Internal Audits - Presenting Audit Findings to Upper Management

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Eloy Gomez

#1
We have completed all of our yearly internal departmental and process audits. Total findings is 74 -- mostly for lack of training, not following procedures and operator error. Also for procedures not outdated and not meeting the current process.

Some of these audits were valued added where we discovered new ways to improve on the process and outputs. Others not too sure.

I would like to create a nice presentation package that includes all the areas/process audited and the number of findings to present to upper management and would like some suggestions on what to include or on what to emphasize. Not sure if I should measure the audits and give a benchmark, or if I just should name the problem areas.
 
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J
#2
Re: Internal Audits -- Presenting to Upper Management

We have completed all of our yearly internal departmental and process audits. Total findings is 74 -- mostly for lack of training, not following procedures and operator error. Also for procedures not outdated and not meeting the current process.

Some of these audits were valued added where we discovered new ways to improve on the process and outputs. Others not too sure.

I would like to create a nice presentation package that includes all the areas/process audited and the number of findings to present to upper management and would like some suggestions on what to include or on what to emphasize. Not sure if I should measure the audits and give a benchmark, or if I just should name the problem areas.
It has been my experience that upper managment does not want a lot of detail on these matters. Mostly they expect the various managers and department heads to deal with whatever comes up.
Frankly I think your first paragraph is a pretty good place to start from. In presentation form it might go something like:

Conducted (X number) of internal audits with a total of 74 findings. In the main these findings fell into three areas.
1) Lack of proper training
2) Not following prescribed procedures
3) Documents not being updated and or not reflecting actual processes.

Then you could go briefly how each area should be or has been addressed (emphasize the ones where processes improved) and who is responsible for addressing them.
Finally ask for questions, suggestions etc from management.

If you think that management might be interested in more detail on a some area or other, you might have a more detailed report ready to go. Then a quick trip to the copier, or slides on an overhead or PPT gives everyone just what they need.

Hope this helps.

Peace
James
 
#3
Re: Internal Audits -- Presenting to Upper Management

We have completed all of our yearly internal departmental and process audits. Total findings is 74 -- mostly for lack of training, not following procedures and operator error. Also for procedures not outdated and not meeting the current process.

Some of these audits were valued added where we discovered new ways to improve on the process and outputs. Others not too sure.

I would like to create a nice presentation package that includes all the areas/process audited and the number of findings to present to upper management and would like some suggestions on what to include or on what to emphasize. Not sure if I should measure the audits and give a benchmark, or if I just should name the problem areas.
These findings tend to indicate (to me) you've left it too long to report this stuff. Doing a yearly audit just isn't sufficient. As a result, you've got waay to much to report, management will never absorb this many findings and, to cap it all, I see nothing about how effective the processes are. Findings like 'not following' or 'outdated' are not helpful unless they're linked to 'does it give good results'.....Without that vital part of the auditors' story, you won't get much response, no matter how nice your powerpoint is....

IMHO - you need to do some work on your audit program......
 

Randy

Super Moderator
#4
Provides me evidence of ineffective audit planning, poor audit program and not maintaining the system. There could also be lack of adequate resources, lack of competencies, poor communication, ill defined roles & responsibilities, poor document control and so on....

Bottom line y'all just seem to be going thru the motions but not really going anywhere....How long have you had a functioning system?
 
T

trainerbob

#5
I agree with Andy and Randy. It is obvious you are not reporting problems in a timely manner if you have 74 of them for your report. Your whole audit program/system/process is suspect in my book. And if you are going to do a report like the one suggested I would think you would surely want to include this along with the rest of your report. If your management is truly serious about its QMS it will give you the resources and directive to do your internal audits and subsequent reports in a timely manner so that the needed changes can be made to your QMS to help out your organization.
 
E

Eloy Gomez

#6
Provides me evidence of ineffective audit planning, poor audit program and not maintaining the system. There could also be lack of adequate resources, lack of competencies, poor communication, ill defined roles & responsibilities, poor document control and so on....

Bottom line y'all just seem to be going thru the motions but not really going anywhere....How long have you had a functioning system?

That is the problem, we do not have a functioning system, I have only been with the company 5 months and took over the responsibility of internal audits and process improvements + C/A's and P/A's and a lot more stuff. The culture is quantity based not quality based and plenty of incompetence, not too many educated people, and lack of resources.

Is not poor audit program, too much to audit in such little time, now that I have the numbers and the details I would like to present to upper management so that they see how screw up they really are. :D
 
E

Eloy Gomez

#7
I agree with Andy and Randy. It is obvious you are not reporting problems in a timely manner if you have 74 of them for your report. Your whole audit program/system/process is suspect in my book. And if you are going to do a report like the one suggested I would think you would surely want to include this along with the rest of your report. If your management is truly serious about its QMS it will give you the resources and directive to do your internal audits and subsequent reports in a timely manner so that the needed changes can be made to your QMS to help out your organization.

Let me emphasize that as the audits were conducted the findings were reported and acted on a timely manner, now is the end of the 4th quater and I have to present the internal audit program as part of the 4th quater MR meeting.
 

Randy

Super Moderator
#8
Your audit program has to serve a specific purpose over a defined time period...that's the ISO definition, I didn't make it up.

An audit program is made up of one or more audits...that's part of the definition also

Apparently one audit isn't hacking it...why? Because...The organization shall conduct internal audits at planned intervals to determine whether the quality management system

a) conforms to the planned arrangements (see 7.1), to the requirements of this International Standard and to the quality management system requirements established by the organization, and

b) is effectively implemented and maintained.


There is something broke with the process and what we may have is a critical lack of understanding of what's and why's when it comes to the internal audit.

It's also very honest of you to say your system is not functioning, I hesitated because I didn't want to be accused of being mean to you. You really have a difficult task ahead of you. Good luck Eloy
 
E

Eloy Gomez

#9
Honestly the Findings could have been much higher, I only concentrated on the major issues and disregarded the nick picking. Still 74 C/A's in 5 months as a result of the internal audits took management by storm with the Quality department being one of the worst agressors in non-compliances. These people need help and I am not about to give up on them, not yet. Eventually I will leave, for this company is just too screwed up for me. But I will like to know that at least I guide them in the right direction before I do.

The auditor I replaced only did desktop audits and all departments always passed with flying colors, so I come in and I call it like it is and it took them by storm.

Our ISO/AS9100 yearly audit is in January 2010, this is why the urgency on completing all internal audits. Now I just have to present the results for the 2009 year to upper management review.
 

qusys

Trusted Information Resource
#10
Honestly the Findings could have been much higher, I only concentrated on the major issues and disregarded the nick picking. Still 74 C/A's in 5 months as a result of the internal audits took management by storm with the Quality department being one of the worst agressors in non-compliances. These people need help and I am not about to give up on them, not yet. Eventually I will leave, for this company is just too screwed up for me. But I will like to know that at least I guide them in the right direction before I do.

The auditor I replaced only did desktop audits and all departments always passed with flying colors, so I come in and I call it like it is and it took them by storm.

Our ISO/AS9100 yearly audit is in January 2010, this is why the urgency on completing all internal audits. Now I just have to present the results for the 2009 year to upper management review.

Agree with what the other expert Covers told on this.
Question:did you also audit Management and mgmt review process?
It could be important to undestand how they sponsored and sustained internal audit program and whether they allocated enough resources
Besides, results of audit are one of the input of mgmt review process.
 
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