has helped me forge a reputation as friend vs. foe in my work.
:2cents:
 
J

JaneB

#10
Hi There,

1.Is it mandatory that we have to accept internal audit report after every internal audit?Is there any provision to object on audit finding if we have adequate evidance?
Just for clarity, are you the auditor here or the auditee? Because my advice would differ a little, depending on your role.

I think it's quite reasonable to object on an audit finding IF you have reasonable evidence that it's not correct. Auditors aren't always correct, they may not have seen all the evidence, etc. But it does suggest that perhaps there was something that wasn't efficient about the internal process itself. Whether the cause of that is down to the auditor, or the auditee personnel, or the process is what should be looked at.

My normal practice before writing up an internal audit report is to summarise what I found (verbally) with the auditees and/or their manager/supervisor. If I have any issues I think need corrective action I'll include those, along with the evidence (or lack thereof). Essentially, I aim for everyone to agree with the outcome before I write up the report, including any corrective actions if needed. The report itself shouldn't be a cause of any negative surprises.

If it's particularly contentious, I may even give a copy of the draft report to the manager before issuing, and invite their comments, eg, if they believe I've been mistaken or have missed out on certain evidence. (I put a timeframe on it, as Jennifer does, along with a 'If I don't hear back from you, I"ll assume no feedback"). And I don't think I'm perfect either - I may have been mistaken. I may not have asked the right question, I may have overlooked something.

Either way, I won't change a relevant finding unless they can provide reasonable & acceptable evidence that means I should. I will discuss, explain and if necessary negotiate a reasonable corrective action/conclusion. My basic position is: they may not like what I say, but if I've done a reasonable job and been objective and evidence-based, they should not be in a position to contest it.

It's much more effective overall to avoid drawn-out battles after the fact,let alone to get badly on the wrong side of people you have to work with. The aim, after all, is to eliminate weaknesses and improve, not to have confrontations and arguments which may detract from the work required.
 
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