An Auditor's Christmas Gift

I have a good friend that seems to be a natural at auditing. She seems to know just the right question to ask, and exactly what to look for in records. I have often commented on her "gift" of auditing, but she doesn't believe she has a "gift". To her a good audit is nothing more than two factors: dedication coupled with preparation. The more I observe her in action, the more I tend to agree.

We can all have this "gift of internal auditing". We can all be considered exceptional auditors. All we need to do is to understand the two principles involved, and how they work together

Dedication:

Here's a news flash for you. Most internal auditors are draftees. Few of us go into the bosses office and request to be QMS internal auditors. Rather, the boss comes to us and tells us we are chosen to be auditors. But regardless of whether you are a draftee or a volunteer, you can still be dedicated.

This is not a religious newsletter, but I do not try to hide my faith. One way I display it is the concept that all of my work needs to have the Lord's approval. I work for Him. Your level of dedication does not have to be that deep, but it should be deep enough that anyone with a conscience would be able to sleep well at night. 

So how do you get dedication? The first step is to identify what is "right". The second step is to do what is "right". We must be careful here. Do not confuse dedication with martyrdom, or fanaticism.

I know many folks that feel if you don't put in at least 10% unpaid extra time on a job, you are slacking. They measure themselves by how much they sacrificed for the organization. We all sacrifice, but we should never keep track of it, and we should never compare our sacrifice with the sacrifice of others. My boss knows that if I ever have to make a decision between the job and the family, the family wins every time, without fail. I'm dedicated, but my dedication to my family is greater than my dedication to my employer.

Fanatics can be worse than martyrs. Martyrs live in a world of self-pity and self-misery. Fanatics live in a world of dedication to the point that common sense is over shadowed by theory. Where the letter of the law far outweighs the intent of the law. Yet, fanatics will often place "shalls" where no shall exists. They interpret the standard based on their limited experience and will not see or consider alternate views. Recently, on the Cove (http//elsmar.com/forums) there was a discussion of whether you can meet the requirements for auditing without an actual audit. The answer is that if the activity achieves the goals and requirements for auditing, they can be performed in any manner that meets the needs of the organization. We will cover this in greater detail in a future issue.

So that still doesn't answer the question of how you get dedication. Well, you can't. What you must do is to become dedicated. That is, to put forth the necessary energy forward that will enable you to do the best job possible under all circumstances. Part of dedication is preparation. How, and to what level you prepare is an indication of the level of dedication you posses.

Preparation:

You cannot be expected, or expect to do a good job if you do not prepare. In a future issue, we will examine audit preparation in detail, but for now we will just give it an overview. Preparation is more than just reading a checklist. It also involves understanding the process you are about to audit. Audit preparation includes reading procedures, observing the process and possibly even performing the process. Preparation includes understanding the "big picture" of the organization and knowing the letter and the intent of the audit criteria. Audit preparation is not just a five-minute job to completed just prior to the audit. It is a constant growth and development activity.

Being prepared for the audit will enable you to maximize your time for an efficient and effective audit. It will add to your credibility and enhance your reputation as an auditor. Audit preparation will also help in avoiding some of the aggravation that can accompany internal auditing. A well-prepared auditor is more likely to be organized and can react quicker to audit events.

Audit preparation also goes beyond the regular work schedule. Reading books, articles and newsletters (like this one) are additional ways to prepare for upcoming internal audits. Back in September, we looked at Internal Auditor Professional Development. This is another form of preparation. It is also a sign of dedication.

Summary:

Thinking back to my friend, it is clear that she enters the audit completely prepared and organized. Her dedication ensures she doesn't cut corners, and digs in places where she needs to dig. Her dedication allows her to treat auditees with respect and her preparation gives her the right questions to ask. She listens intently to the answer and considers what is said. All we see is that she has the "gift" of auditing.

So, the "Gift" of internal auditing is not really a gift after all. Oh, there may be some parts of it that some auditors seem to do with greater ease than others, such as interviewing, but mostly, the gift of auditing is nothing more than preparation and dedication. The more you have of each, the easier internal auditing will be and that is a gift for you.

As always...Good Auditing!

The American Society for Quality (ASQ) offers certification of internal auditors (Certified Quality Auditor, or CQA). There are certain education, experience and proof of professionalism requirements that can be found on their website. You must also successfully pass a written examination. I should remind you that certification of internal auditors is not required, but does a lot to demonstrate your professionalism and dedication to our field. Also, if you are not a member of ASQ, you should be ashamed of yourself. You can join when you visit them. If you are a member, make sure you become active in your local chapter.

Q - Can we use anything else for objective evidence other than documents and records?

A - The most common form of objective evidence is clearly the record. There are other ways, however, to obtain evidence. Our first issue, October 1999, outlines the three ways to gain objective evidence. They are:

• Examination (records and such)

• Observation (watching how things are performed)

• Interviewing (asking questions)

Which of method used is dependent on the circumstances and what you want find out. There is no prescribed method for obtaining evidence; there is only the need to ensure the audits are accurate and effective.

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www.nsf-isr.org
 

ISO 9001:2000 Clause 5.5.3 Internal communication

"Top management shall ensure that appropriate communication processes are established…and that communication takes place regarding the effectiveness of the quality management system".

In order for the quality management system to be effective, there must be communication flow throughout the organization. This includes top-down, bottom-up and lateral communication. It is the responsibility of top management to ensure this communication takes place. The methodology, amount and levels of communications are up to top management to decide, provided they are "appropriate". Methods of communicating can include such things as; normal hierarchical dissemination of information, newsletters, intranet, internal auditing and bulletin boards. This as auditors, we need to keep an open mind as to how management decides to meet this requirement. See Notes from the Field for an idea!

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February 2002's question: 

You are auditing receiving and are referring to the procedure. The procedure states that when material is received, the Receiving Inspection form (form RI-1) is used. You ask the receiving clerk what form is used. He cannot identify the form by name or number, but can identify the form by appearance. He quickly grabs a form and hands it to you. It is RI-1. When asked why he doesn't know its name or number, he just shrugs and states that he uses the form he has always used, and has never had the need to check on its name or number.

The answer: 

There are very few forms that we know by name and number. In the US, everyone knows Form 1040, because this is the form we do our taxes with. But what is the form number of your driver's license? I doubt you know it. You might also not be able accurately describe it if asked. Yet you know what it is and you know where you keep it (hopefully!). The danger here is whether the receiving clerk would know if the form has been changed. How does he know he is using the correct version? If this question can be satisfactorily answered, then I would call this conforming. If there appears to be no control over the revision, then a nonconformance might be in that part, but nothing says that the user must know the form name and number.

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When thinking about auditing "gifts", we often think about the ability to obtain objective evidence. But auditing gifts go way beyond that. Most auditors are gifted because we have to be. We know what has to be done, and we do our best to make sure it gets done. It appears we are gifted, not because we have some special magic, but because we rise to the occasion and perform to our best. It is amazing that what others see as gifted, we see as normal. I guess it all depends on what your vantage point is. But if anyone asks "How can you do this?", answer that you are just gifted, and let them assume you are. We'll never tell.

Dave

...Good auditing!

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Because this site uses information from many different sources, it must be pointed out that any advice, tips, information, etc., provided should be regarded as opinion and not fact! What works well for one company may be a disaster for another. Also, what one registrar, or auditor may allow, another may not. As always, reflect on what you read, see if it fits into your own quality system, and if it conflicts with your auditor...you've got to make a decision