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audit system efficiencies

Last post 06-08-2007, 1:41 PM by jttr7762. 1 replies.
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  •  05-30-2007, 7:10 AM 40

    audit system efficiencies

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    I have a question that has to do with efficiencies of the internal audit process.   In my experience, one of the larger factors that negatively impacts how efficient an audit is conducted is level of administrative requirements designed into the process. Specifically, there are two things that we do that can become administratively time consuming:  one I consider to be value-added and that is how we capture metrics, and the other is questionable and often conflicts with other articles I read on auditing and that is the use of tools that clearly demonstrate to the external auditor that we are covering the whole model within a given year's audit cycle. 
     
    I say the latter is conflicting with other articles because some of these articles imply that checklists aren't necessarily a good tool nor required (AS9100 requires a checklist, however), they are limiting, don't support the process approach very well, etc. However, I actually have my auditor use a checklist that mirrors AS9100 directly and this checklist is a decent tool for defining and planning the scope of the audit and when the audit is complete, it essentially becomes a checklist to insure one has covered the defined scope.  Over the year, all scheduled audits will have covered all elements of the standard. 
     
    I am very interested in learning what other internal audit system designs exist to demonstrate their coverage of the model for a given cycle and do you feel it is an efficient process?
     

  •  06-08-2007, 1:41 PM 44 in reply to 40

    Re: audit system efficiencies

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    Dear vicluvsbikes,

    It sounds to me as though your process works.  I used a similar process in planning audits at a local environmental remediation facility that had a 3-year cycle for audits.  I don't see that as being inefficient, or as needing to eat up a lot of time (if I understand correctly what you are describing).

    The criticism of checklists is unfounded, in my opinion.  They are a tool to help the auditor cover the necessary ground.  (I sure don't want my airline pilot chucking his checklist!)  True, it's difficult to measure efficiency with a checklist question - but that's not the work for which the checklist was designed.

    I'd encourage you to bring an example of your system to our September membership meeting (September 18, 2007, doors open at 5:30 PM, with dinner at @6:30 and presentation at 7:00).  Share it with other members before the meeting, and you'll get the feedback you are looking for.

    Good luck!

    Jim Turner, Welcoming Chair, Cincinnati Section 0900 ASQ
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