Internal Audit Reports - Is it wise to list specific employee names

V

VickiC - 2006

#1
I am interested in others' opinions as to whether or not it is wise to list specific employee names in internal audit reports, CARs, and PARs. I am in a discussion with another employee on this subject and I am trying to consider all thoughts/opinions. This other feels it is okay to do this they feel it is objective evidence and they only intend to write a person's name when there is not a finding against them. I have always felt that these published documents should never reflect specific names, but instead, be available within the audit's records elsewhere, if needed as detailed evidence. Audit reports can generate a lot of emotion, both good and bad, and I guess I tend to think it is wise to remain consistent.

I am very interested in others' opinions. Thanks.
 
Elsmar Forum Sponsor
J

jmp4429

#2
Interesting question. My audit reports always include a list of people interviewed/observed, but never “so and so said this.”

I am also careful that when someone alerts me to a potential nonconformance, I follow the audit trail back to ‘find it myself’ to try to keep people out of trouble.
 
M

Manatee

#3
I am totally agree with you. We never post names of our employees in the report, but we can tell a name personally to a department manager in a case of need.
 
R

ralphsulser

#4
We have always included names in audits to list the people contacted for each area audited. Could be manager, team leader, operator. This helps verify audit content and results. If I find obvious nonconformances that have been previously closed as corrected, I will document the name of the employee and attach evidence. This then provides a means to get at root cause corrective actions.
 
M

Manatee

#5
jmp4429 said:
Interesting question. My audit reports always include a list of people interviewed/observed, but never “so and so said this.”

I am also careful that when someone alerts me to a potential nonconformance, I follow the audit trail back to ‘find it myself’ to try to keep people out of trouble.
Pesonally me, I don't see a problem to write "The employee of the department #1 refers to this and this"
 

SteelMaiden

Super Moderator
Super Moderator
#6
I ask for the auditors to list who they talked to on their "checklists" but never include names in the formal audit report. If someone asks who, and I feel that they are trying to improve the area, I'll put them in contact. If the querry comes from a supervisor or manager that is obviously looking for someone to blame, I may not. Nobody has figured out that the information would be available on the checklists, so it works well to protect the innocent, and the not so innocent.:rolleyes: If there is a nonconformance, I will usually contact the person that made the original statement that lead to the finding myself, that way I can get a feel for what direction we should be moving in and can help management make the appropriate decisions.
 
L

little__cee

#7
Numbers

We have employee numbers listed on our report cover sheet. There is a section marked "Employees contacted during audit" and their employee numbers are listed in that space.
 

Helmut Jilling

Auditor / Consultant
#8
SteelMaiden said:
I ask for the auditors to list who they talked to on their "checklists" but never include names in the formal audit report. If someone asks who, and I feel that they are trying to improve the area, I'll put them in contact. If the querry comes from a supervisor or manager that is obviously looking for someone to blame, I may not. Nobody has figured out that the information would be available on the checklists, so it works well to protect the innocent, and the not so innocent.:rolleyes: If there is a nonconformance, I will usually contact the person that made the original statement that lead to the finding myself, that way I can get a feel for what direction we should be moving in and can help management make the appropriate decisions.
Nice approach. I do the same on my registrar audits. Names interviewed and issues noted in the audit notes, but not in the report. The report focuses on systemic issues.
 
#10
Here I go again..........

VickiC said:
I am interested in others' opinions as to whether or not it is wise to list specific employee names in internal audit reports, CARs, and PARs. I am in a discussion with another employee on this subject and I am trying to consider all thoughts/opinions. This other feels it is okay to do this they feel it is objective evidence and they only intend to write a person's name when there is not a finding against them. I have always felt that these published documents should never reflect specific names, but instead, be available within the audit's records elsewhere, if needed as detailed evidence. Audit reports can generate a lot of emotion, both good and bad, and I guess I tend to think it is wise to remain consistent.

I am very interested in others' opinions. Thanks.
It appears to me that you've got bigger fish to fry here, than simply whether to report a person's name. Sure, 'other' auditors may use all kinds of methods and you can too. What's mildly disturbing is you post that this is a matter for discussion and that audit reports can generate a lot of emotion.:eek:

If you have a culture that goes 'after people' once audit reports a published, then you have to ask why? Is it the way you run the audit program or is it the culture of the business/organization??

Is there something that could be done with the audit program which might help management/supervision (who I'm guessing get 'emotional') better understand the role of the internal auditor, so their reports become more acceptable?

Let us know what kind of audit program you run! How often you audit, what your findings are reporting to management, who audits who etc.

