KPI (Key Performance Indicators) for the Audit Process

[QAMTY]

Excelent Steve, thanks,although dont you think that number 7 , the efforts normally are applied by the owner of processes not completely by the auditing process, please advise.

 

[tony s]

I remember there's a thread in another forum (i.e. Quality Forum Online) with the same concern re: Internal Audit Performance Metrics. Just want to share my post there.

In the spirit of continual improvement, feedback mechanism from the audited management can be devised. Auditors' performance criteria (i.e. expectations) can be established and rated upon by the audited management. Rating can go from a high of 4 (strongly agree) to low of 1 (strongly disagree). Performance criteria can include:

• Auditors consulted the auditee in advance regarding a mutually convenient date;
• Auditors clarified the purpose and scope of the audit;
• Auditors are punctual and reports timely;
• Auditors work within the agreed time schedule;
• Auditors acted professionally and fairly;
• Auditors conduct themselves with impartiality;
• Auditors evaluated the evidences objectively;
• Auditors clarified the findings before preparing the final report;
• Auditors focus on matters of significance;
• Auditors' findings bring about improvement in your area

KPI's can be established from this feedback mechanism.

 

[Steve Prevette]

Excelent Steve, thanks,although dont you think that number 7 , the efforts normally are applied by the owner of processes not completely by the auditing process, please advise.

Yes, number seven is related to the owner(s) of the processes. However, a company can have the most beautiful audit process, but if no one does anything with what the auditors find, then the company (including the auditors) still fail.

So, this is a partly a check on if the auditors have sufficiently conveyed the importance of the finding to the owner, and a final audit of the owner - did they actually do something. And if the auditors aren't really finding useful stuff that *justifiably* the owners don't use, then that also needs to be discovered.

 

[LUV-d-4UM]

Hi
Does anybody could share thoughts about KPI por the auditing process?
I have defined 2.

1 compliment of the scheduled audits.
2 Quantity of findings in each process maximum = 2.

But it seems for me that 2nd KPI, it is not too much useful for the Auditing process, since nc's belong to the audited process, not to the auditing process.

Any Idea on this issue?
what KPI's do you manage?

Thanks

Internal Audit is not a process per ISO9001:2015.

 

[tony s]

Internal Audit is not a process per ISO9001:2015.

Interesting. Can you point that ISO 9001:2015 statement as basis?

 

[randomname]

Internal Audit is not a process per ISO9001:2015.

Au contraire. It has inputs (audit objectives and schedule), process (planning, conducting, reprting ...) and outputs (audit report, CARs).

 

[randomname]

It might be useful to look at what other internal auditors (e.g., the financial auditors) use as metrics. Google some terms such as internal audit quality metrics.

Here are some I would consider:
- % of the audit universe covered per audit cycle (annual?)
- #/% of audit findings accepted by process owner
- # of system failures (as indicated by customer complaints, NCM, ...) the audit process failed to proactive detect the causes of

 

[LUV-d-4UM]

It does not require procedure.

 

[tony s]

It does not require procedure.

Isn't it one of the mandatory documented procedures of ISO 9001:2008 is about internal audit?

 

[LUV-d-4UM]

Isn't it one of the mandatory documented procedures of ISO 9001:2008 is about internal audit?

Sorry!! My mind has switch to ISO9001:2015. You all are correct that under ISO9001:2008 Internal Audit is a process and should have KPIs.