Problem getting help from upper management with our internal auditing program



I am having a problem getting help with our internal auditing program. We originally started out with four auditors (plus 2 backup), and all that are left is ME. We have a surveillance audit coming up in september. I am not getting alot of support from management. They say they know I need help, but don't know what to do about it. Does anyone have any suggestions on how to motivate some others into helping out? Any ideas would be greatly appreciated.
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Super Moderator
Document...Document...Document, and then let them fall on their collective butts.

Make your management aware of the issues, continue to do your job, and hope for the best.

[This message has been edited by Randy (edited 13 July 2001).]

Al Dyer

Agree with Randy,

DOCUMENT all of your activities, if possible use email with response required and save those. Even if you don't get responses keep all memos and warnings. You are just one person and cannot do the whole job. Make sure the areas you are responsible for are covered.

The auditor will likely pick up on the lack of commitment and act accordingly. When you get your majors or minors you will at least have your butt covered.

Good luck!



I agree. Document all attempts to keep the effort going. I, too, feel like I'm going it alone. But, using e-mail and it's tracking features, has been useful. The cooperation/participation has actually increased since I have produced past records, such as e-mail deleted without being read, memorandums to individuals who claim they knew nothing about an issue and memos regarding people's short term memory loss topics discussed by the Steering Committee. When asked the question, "Is your documentation and record keeping of all this stuff an ISO requirement?", my answer is pure and simple. "Not really. When this effort collapses, which I feel it will because of the lack of participation, my as* is covered. No-one is going to be able to blame this Mgt. Rep. for the Company's inability to acquire ISO certification." Documenting everything also has a soothing effect on your state of mind, particlarly when it comes to areas where you, personally, cannot change things. Don't forget to include your CEO/General Manager on all your correspondence. People respond more when distribution isn't just limited to those involved and they feel that top management is looking.


Aaron Lupo

Wendal I know where you are coming from. I agree with what the previous posts say and document your efforts and your Registrar will see that there is no support. However, if you want to get these trained internal auditors to help heck to something as simpile as buying them lunch, recognize them company wide something simpile like that goes a long way. Just MHO.



Our internal auditors are recognized throughout our small company. No lunch or other tokens of appreciation would matter. They were "chosen" by Management, with no possibility of parole. The main problem is finding time to do the things that an Auditor must do. Read and understand the procedures, prepare for an audit, perform the audit and write reports. The personnel "chosen" were selected because of their above average intelligence, for our facility, an eye for detail and ability to work without supervision. The jobs they perform are in areas of Accounting, Production Control, Finance, Engineering, Design and Integrated Systems Management. They feel that they have enough to do without ancillary duties. There are people who want to do it, but, they too are assigned tasks that are lengthy and time consuming. I know it's Management's responsibilty to allot time to do Internal Auditing, and they do. It only occurs when I insist it's time. This is done during Steering Committee Meetings and regular management meetings. In other words, when I start crying enough, it will happen. Then the Audiors start crying about not enough time. Armed with managements decision, I'm forced to be the bad guy and "direct" them accordingly. Hey, that's what us QA Mgrs. do anyway. As of now, they are not allowed to say no to being an audior. If that time comes, it will only be allowed under extreme "hardship". It's a rough world. Tsk Tsk

Aaron Lupo


I was just thinking of ways that he might be able to get people to want to do the audits. IMHO, I don't think Management telling people they have to do the internal audits is very effective, becuase they will more than likely go into the audit with the attitude that they want to just get it done and over with and not do a very good job. I would rather have people who want to do the audit, but like I said before thats just MHO.

Energy, just curious how does it work with Management telling people they must do audits?

E Wall

Just Me!
Trusted Information Resource
You might try this - In your Audit Schedule assign a lead auditor and let them contact others to 'assist' as needed. This provides a concentrated effort that helps keep the audit schedule flowing in timely manners.

We allow for flexibility of style so long as results are reported in a standard format and they all keep clear consise notes (goal: anyone should be able to read & recreate what they have done or pick up from where they left off if need be).

But without solid Mgmt support to apply the 'priority' to the auditing you're sunk.

E Wall

Just Me!
Trusted Information Resource
A little humor never hurts either:

Arguing with an ISO auditor is like wrestling with a pig in mud . . .
Sooner or later you realize the pig enjoys it!



Just like you said. Let's get it over with so I can back to my real job! As far as Management directing the work force. Believe me, there is only one option. My way or the highway. We are really at the beginning of our ISO program, just finished Auditor Training and will begin some practice Audits this week. So, the long term effect isn't known. My guess is that certain people will eventually be replaced if they don't perform. They won't lose their real jobs. These people are self starters and valuable where they are. Some people are just not cut out for this Auditor thing. Currently, I have 7 auditors, plus myself. That's enough for a rotation scheme and to eliminate any conflict of interest.

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