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Internal Auditing

Internal Auditing. How Do We Make This Thing Work? ASQ Chapter 1205 DiGiovanni’s Restaurant February 18, 2010 Bruce Kyles KQC – Kyles Quality Consulting bakyles@comcast.net 815-721-9145. KQC. First Off. We are not going to talk about the ISO standard 9001:2008 per se

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Internal Auditing

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  1. Internal Auditing How Do We Make This Thing Work? ASQ Chapter 1205 DiGiovanni’s Restaurant February 18, 2010 Bruce Kyles KQC – Kyles Quality Consulting bakyles@comcast.net 815-721-9145 KQC

  2. First Off • We are not going to talk about the ISO standard 9001:2008 per se • We want to concentrated on a couple of bigger issues • What do we audit • How do we make them more effective • How do we get upper management to see the benefits of internal auditing. Contrast the internal quality audits with the financials audits. KQC

  3. Where do we get Audit schedule? • Most will get it the standard ways • By element • By Procedures • By what are schedule was last year • By what the auditor says he is going to audit KQC

  4. Pretty Normal Schedule KQC

  5. Type of Business • Doesn’t really make any difference whether the business is: • Manufacturing – Heavy/light • Industrial nonmanufacturing • Service • Financial KQC

  6. Maybe we need to change where we look to getting the audits. The first clue on where to go in the internal audit schedule is the standard. An audit programme shall be planned, taking into consideration the status and importance of the processes and areas to be audited, as well as the results of previous audits. One of the things you will find is that you can be your own worst enemy when it comes to setting up the internal audit schedule. What does your Manual, Procedure, or Work Instruction say about what you have to audit? KQC

  7. Standard wording This procedure applies to all elements of the implemented ISO 9001 quality system at _____________, including observations on suitable working environment. Internal audits will cover all production shifts at a minimum frequency of one complete system audit annually. KQC

  8. Look At • Your biggest losses • The goals and objectives of: • Upper management • Individual departments • Corrective Actions • Complaints • Past areas of nonconformances KQC

  9. One Source of 2010 Schedule KQC

  10. Problem Areas KQC

  11. TECHNIQUES KQC

  12. Scope of Audits • Limit the time you set for audits • By limiting the time, you may limit the scope EXAMPLE KQC

  13. Snapshot of a Process KQC

  14. SURPRISE, SURPRISE • Let the auditee know you are coming. • Schedule a time • Surprise audits don’t work. • You may be interrupting something important • If you ask the right questions and look at the evidence, it will be difficult to hide anyway. • Think about your past history with surprise audits. KQC

  15. Tool #1 • Use existing flow charts • Make up flow charts as you audit. • Flow charting is one of the easiest and I think under rated quality tools in our tool box. • Use it. • If you observe the good 3rd party auditors, you are seeing more and more of them putting the evidence in flow chart format. KQC

  16. RAW DATA KQC

  17. KQC

  18. Look at the inputs and outputs. Turtle diagrams are invaluable KQC

  19. TOOL #3 What to look for when doing the audit. • Audit the intersections of the different processes. • How to we determine these intersections? • Think of your own job and the processes involved. • Most processes will include multiple elements of the standard and your documents. KQC

  20. TOOL #4Use of Checklists • Good • Promote planning • Ensures consistent approach • Creates Sampling plan • Time manager • Place to note findings • BUT • Can cause canned approach • Poor coverage • Can be limiting KQC

  21. MINIMIZE THE RISKS KQC

  22. Determine the reason for doing the audit • Is it a regular scheduled audit? • Have we had a problem? • Internal defects • New requirement • New Equipment • Major issue with new press • Has the Customer had a problem? • Customer complaint • Customer credit • Customer requirement KQC

  23. The reason for the doing the audit dictates many aspects of how the audit progresses • Timing and urgency • Resources committed • Attention from upper management FINAL EXAMPLE KQC

  24. KQC

  25. Wrap Up • Go after audits that will make a difference • Reduce losses • Gain efficiency • Use the simple tools • Simple process diagrams • Input/ output diagrams • Be effective • Focus - Take small snapshots of a process • Use your time wisely • Listen to your leader’s needs • Audit the issues

  26. Thankyou Bruce Kyles KQC bakyles@comcast.net

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