Internal Audit Success and Failure Factors Discussion

J
#1
factors for successful internal audits

i am looking into the factors contributing to the successfulness of the internal audits. r there any other factors besides the auditors knowledge, experience, commitment..., mgt support etc. can someone help?

thanks.
 
Elsmar Forum Sponsor

barb butrym

Quite Involved in Discussions
#2
project mangement skills
communication skills
effective use of quality tools
effective Reportwriting
Positive attitudes (auditor and auditee)
nonevasive techniques
effective teams, consensus
Strong corrective action system and support
Buy in from department managers (get them on the team.....get any naysayer on the team)

Most of those chop up to experience in one way or another, but are key elements for success, and a starting point for building effective auditors
 
H

Hello - 2006

#3
mm.... I have been noticed in my company that most of the internal auditors are not professional enough. Instead of assessing the company's system, they prefered to dig into small tiny mistakes that other departments have done. This thinked that more mistakes found showing that they are more talented. I think the most important criteria for a successful internal audit is the selection of the team members, and provide the refresh training shall be given from time to time to make sure they are not out of their track.
 

Randy

Super Moderator
#4
Value added!!

If the internal audit process is not percieved as being value added to the organization by everyone involved all the rest doesn't matter.

It's the perception rather than the reality that will be the deciding factor in success.
 
#5
jean said:
i am looking into the factors contributing to the successfulness of the internal audits. r there any other factors besides the auditors knowledge, experience, commitment..., mgt support etc. can someone help?

thanks.
I believe in creating a vision about what you want the auditing business to achieve... more or less like a business idea. In order to do that you need to do a bit of structured thinking about your:
  • Initial position
  • Your assets
  • Your objectives
  • Your planned actions
I did that in 2000, and it resulted in the appended map (Translated today in great haste). It all worked out rather nicely... Things looked bleak at the start but today we have an oudit system I'm pretty proud of... not to mention a useful one...

/Claes
 

Attachments

H

HelenMagdich

#6
In the manufacturing world, there can be political/social standards to adhere to when it comes to selecting auditors. But the most successful audit team I ever had was almost entirely floor workers, not management. When management got over the shock of these employees auditing them, they began to realize that their findings were valuable and generating great opportunities for improvement that kept their first-hand knowledge in check with the procedures they were auditing. Qualities that I look for in a candidate are:
Non-biased (won't buy into the run-around)
Honest
Congenial
Detail-Oriented
Non-aggressive (In the sense of knowing how to non-threateningly pose a
question)​
Openminded
Willing to change
Good sense of urgency
Self-motivated
 
#7
Good point about the floor workers, Helen. It does pay to pick auditors from all over the company. They will offer different perspectives.

/Claes
 
Last edited:

Randy

Super Moderator
#8
Randy said:
Value added!!

If the internal audit process is not percieved as being value added to the organization by everyone involved all the rest doesn't matter.

It's the perception rather than the reality that will be the deciding factor in success.
My original statement still stands, everything else would/will not occur without it.
 
Thread starter Similar threads Forum Replies Date
H AS9100 Checklist for Internal Audit needed AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 1
A What are the pros and cons of using an audit software for internal auditing? General Auditing Discussions 4
F Internal Audit before Pre-Assessment ISO 17025 related Discussions 2
Q Internal audit plan template Internal Auditing 6
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 9
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
N Comprehensive Compliance Matrix for Internal Audit Checklist Other Medical Device Regulations World-Wide 1
W Where to begin with an ISO 9001:2015 internal audit Internal Auditing 13
D Internal audit forms or checklists for a medical/veterinary laboratory General Auditing Discussions 5
E Informational Internal Audits - Wear multiple hats what can and can't I audit (so I'm not auditing my own work) Internal Auditing 144
E ISO 9001:2015 - Internal Audit Plan Clauses General Auditing Discussions 8
S Internal Audit Checklist for Application/Software development IEC 27001 - Information Security Management Systems (ISMS) 1
S Internal Audit - Risk and Opportunity (ISO 9001:2015 ) Internal Auditing 1
F API Spec Q1 9th Edition Surveillance Audit - Questions about internal audits. Oil and Gas Industry Standards and Regulations 23
Ashland78 IATF 16949 Internal Audit Checklist Manufacturing and Related Processes 11
Ed Panek Root Cause CAPAs from internal audit ISO 13485:2016 - Medical Device Quality Management Systems 16
K Student wanting Case Study about Internal Audit Report Internal Auditing 1
R How far apart can you schedule separate areas or departments in your internal audit? Internal Auditing 4
D Auditing Our Outsourced 2nd-3rd Party Internal Audit Company ISO 13485:2016 - Medical Device Quality Management Systems 6
A API Spec Q1 9th Edition - 12 month Internal Audit Schedule Audit Nonconformance Oil and Gas Industry Standards and Regulations 10
J Microsoft Teams to manage Internal Audit System? Internal Auditing 3
tony s An organization's Internal Audit Office certified to ISO 9001:2015 ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 28
Tagin Does ISO 9001:2015 require a full internal audit annually? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 21
S GM/VP softgrading internal audit finding - need feedback from an audit guru! General Auditing Discussions 11
M Internal Audit Assessment Criteria - ISO 13485:2016 Internal Auditing 21
V Process and Internal Audit Criteria matrix wanted Internal Auditing 8
S Internal Audit Completion Memorandum Internal Auditing 2
T Example wanted - Template for internal audit IATF 16949 IATF 16949 - Automotive Quality Systems Standard 1
a_bardi Is it possible to exclude internal audit from qms scope? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 5
P Quality objectives - must they include CAPA and internal audit topic? ISO 13485:2016 - Medical Device Quality Management Systems 28

Similar threads

Top Bottom