Tips on how to conduct a good Internal Audit Opening Meeting

Sidney Vianna

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Staff member
Admin
#11
Need some tips on how to conduct a good opening meeting..
The following is an excerpt from ANSI/ISO/ASQ QE19011S-2004, Guidelines for quality and/or environmental management systems auditing – U.S. Version with supplemental guidance added.
For internal audits, notification may be communicated via electronic mail or memo. Because electronic mail messages are not always read promptly or thoroughly, confirmation by voice or voice messaging is recommended. This can be supplemented by electronic mail, if necessary, to reach all parties involved.

A formal opening meeting may not be necessary, except in situations such as a corporate office conducting internal audits of other facilities, in situations where the audit team may not be familiar with the audited organization, or in situations where it may be more convenient to discuss logistics and review issues at a formal meeting prior to the audit investigations. Auditors should always announce their presence and purpose prior to beginning to collect audit information

For other audit situations, the meeting should be formal and records of the attendance should be kept. The meeting should be chaired by the audit team leader, and the following items should be considered, as appropriate:
a) introduction of the participants, including an outline of their roles;
b) confirmation of the audit objectives, scope and criteria;
c) confirmation of the audit timetable and other relevant arrangements with the auditee, such as the date and time for the closing meeting, any interim meetings between the audit team and the auditee's management, and any late changes;
d) methods and procedures to be used to conduct the audit, including advising the auditee that the audit evidence will only be based on a sample of the information available and that therefore there is an element of uncertainty in auditing;
e) confirmation of formal communication channels between the audit team and the auditee;
f) confirmation of the language to be used during the audit;
g) confirmation that, during the audit, the auditee will be kept informed of audit progress;
h) confirmation that resources and facilities needed by the audit team are available;
i) confirmation of matters relating to confidentiality;
j) confirmation of relevant work safety, emergency and security procedures for the audit team;
k) confirmation of availability, roles and identities of any guides;
l) the method of reporting, including any grading of non-conformities;
m) information about conditions on which the audit may be terminated;
n) information about any appeal system on the conduct or conclusions of the audit.
 
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Colin

Quite Involved in Discussions
#12
In addition to Sidney's post, ISO 19011 states:

'An opening meeting should be held with the auditee's management and, where appropriate, those responsible for the functions or processes to be audited. During the meeting, an opportunity to ask questions should be provided.

The degree of detail should be consistent with the familiarity of the auditee with the audit process. In many instances e.g. internal audits in a small organisation, the opening meeting may simply consist of communicating that an audit is being conducted and explaining the nature of the audit'


It then goes on to list a series of points that may be addressed in a more formal situation.
 
P

PE-2011

#13
Dear Soma,

Please give some tips on external audit opening meeting, closing meeting and the areas to be audited step by step (mean which area to be audited first, then second, ...... last).
 
#15
Dear Soma,

Please give some tips on external audit opening meeting, closing meeting and the areas to be audited step by step (mean which area to be audited first, then second, ...... last).
Are you going to be performing an audit or do you want to know what your auditor will be doing? We can help with the second, not so much with the first if you don't know how to perform an audit...
 

MarilynJ6354

Involved In Discussions
#16
Notification of Internal Audit

Is there any requirement that if we notify a manager/supervisor of an upcoming audit, they are required to notify all personnel in the areas being audited? One of my internal auditors thinks it should be a finding. I say no since the manager was notified. Thoughts?
 
#17
Re: Notification of Internal Audit

Is there any requirement that if we notify a manager/supervisor of an upcoming audit, they are required to notify all personnel in the areas being audited? One of my internal auditors thinks it should be a finding. I say no since the manager was notified. Thoughts?
Well, it's going to depend more on the culture which surrounds the audit! So, if you do it in a collaborative manner, telling the manager and them understanding what the purpose if etc.it's reasonable to suspect they've let their people know.

Right now, based on the fact you have an Internal auditor who wants to "write 'em up", I'd suggest you don't HAVE the right culture to support your audits.Someone needs to take a loooong hard look at how you conduct them. Getting to an opening meeting and having problems, starts with the IA program.
Bottom line? If your internal audits are scheduled to be of some use to management and their people - and they get it - you won't have this problem. Plus auditors who don't go "gunning" for people, helps...
 

MarilynJ6354

Involved In Discussions
#18
Re: Notification of Internal Audit

I used to do them myself. Then this Engineering Manager said we need to go back to the old way of doing them and top management agreed, so now we have a team of auditors. The big issue is, he is always trying to stir the pot and wastes a lot of time pointing fingers. What he found last week was the production people he interviewed had no idea an audit was scheduled. But the manager and supervisor did, so he thinks it should be a finding. It isn't documented anywhere that we have to tell anyone, although we always get the schedule approved at the beginning of the year. So the managers and supervisors all know.
 

insect warfare

QA=Question Authority
Trusted Information Resource
#19
Re: Notification of Internal Audit

What he found last week was the production people he interviewed had no idea an audit was scheduled. But the manager and supervisor did, so he thinks it should be a finding.
Observing and interviewing people in their normal environment or surroundings allows an auditor to be most effective, without bias or prejudice. I fail to see how that is a bad thing, much less a finding....

It isn't documented anywhere that we have to tell anyone, although we always get the schedule approved at the beginning of the year. So the managers and supervisors all know.
No documented requirement = show me the shall.

Brian :rolleyes:
 
#20
Re: Notification of Internal Audit

I used to do them myself. Then this Engineering Manager said we need to go back to the old way of doing them and top management agreed, so now we have a team of auditors. The big issue is, he is always trying to stir the pot and wastes a lot of time pointing fingers. What he found last week was the production people he interviewed had no idea an audit was scheduled. But the manager and supervisor did, so he thinks it should be a finding. It isn't documented anywhere that we have to tell anyone, although we always get the schedule approved at the beginning of the year. So the managers and supervisors all know.
Hi Marilyn:

So, this tells me a lot more. Firstly, you might want to revisit the (defined) competencies of your IAs and see how this Engineering Mgr squares up. Do you have a budget (or can get approval) for some outside help to work with you on this. The Eng Mgr needs coaching - or worse case - dropping from being an auditor.

You might also want to revisit how you set up your audits - what do you define as scope, criteria etc? Are you using ISO speak? If you audit things they don't understand, then they won't KNOW what to communicate to their people! Who the heck knows what an "8.3" is?
 
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