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Audit Report Templates

Discussion in 'Documentation Control, Procedures, Templates,...' started by Josh Hardin, Sep 29, 2015.

  1. Josh Hardin

    Josh Hardin Member

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    Hello Folks, I am working on building a new audit report template for the company I work for and was wondering if you guys can chime in. The one we are currently using is the AS9101 long checklist and a modified version of the stage II report. What I would like to put together is a more concise report that better fits a small company and is easier to navigate. While I don't mind doing all of the audits here I am finding my time stretched keeping up with it all.

    Secondly does anyone know what implications would come from using a simplified internal audit report. My plan is currently to use the full stage II report and checklist for all PEAR processes and the simplified report for non-PEAR processes.
     
  2. Andy Nichols

    Andy Nichols Moderator Staff Member

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    Why are you using 3rd party techniques for an internal audit, may I ask, Josh? Seems a bit of overkill...
     
  3. Josh Hardin

    Josh Hardin Member

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    Wasn't my call, I have been slowly tearing this QMS apart for the last several months since I was hired on and this is next in line. Continuing the stage II audit package outline was "suggested" by higher ups so I figured I would run with it unless I can present a better option. The last two companies I worked for has similar Audit Plan/report templates so I am not overly educated on different methods.
     
  4. Andy Nichols

    Andy Nichols Moderator Staff Member

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    Internal audits aren't constrained by the rules that CB audits are. The "higher ups" are making this into a bureaucracy and then it will become a nuisance. Trust me, you don't want to create that monster and feed it.
     
  5. Josh Hardin

    Josh Hardin Member

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    I am under the same belief, large forms are just a finding waiting to happen from my experience. But that is why I am trying to put something together that will become a better alternative. I have attached what I have so far. This is what I am thinking of keeping but breaking it down into useable sections for different purposes (Follow-ups, Suppliers, etc.)
     

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  6. Andy Nichols

    Andy Nichols Moderator Staff Member

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    By adopting a CB style format, your internal audits aren't going to be about YOUR processes and their effectiveness. You're always going to be trying to determine compliance to the standard. Now, I don't know what competencies you have to perform or manage internal audits, but if you want an honest comment, based on 20+ years of all manner of audits, I'll be happy to provide it...
     
  7. MCW8888

    MCW8888 Well-Known Member

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    By using the stage II format you are playing safe. What we do is to audit our processes and the controls. We then determine if the controls are robust enough to support the process meeting the oals and objectives. If there is anonconformance, we can always relate it to an ISO standard.
     
  8. Josh Hardin

    Josh Hardin Member

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    I believe that is why management is stuck on the stage II audit form. But I am trying to find a happy balance between that and something that will work better toward identifying weaknesses in our processes rather than trying to make our auditor happy.

    The file I put above is a compilation of stuff I have found and stuff I have written. I am hoping to find a good structure and then base what will be my final product on that.
     
  9. Andy Nichols

    Andy Nichols Moderator Staff Member

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    If your management feels "safe" using a format for reporting audits based on an external model (CB) are they thinking it'll stop the CB auditor finding anything to report an NC about? If so, you've got a bigger task ahead than worrying about the format of the audit report...
     
  10. RoxaneB

    RoxaneB Moderator Staff Member

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    I must admit that I like showing management the audit results on a graph - conformance to processes on the horizontal axis and conformance to metrics on the vertical. It should be noted that the metrics evaluation goes beyond asking "are the indicated targets being hit"...also looked at are historical trends, conformance to the calculation definition, benchmark status, and so on. This allows for a more informed and focused discussion with not only the area assessed, but leadership, as well.
     

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  11. Andy Nichols

    Andy Nichols Moderator Staff Member

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    Love it, RB - but I have a question: If the results are good but the documented process isn't being followed, why is the metric wrong? Why isn't the document? Simple correction of the document to the actual practice which gives the results is in order...
     
  12. Josh Hardin

    Josh Hardin Member

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    Management do like their pictures. That is an excellent approach.
     
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  13. Andy Nichols

    Andy Nichols Moderator Staff Member

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  14. RoxaneB

    RoxaneB Moderator Staff Member

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    The idea, Andy, is to spark conversation and dialogue. By no means are those the only "rules" for interpreting where the final dot is placed.

    However, to answer your questions -

    Why is the metric wrong - It could be the target (too low, not reflecting current capacity/capability). Do we have the real metric that reflects the process (e.g., So often I see '100% completion' as the metric for a project's deployment...not the best metric in my opinion).

