Internal Quality Audit - Can I follow the Auditors and Ask Questions?

A

aynin_quality

#1
hi again!

i have formed an internal quality audit team. they will be conducting our internal quality audit this month. is it ok if i accompany the auditors during their rounds and am i allowed to say anything during the internal audit?

really appreciate all of your advises.
 
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Jim Wynne

Leader
Admin
#2
hi again!

i have formed an internal quality audit team. they will be conducting our internal quality audit this month. is it ok if i accompany the auditors during their rounds and am i allowed to say anything during the internal audit?

really appreciate all of your advises.
Sure, unless they've taken out a restraining order. :D

There's nothing insofar as the standard is concerned that prevents it. You might be thinking of registration audits and consultants; generally consultants are allowed to be present during registrar's audits, but they're not allowed to "guide" the audit.
 

Randy

Super Moderator
#3
What are the procedures for your audit program? Just follow your procedure....A question...What do you want to ask and why? Asking questions after your auditor could give an indication that you do not think they are competent and could diminish them in front of the other employees.
 

Wes Bucey

Prophet of Profit
#4
In my opinion, since you "formed" the audit team, you can ask both auditors and auditees questions or make comments as "continuing education" as well as to assure competence of the audit AND a step up on the management review.

Whether you come across as a "wise and caring mentor" or an "interfering, micromanaging horse's a$$" is dependent on how much you care about your team and the organization and how you make that clear to your audience.
 
C

cokyat

#5
hi again!

i have formed an internal quality audit team. they will be conducting our internal quality audit this month. is it ok if i accompany the auditors during their rounds and am i allowed to say anything during the internal audit?

really appreciate all of your advises.
Hi! Kumusta? Its good to hear from you...
Well as per your questions, I've been a Lead Auditor for 6 years in an automotive company here in our country and I've been accompanying the auditors during the surveillance and we are still certified...:) until now...
 

Coury Ferguson

Moderator here to help
Trusted Information Resource
#6
hi again!

i have formed an internal quality audit team. they will be conducting our internal quality audit this month. is it ok if i accompany the auditors during their rounds and am i allowed to say anything during the internal audit?

really appreciate all of your advises.
There isn't any problem in asking questions during your "internal" audits, but I would refrain (unless for clarification) from asking questions during the "External" audit.

Randy said:
What do you want to ask and why? Asking questions after your auditor could give an indication that you do not think they are competent and could diminish them in front of the other employees.
But, Randy is right. If you ask questions while your "Internal" audit is being performed, it may cause them to think twice and ask to be relieved from acting in the capacity of Internal Auditors, because they could think that you don't feel comfortable with them as auditors. :caution:
 
Last edited:
#7
There is no problem in asking questions but the questions should not be silly or so elementary that the "external" auditors lose confidence in the system :eek:

I usually ask questions towards the enhancement or continuous improvements of the system requirements
 
Q

qualityboi

#8
Personally I would square the idea of asking questions during the opening meeting. It would be a professional courtesy and it would not take them by surprise. Also you don't want it to affect the time line for an audit that may be pre-scheduled. I often asked questions during a 3rd party audit but I let the auditors know ahead of time that I was not challenging them and that is was for my own growth as an internal auditor.
 
B

Bill Pflanz

#9
This question is a tough call. If the purpose of your questions is for training purposes to make sure the internal auditing team is asking the right questions, the right way then you should communicate your purpose to the internal auditors and even to the auditees. By briefly explaining why you are present, it will keep your auditors from being embarassed. Those being audited need to know so they understand that auditors are in training and not just being turned loose.

Of course, if you follow along and effectively take over the audit because of all your questions then you have done a disservice to everyone. Assuming your purpose is to train auditors, your questions should be discrete or you should save your comments until a post review of the audit with the internal auditors. I learned from a good auditor but he did have a tendency during the initial audits to be a little pushy so I am speaking from experience.

Bill Pflanz
 

Cari Spears

Super Moderator
Leader
Super Moderator
#10
hi again!

i have formed an internal quality audit team. they will be conducting our internal quality audit this month. is it ok if i accompany the auditors during their rounds and am i allowed to say anything during the internal audit?

really appreciate all of your advises.
Hi, aynin -

When you say you have formed an internal quality audit team, do you mean that these are newly trained internal auditors? Here's what my Internal Audit Procedure states:

3.1 AUDITOR QUALIFICATON

3.1.1 Any employee may volunteer to become an Internal Auditor after 90 days of employment. This minimum employment period is necessary in order to ensure that auditor candidates comprehend the organizational structure, functions and relationships, as well as the management system processes and related terminology.

3.1.2 Auditor candidates must receive training in TCI audit practices and the referenced documents in section 4.0 of this procedure. Training is conducted by the Lead Auditor.

3.1.3 Newly trained auditors will be accompanied by the Lead Auditor for no less than two rounds of auditing. This allows the Lead Auditor to evaluate the personal attributes and interview techniques of the auditor, as well as his ability to apply the audit principles and techniques learned in auditor training.


I take great care to not undermine or embarrass a new auditor - but I think it is a good idea to accompany them to observe and help out if needed.
 
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