Should a corrected finding be reported & presented ???

E

Eugene

#1
An auditee has corrected a finding during the audit before the closign meeting and should the auditor report and present the finding in the closing meeting?As per Allan Sayle in his "Management Audit" book, all finding should not be presented and reported in the Closing meeting and as per ASQC's text,it mentioned that it should be reported and presented in the Closing Meeting as it is the product of the audit and should give a true reflection of the audit.
It is pretty confusing for those auditors where consistency does not come into the picture!!
Any recommendation/input/comments welcome.

Eugene
 
Elsmar Forum Sponsor
#2
All findings should be reported. This allows everyone to benefit from the audit results and may even answer similar findings.
The third ed. also requires that "opportunities for improvement" for each element be addressed and reported.
 

Marc

Hunkered Down for the Duration
Staff member
Admin
#3
That's always been my take on it. If it's a 'finding', even if you fix it 'on-the-spot', it has to be presented / reported in the appropriate meeting(s) / report(s).
 

barb butrym

Quite Involved in Discussions
#4
absolutely...it remains as part of the report.

Do you guys discuss each and every finding individually in the closing meeting? I don't, I do a summary......but have discussed all with MR before the closing meeting. Do any major or global ones specifically...but the oneoff random oops is just reported and passed out in written form as part of the report unless the MR asks to have it highlighted. I will field questions at the very end of the meeting if need be, but not during.

I don't close findings before the closing meeting either. I will stay and review any further stuff afterward at my descreation...on the spot fixes I will close out. Might also add, there are NO surprises at the closing meeting as to findings, they are all comunicated clearly as they happen..any global issues are communicated to the MR after the team discusses them. this is typical of what I see as a consultant as well...

What do you all see happening here?

Sayles book is not for Registrar Lead Auditors....its for the companies internal management audits if i remember correctly. The scope of the audit is the governing factor.

[This message has been edited by barb butrym (edited 15 December 1999).]
 
D

David Guffey

#5
While I have a great deal of respect for Allen Sayle, he is wrong on this count.

Even if a "finding" is addressed and closed during the course of the assessment or audit, by recording the "finding" (and indicating it has been closed and no further action is necessary), the knowledge will not be lost. It can be reviewed for effectiveness of the corrective action at the next visit.

As an auditee, I would appreciate having it written (as long as it shows "closed") because then I, too, have something to tickle me and make sure whatever it was won't happen again.
 

gpainter

Quite Involved in Discussions
#6
All findings should be reported even if corrected during the audit . However it should be noted that action was taken. One still needs to address why it occured
 
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