    Why isn't the document? - Valid question. Again...sparks dialogue. They could be doing something really awesome and innovative to hit the results, but not following a darn thing in the standard. If that is the case, I really would like to know what they do so that we can determine if the process can be rolled out to every site. Correcting the document is required, but that isn't the real value coming out of the assessment. Finding best practice during an assessment and then, in my role within Operations Innovation, sharing the awesome process with everyone else...well...that's where the true value shines.
     
  15. Andy Nichols

    Andy Nichols Moderator Staff Member

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    In my experience, documents are (in many cases) written to meet some perceived need in these standards. Often written without the inout of the people involved in the process being described. So it's not unusual to find people doing awesome stuff, but the real issue isn't the deviation from the document but how the thing got written and approved in the first place.

    On a side issue, take a look at some of these templates which are sold in the name of meeting ISO - God help the people who have to use them is all I have to say! But, given the lack of expertise of implementation of basic things like document control, and if they look impressive, the client buys - partly because they don't know enough to push back. Google ISO templates some time and look at what folks are being sold! ISO - and more importantly effective process controls - don''t require this bureaucracy!
     
  16. RoxaneB

    RoxaneB Moderator Staff Member

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    We do have documents that were written to meet some standards...and I'm fairly open about them adding very little value to our results or daily routine. However, we also have documents that clearly indicate who is to do what and when. These documents have been created to support the conformance to standardized processes/activities within our organization...and these processes/activities have been designed (hopefully) to achieve the desired results/metrics.

    The team I work with is currently reviewing our procedures and process maps that should be conformed to by all of our sites across the nation. As the Subject Matter Experts, our team has a high level of understanding regarding the processes, but we also recognize that some sites may do things differently. A few SMEs may reach out to their contacts at the sites for confirmation that the documentation is still valid. The validity of it will also be tested during assessments - where we will assess conformance to documented practices and achievement of metrics.

    At no point are the document control, standardization or assessment processes meant to be so rigid, that sites feel restricted by them. We fully recognize that (a) every site is special...but only to certain degree, and (b) Murphy's Law is in full effect, every day. Our processes need to be fluid, flexible and relevant...while at the same time able to provide useful (and sometimes contractually-mandated) activities which must be conformed to.

    Having grown in size quite rapidly over the past few years, it is also conceded that we do not know what we do not know. Sites may be doing things that simply have not been communicated to or captured by us. The documented procedure may be inappropriate. We get that. However, we also know that site's can believe themselves to be 'above the law' and simply not conform to what is documented.

    An Assessment is a check...of current state. However, it is also a perfect opportunity for a conversation to be held on the reviewed process(es) and determine which is the best way to proceed if there is to be any improvement (or, as a minimum, correction)

    I don't need to search for these templates...I know a plethora of them are out there. I think these "templates" are almost on a 1:1 ratio with ISO consultants. At the end of the day, this is my take...

    A good company develops a system that fits the requirements.

    A great company understands how the requirements can fit within their system.
     
  17. Josh Hardin

    Josh Hardin Member

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    Like Andy was talking about earlier, our QMS is a canned system which has been under a state of modification ever since. While not a bad approach for a tiny company, we are much larger now and had several people sit in the QM chair who all had very different ideas about what the doc system should look like. My QM and I are both under the belief that our previous audit issues stem from the canned system approach which is basically a verbatim iterance of the standard but does not immediately represent the "how we do it".

    "A good company develops a system that fits the requirements.

    A great company understands how the requirements can fit within their system."

    That's good.
     
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  18. Tom Waite

    Tom Waite Member

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    The work place is changing - I think gone are the days of people being assigned the tasks of internal auditing and scheduling, conducting, and reporting the results. I think it is an ongoing process of which many if not all can participate. Make the process interactive, and add value by working towards continual improvement. Tie KPI's into the audit process, work towards tangible improvements through monitoring the system and the adherence to it.

    Ticking off a check box on questions of are you following the procedure or work instruction can be done in creative and focused ways to drive improvement. When you have a system written for a 3rd party auditor but it does not impact your team, then your system is a waste.
     
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  19. MCW8888

    MCW8888 Well-Known Member

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    Adapting the CB format assures effectiveness of training, and making sure that we understand what process audit effectiveness is all about. We have a similar format. Great job thank you.
     
  20. RoxaneB

    RoxaneB Moderator Staff Member

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    How does adopting a CB format ensure effective training? Just because I was taught to drive by a member of a professional driving school, there's no guarantee that I am an effective driver. It's not necessarily the tool that guarantees the effectiveness of a process...we cannot ignore the impact of the way people are taught/trained to carry out a process. As Marshall McLuhan said "The medium is the message."
     
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