Internal Audits
2
6.
The audit plan is the checklist, itinerary, or other such
plan defining the evidence needing to be seen so we can come to a conclusion
about the performance of the process. The Big Picture Audit report may be used to pull
together requirements related to ISO 9001:2008.
7.
Greet area personnel, helping them feel comfortable with the audit
process and powering down your notes. (example: "Hi, I am here to
perform an audit of ____ and I need your help. What I mean by that is I
need you to speak on behalf of the process because you know what really
happens. This will help us
make sure the procedures are right. I will be taking notes along the
way. My notes are not about you, but about the process. If there
are things that need to be fixed or improvement opportunities, I will be
writing those down so we can give management the information they need to take
action.") REMEMBER: you (the Auditor) are not there to resolve any
issues so do not make promises as to how or what will be fixed.
8. Ask open-ended questions! We are looking for evidence
related to performance and behavior. In order to find this and to make
sure we are focused on what we need to see, open-ended questions help us ask
the witness to show us how something works and what the results are.
Also, make sure your questions are about the evidence that proves or disproves
a process is working. While maintaining focus on performance and behavior,
be sure to evaluate these things along the way (as the opportunity
arises):
o
Familiarity with the policy and objectives (can the employee
describe how they help the City of Dallas
o
Documents/records needed to support the process are
available/retrievable, identifiable/legible, and are controlled as defined in
document and records control procedures.
o
Personnel involved with the process appear to have received the
education, skills, experience, or training needed to ensure the process is
performing effectively (assessed along the way, with the conclusion reached at
the end of the audit).
o
Resources need to ensure the policy, objectives, and activities or
processes audited are and will continue to be effective/drive performance are
in place (assessed along the way, with the conclusion reached at the end of the
audit).
9.
CRITERIA:
o
means what we said in a
document is actually happening, meets the requirements, and is effective.
o
means what we said in a
document is not happening, the document does not meet all of the requirements,
and/or is not effective.
o
means we are not sure how
we feel about what we see and probably need to ask additional questions to be
able to come to a conclusion.
REMEMBER: Avoid rabbit trails (issues
involving processes other than the one the Auditor is currently auditing),
staying away from discomforts not directly related to the audit, unless it is obvious a nonconformance or ineffective
condition related to the area or process being audited exists.
10.
Make sure any findings are based upon facts not assumptions.
Make note of the condition, powering down your notes so the witness does not
think it is about him/her…..Go to part 3
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