Audit Report Templates

Bingo. Auditing, assessing, checking...whatever you wish to call the activity...has become a layered, integrated aspect of a mature management system. This is why I often shake my head at Internal Audit policies/procedures that address only one layer of auditing - typically auditing procedures/processes against the standard. Meanwhile, we have forgotten about daily routine checks and evaluations, which technically are audits leading towards corrections, preventive actions and continual improvement.

 

The Original Poster's query focused on a simplified template for internal audits. If your organization chooses to use the CB format as the sole mechanism by which internal audits are conducted, I think your organization is missing out on the true value of independent assessments. Using the CB format can also be daunting for newly-trained internal auditors who are still struggling with trying to understand how to apply the standards to the process they are about to audit.

My internal audit form lists the internal standards, a check-box regarding conformance (i.e., yes, no, n/a), associated metrics (including target and actual results), and a section for indicating Strengths and Opportunities. That's it. Nice and simple.

At a higher and still internal level, I am able to show how our audit checklists align with required standards, thus demonstrating conformance to the standards themselves. But at no point will you see me talking to our front line staff asking something like "Is there a procedure for controlling documents?" Rather, you'll hear questions like "How were you trained?" and "That document you're referring to, how do you know it's the latest and greatest?" and "If you want to change the process...improve it...how are these changes captured?" Answers to those questions will ascertain if we meet the external requirement for a procedure for controlling documents.

 

All that I may share is a sample of the audit template itself. I cannot show you the rolled-up structure to the applicable standard(s) due to proprietary reasons.

 

May I ask why your organization tolerates such outcomes? You're paying for a service, part of which requires the auditor to confirm, in their report, the effectiveness of the management system. Which, in turn, you are required to put "on the table" at your management review.

Coming from supplier quality management, if I had a supplier who delivered zero value (as in "no comment" in their report) I'd be asking why we were spending any money with them.