Tips on how to conduct a good Internal Audit Opening Meeting

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G

goodnede

#2
Re: Internal Audit Opening Meeting

We don't have such a formal approach to our internal audits. We notify, by email, the department/process owner that we need to schedule an internal audit and work with them to set a date and time that works for them as well as us. We tell them what we will be looking at and what procedures/documents we are reviewing. We try to let areas know at least 2 weeks in advance. A few days before the audit we remind them and see if they want to designate a POC other than themselves. When we get to an area we always let the supervisor/manager know we are there and are going to start the audit. During the audit - sometimes we go back a few times, sometimes it is accomplished in one visit - we keep the supervisor/manager informed on all findings and concerns. When we are finished we go talk to the responsible person about the results before we issue the formal report.
 
J

JLang

#3
From my experience, everyone does them slightly differently. I always make sure to point out to the managers that the purpose is to "document your conformance" to the standards and not to unreasonably dig for Non comformances. Make sure the Auditees know your schedule (who you plan to talk to and observe and when) as well as what specifics you will look at. You may also want to explain what happens if you do find Non Conformances or Observations for Improvement and how management is expected to respond. This is especially helpful when you have new hires or people who have not been through an audit before.

More or less, just re-assure them that you are there to help improve the processes and make sure they know what your plan is and what their role may be.

Atleast that is how I have conducted opening meetings and it seems to work well.
 

somashekar

Staff member
Super Moderator
#4
Dear all,

Need some tips on how to conduct a good opening meeting..

Thanks..:D
Hi qurrataain...
You need not have an Internal Audit Opening Meeting.
You need not copycat the CB audit style as the opening meeting by the CB is per a particular requirement and purpose.
So I would say you need no tips about that. An audit program and its communication in advance to all the concerned process owner / operator and internal auditor will do that job.
 
#5
I agree with Somashekar, that you shouldn't make it too formal, however, there are two good reasons for engaging management in some form of "opening" to the audit proceedings:-

You are on their "turf" and it's good politics to introduce yourself and let them know you're talking to their people

You aren't doing your "regular day time job" so it's good to explain why you're doing what you're doing...

There may also be others...
 
J

JLang

#6
You are on their "turf" and it's good politics to introduce yourself and let them know you're talking to their people

I think this is particularly important in a larger company. The company for which I conduct audits is in the 50-100 employee range where I know pretty much every one by name and vice versa (especially the managers). But when you are walking into "Foreign Terrritory" and the people do work with you on a daily basis, then it becomes even more important that you take these "precuations."
 
Q

qualityboi

#7
I work for a large international company > 20K employees, but in this case size should not matter. During an opening meeting my experience is that auditees usually want to know the following:

Scope of the audit: What processes are going to be audited and what are they being audited to (what standard). Some even want to see the checklist which we share with them openly. They also want to know if they need to prepare anything...I usually tell them to have people present that can: describe the process, people that review and improve the process, people that control the documentation and records for the process, people that actually perform the process day to day.

Agenda: Times, places, dates and people who need to be involved in the audit. (To be reviewed and confirmed by the auditee). When will the closing meeting be?

Closing meeting/After the Audit: When will they get the "final draft" of the audit report. Verify the report distribution list. What is the expectation (what should they do) if a corrective action is written. How many days do they have to respond, how many days do they have to fix it, when does that clock start ticking? When will they next be audited by an external auditor? When is there next internal audit.

...those are some of the things off the top of my head :)
 
#9
I think this is particularly important in a larger company. The company for which I conduct audits is in the 50-100 employee range where I know pretty much every one by name and vice versa (especially the managers). But when you are walking into "Foreign Terrritory" and the people do work with you on a daily basis, then it becomes even more important that you take these "precautions."
Don't disagree, however, it's their comfort, not yours you have to be concerned about! I have neighbors who have an open front door - I can walk in any time. You should see their response when I don't reciprocate - it's not my way!
 
J

JLang

#10
Don't disagree, however, it's their comfort, not yours you have to be concerned about! I have neighbors who have an open front door - I can walk in any time. You should see their response when I don't reciprocate - it's not my way!

Agreed. I think most of these comments, and most of the purpose behind doing these things, is for the comfort of the auditee. There is no requirement for opening meetings, but I feel like it is a nice business couresty so to speak for the department being audited.
 
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