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External Auditing

External Auditing. ASQ Alaska Chapter Petroleum SIG Roundtable Jackie Wright, BP SQM September 2014. Safety Moment. BP-EC Facility Brief During an audit PPE – know it, love it, use it Ensure Situational Awareness at all times Always stick with your wing-man Be Alert for Red Flags

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External Auditing

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  1. External Auditing ASQ Alaska Chapter Petroleum SIG Roundtable Jackie Wright, BP SQM September 2014

  2. Safety Moment • BP-EC Facility Brief • During an audit • PPE – know it, love it, use it • Ensure Situational Awareness at all times • Always stick with your wing-man • Be Alert for Red Flags • Set the tone of the audit • Professional and friendly, courteous • Safe – get a safety briefing • Question/answer/clarifications Be Observant………..and take note of the Safety Culture.

  3. Get Acquainted Name, rank and serial number Ever audited or been audited Choose a scribe for your table Let’s play a quick game!!!

  4. Internal vs External Audits Internal Audit – an audit conducted by one’s own organization External Audit – usually an audit conducted by a customer (or potential customer) of the auditee, to the auditee and/or subs Third Party Audit – an audit conducted by an unbiased third party without any business affiliation to either the auditee or his customers

  5. The Obvious Questions • Who will be audited? • The company • What is the scope of the audit? • Most important part • Standard and/or requirements • Location, process, product • When will the audit be conducted? • Dates, times, how long! • Where will the audit be conducted? • Refer back to scope, what physical locations, what process/product lines • Why is this audit necessary? • Trigger points: Baseline (qualification), gaps/risk, performance • How, as in, what methodology will be used? • Product, process, system, checklist • Who will be the auditors? • Lead Auditor, Subject matter experts Before planning activities start, these questions must be answered first.

  6. Pre-Audit Activities • 6 weeks out • Confirm audit team (if necessary) • Confirm scope and schedule with team/auditee • Send TOR and/or checklist – 30 day return • 1-2 weeks out • Review all auditee submissions / checklist with team, request additional info as needed • 1-2 days prior • Reconfirm! Life happens • Ensure escorts and interviewees will be available Planning is the key essential. YOU NOT PLAN >>> YOU NOT AUDIT >>> That is all.

  7. Audit Agenda • Should be included in TOR or supplied prior to the audit • Opening Meeting • Sets the tone, schedule, responsibilities, expectations, methodology • Daily Out-briefs • Allows for clarification, investigation as time allows • Use a white board if possible • Pre-closing Meeting • With Senior Leadership, to hash it out behind closed doors • Not a negotiation, but very frank conversation • Closing Meeting • Includes all interested parties, present high level findings, observations, opportunities for improvement • This should be short and to the point, no negotiations Be professional. Opening meetings, closing meetings, and good communication are the key to trust and a successful outcome.

  8. Post-Audit Activities Formal, written audit report with documented findings and next steps within an agreed timeframe Management of RCFA / Containment / Corrective Actions / Preventive Actions Validation of actions and closure of findings Close the loop and don’t leave ‘emhangin

  9. Auditing Techniques Do • Always be kind, courteous and professional • Look people in the eyes and smile • Ask open ended questions • Listen more than talk • Communicate clearly and simply • Use the correct terminology • Ask the process owner • Be flexible • Go to the GEMBA! • Identify the POSITIVES, look for evidence of compliance • Confirm findings with your escort • Support findings with objective evidence • TAKE NOTES!

  10. Auditing Techniques Don’t • Be argumentative, EVER • Complain or shame anyone • Compare one company to another (War stories are notappropriate, could become a liability) • Ask yes/no questions, don’t read the questions verbatim • Answer your own questions • Beat a dead horse or dig to China • Offer solutions • Ask leading or trick questions • Try to baffle anyone with your knowledge and big, technical words • Ask all questions to your escort • Stay in a conference room or office somewhere • Skew the outcome of the audit/assessment by not taking notes

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