Writing Techniques for Audit Findings, Reports, etc.

B

bookcat

#1
This is my first thread. I’m new in the field of quality. I found writing audit findings as the most difficult part of audit process. I am seeking hints and tips on how to make each audit finding user-friendly so that the recipient ie. process owner can do RCA better, and management or others looking at it, can make the best decisions based on it. In short, I must write to my readers.

Does anyone have any tips and samples of properly worded audit findings that you could share to guide me?

Thank you in anticipation of your guidance.

I’m very new in internal auditing, so any help would be very much appreciated.
 
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Jen Kirley

Quality and Auditing Expert
Staff member
Admin
#4
Good day bookcat,

I have found my biggest challenge as internal auditor is to effectively communicate audit findings in clear, straightforward language that laymen understand yet serves the need for the program.

You would think it is easy, and with practice it does become easier. But my customers often believe that there's a lot to read when I cite what's wrong and the evidence. Their "just tell me what needs to be fixed" approach seems like a reasonable one, so I try to accommodate it with plain language. Avoid talking much about the standard - try to stick to the internal documents, which have more meaning to the organization's people.

But I have limits to my flexibility. Someone who says "Just tell me what I need to do" is not demonstrating an understanding of his/her role in the QMS, indeed the purpose of the QMS team approach. It is a minimalist plea for someone else to do their thinking for them. I try to keep aware of this, and work to avoid it.

Have you had internal or lead auditor training? It should have covered how to write findings.
 

somashekar

Staff member
Super Moderator
#7
What the standard at certain clause number says OR what a specific documented procedure says >> however >> what was the objective evidence noticed that contradicts it (state the objective evidence reference clearly)
If in the sampling process during the audit the contradiction was seen in many examples, quote all examples clearly and also state the number of samples audited.


The above method of writing the audit finding has been trained to our internal auditors.
 

Randy

Super Moderator
#8
A good place to start would be by using proper terminology to begin with.

An "audit finding" is the result of audit evidence being evaluated against audit criteria and which could be, conformity, conconformity or opportunities for improvement.

So what kind of "audit finding" are you having problems with?
 

howste

Thaumaturge
Super Moderator
#10
It helps a little, Marc. Thanks. But, IMO, a better title would have been something like

How to write clear non-conformance statements.
;)

Or How to write clear nonconformity statements.
ISO 9000:2005 said:
3.6.1
conformity

fulfilment of a requirement (3.1.2)
NOTE The term “conformance” is synonymous but deprecated.

3.6.2
nonconformity

non-fulfilment of a requirement (3.1.2)
 
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