ISO 9001:2000 Internal Auditor System and Preparation - Schedule, Check Lists, etc.

[Chris May]

Auditors Package

Afternoon everyone,

For those of you who coordinate internal audits (9K2K), when you have your audit schedule in place etc; and audits are pending do you :-

a) Expect your auditors to access the relevant procedures, previous audit findings themselves

or

b) Organise a "pack" of data for them (as you can probably do it quicker) and hand it to them.

Any thoughts ??

Regards,

Chris

 

[Al Dyer]

As a lead auditor I would have the documents required already together.

Iwas also in the position to have a master audit file that for each element held any information gererated concerning that element.

A copy of corrective actions and customer complaints would be placed in the audit jacket at the time they were generated. Management review records and measurable results would be stored in the appropriate jacket so that all information needed by an auditor was at their fingertips.

With electronics and databases this type of preparation has been made much easier than keeping everything in a manilla folder.

MHO

 

[Carl L]

I would have to agree with Al. The better the information is coordinated up front the easier the auditors will have in conducting the audit. This also gives them some up front information to help guide them in the audit process.

 

[M Greenaway]

Danger of steering the audit though.

 

[Carl L]

Naturally, you want the internal auditors to do most of the investigation on their own. But sometimes you have to steer the audit.

Typically, you are asking someone from Customer Service or anyone else who's full time job is another part of the organization to "volunteer" for this role to go through some training. Then participate only once every 6 months or however it maybe scheduled, and try to pick up the pieces from the last audit, mgmt. review, consumer complaint, etc. then you need to be able to help them get started and focused.

 

[Chris May]

My plan was to coordinate the up front admin side for the little darlings.
Put together the blank forms required, copy of any previous audits, open NCR's (as if), perfomance indicators (KPI's) and any other relevant info/data that would be pertinent.

I know (we all know), that it can take some time to find your way around an unfamiliar process/product/departments documentation.

I would be quicker at this and I would rather have them spend more time familiarising themselves with the situation.

I don't believe that this would steer the audit but just speed it up.
Anyway, with a document set on there desk they might be less inclined to "forget".

Onto more serious stuff.

Role on the World Cup. I would just like to take this opportunity in wishing the USA team all the best (honestly).........how did you get ranked 13th in the world ??
I am not sure who your first match is against but good luck.
A bit previous I know but I am out and about + holidays and stuff.

Regards,

Chris May

 

[Claes Gefvenberg]

I'm with you Al...

Al Dyer said:

As a lead auditor I would have the documents required already together.

...

With electronics and databases this type of preparation has been made much easier than keeping everything in a manilla folder.

MHO

I have it all in a database as well.

But to answer Chris' question: Knowing that I have some very good lead auditors around me, I feel that I can safely go for alternative A. They are perfectly able to set the audit up themselves. This job is not always easy, but in that respect at least, I have no problems.

/Claes

 

[db]

Give 'em time!

I'm not certain it makes a lot of difference who assembles the data. It might be based on the auditors' abilities. but I think the most important thing management could do for auditors is to allow them enough time to prepare! Too many times I've seen auditors given a whopping 5 minutes to prepare!!!!

 

[Claes Gefvenberg]

5 minutes?

5 minutes????? ..Ouuuucch! And exactly what kind of audits did that result in? I agree db, give them time...

/Claes

 

[Aaron Lupo]

M Greenaway said:

Danger of steering the audit though.

How could it be considered "steering" the audit if you supply the auditor with all the information required to do the audit?

When I say all the information required I am refering to:
Area to audit
Previous Audit with findings so they can verifiy effectiveness
I will assist them in scheduling the date to performm the audit.
It is up to the auditor to pull specific tests, procedures and any other documents to assess compliance to the departmental procedures as well as any regulations that area must comply with.