Re: Looking for options in organizing internal audit paperwork...any ideas?
Just curious how other auditors manage the sometimes mountainous volume of documents (working docs, evidence, etc.) when planning, performing, and reporting audits. I have a system, but I can't help but think there surely MUST be a better way to do it.....color-coding, binders, loose rings, etc.
Any ideas?
A schedule helps to plan and prioritize, I find.
Rather than carry copious amounts of paperwork with me, I review the paper portion ahead of time and develop what I believe the expected answers will be. This helps out in note-taking - I can listen, actually listen, to the auditee and check off answers as they're said and write down the stuff that I didn't anticipate. I find this helps the auditee as they feel I'm spending more time focused on them than documenting every word they say.
I have clearly labelled file folders which are always in alphabetical order at all stages of my audit. This assists me in locating information quickly. It only takes a second to remember that Quality Control comes after Purchasing.
At the end of every day - if a multi-day audit - I set aside time to review my notes, show linkages to additional clauses, prepare follow-ups for the next day and verify which follow-ups were closed. I will tentatively draft up nonconformances and reports as necessary, and start the report.
I have a laminated copy of the standard to which I am auditing, where every "shall" word is highlighted (underneath the lamination, of course) to facilitate the ease of locating requirements when necessary.
If, however, you have copious amounts of documents at the end of the audit, you need to change how you report audits. Your notes should stand up on their own. Evidence should not be included the report, or its supporting files. Your notes should say things like "Reviewed Form-### ' Titled ABC' dated 10-Oct-06. Clear indication of customer requirements, product specs, blah blah blah..." and then check of if it conforms to the requirements or not.