Internal Audits-3

Internal Audits 3

 11.Remember, if you see something positive that is noteworthy, write it down.  This is the only time you write someone's name on your audit report (unless their name is the sample, such as those you sample for training records).  If your note taking skills are good enough to capture the evidence of conformance, that is great!  At a minimum, make sure your results reflect what you audited (with the assumption being that no findings means the area/process is conforming and effective).

12.Ask additional questions or ask to see more evidence that will allow you to deal with your discomfort.  Make sure they understand what you are uncomfortable with.  This may help them with the answer. Be careful not to let your discomfort influence them into making process changes they do not need.  REMEMBER: Make sure you are adding value, not imposing beliefs.

13.If your discomfort is something you feel will be an issue in the future, be sure to add it to your audit as a comment or observation.  This will tell the next auditor what they should follow up on and may help area management recognize an opportunity for improvement, as any action they take would be preventive action. Work with affected personnel and area management to reach an agreement on the findings.  While this may not be achievable (they do not like your results), try to obtain agreement, powering down the process along the way.  If you still feel the finding is legitimate, there may be a need to agree to disagree with your findings continue to exist.

14.Once you are finished understanding the evidence of the process and whether that evidence reflects sound business practices, review the documents defining the process to see if the match up with what was seen.  Any variation needs to be understood and worked through with area management to determine where there is a need to update the document (if it is found that the other things included in a procedure are not needed or there are additional steps that are not in the document but are needed) or a need to work with area personnel to ensure we are following practices deemed important.

15.The audit team or auditor summarizes the audit and any findings, presenting the recorded results to area management and/or the management representative.  If the results are presented to the management representative, he or she reports the results to area management.

16.CRITERIA:

• A nonconformance was identified and will require corrective action?
• A potential problem was identified and needs preventive action?
• An opportunity for improvement was identified that could make us better (make more money or spend less money)?

If the issue(s) was able to be resolved before the end of the audit or it is believed the follow-up at the next audit will report on the results (Audit Report should be flagged to ensure follow-up), the audit may be closed out and the Audit Schedule is updated as needed (see note 1).  Records (audit results, including any records of follow-up) are maintained as defined in records controls section of the Master Control Plan. The management representative summarizes the results of audits for management review.

17.Area management facilitates corrective action, preventive action, and/or any other improvement opportunity per Improvement Systems.  This would include actions taken by area management (without undue delay) and follow-up of action taken.  The records generated as a result of corrective/preventive action are maintained as defined in the records section of the Master Control Plan.

18.The audit team, auditor, or audit coordinator, work with area management to determine when to verify any actions taken (allowing enough time for effective implementation), closing out findings (reporting the results) that have been dealt with by auditing those issues in a manner similar to the original audit (following the methods established).

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