As House MD says, "What's the differential diagnostic here, people..........?"

Andy
 
Thread starter Similar threads Forum Replies Date
J Internal Audits - Closing Audit Deficiency Reports (ISO 13485) Internal Auditing 4
P Internal Audit Reports reviewed by management? 21 CFR 820.22 Interpretation 21 CFR Part 820 - US FDA Quality System Regulations (QSR) 6
K Process Owners signing Internal Audit Reports Internal Auditing 6
K Evidence Documentation in Internal Audit Reports Internal Auditing 24
J Internal Audit Reports - Is it acceptable if received after due date? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 9
P Measurement of Performance based on Internal Audit Reports Quality Tools, Improvement and Analysis 12
P Boss doesn't want Nonconformances called Nonconformances in Internal Audit Reports ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 72
Q Internal Audit Reports - Examples sharing Internal Auditing 7
R Looking for Internal Audit Consulting Reports Internal Auditing 2
J Internal Audit Reports - Mandatory to keep original paper copy? Internal Auditing 16
J Nonconformance reports written only through internal audit findings? Nonconformance and Corrective Action 8
Q ISO 9001-2015 Internal audit finding Internal Auditing 12
lanley liao How to understand this words that the planning of internal audit shall take into consideration the results of previous audits? Oil and Gas Industry Standards and Regulations 10
A Add MDSAP to Internal Audit Schedule Medical Device Related Regulations 0
J IATF 16949 Internal Audit question - Auditor's responsibility Internal Auditing 6
S IATF 16949 Internal Audit Example IATF 16949 - Automotive Quality Systems Standard 7
R AS9100D internal audit checklist or ISO 9001 2015 to AS9100 D AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 2
M ISO 13485:2016 internal audit checklist Medical Device and FDA Regulations and Standards News 5
A Internal Audit Questions ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 11
salaheddine96 Internal audit planning Internal Auditing 2
M ISO 9001 Major Nonconformance Internal Audit Schedule/COVID-19 ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 18
E MDR internal audit Internal Auditing 1
U Internal Auditor not trained but done Audit for some process Nonconformance and Corrective Action 5
B Looking for 10 Internal Audit Online Training Participants ISO 17025 related Discussions 2
H AS9100 Checklist for Internal Audit needed AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 2
A What are the pros and cons of using an audit software for internal auditing? General Auditing Discussions 7
F Internal Audit before Pre-Assessment ISO 17025 related Discussions 2
Q Internal audit plan template Internal Auditing 12
L Internal audit during COVID-19 restrictions ISO 13485:2016 - Medical Device Quality Management Systems 5
O ISO13485 implementation - Are internal audits expected before stage 1 audit? Design and Development of Products and Processes 3
B Using Unreleased Documents & Process Maps for Internal Audit purposes ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 12
N Small Company - Internal audit process - Who does the audit? Internal Auditing 16
J Does anyone have an excel IATF 16949 Internal Audit checklist I could use? IATF 16949 - Automotive Quality Systems Standard 7
G Addressing Non-Conformances from an Internal Audit that are not product related ISO 13485:2016 - Medical Device Quality Management Systems 11
S Internal audit discrepancy - We missed a few audits that were scheduled Internal Auditing 12
Raffy ISO 14001 9.2.2 Internal Audit Programme Content Internal Auditing 10
N Internal Audit Schedule – Who gets to set the schedule? Internal Auditing 16
V IATF 16949 9.2.2.1 Internal Audit Program - "Process Changes" IATF 16949 - Automotive Quality Systems Standard 11
G Non Conformance During ISO 9001 Audit - Not All Internal Audits Completed General Auditing Discussions 19
B Using external FDA and ISO 13485 audit as internal audit Internal Auditing 6
T Internal Audit Schedule when Hiring Out Internal Auditing 7
D ISO 9001:2015 Internal Audit Training Advice Internal Auditing 10
M Internal audit consultant ISO 13485 (English speaker) Consultants and Consulting 3
S Implementing a 45001 Health & Safety standard - Internal audit plan wanted Internal Auditing 1
F Internal Audit - Procedure example Internal Auditing 5
C Internal Audit - Process Clause Matrix / Audit Checklist ISO 13485:2016 - Medical Device Quality Management Systems 7
CPhelan Internal audit - Combine similar nonconformities in one or keep separate? Internal Auditing 6
M Internal Audit Plan in Retail Internal Auditing 10
D Management of NC after internal system audit IATF 16949 - Automotive Quality Systems Standard 7
A Purchasing - Internal Audit Questions Internal Auditing 8

Similar threads

Top Bottom