SPRING 2012

38 THE DISTRIBUTOR’S

38 THE DISTRIBUTOR’S LINK Lorri Hunt Lorri Hunt is the president of Lorri Hunt and Associates, and has 14 years experience in implementing quality management systems in diverse businesses such as Honeywell, the Department of Energy, and small businesses. She is an active member of the U.S. Technical Advisory Group to ISO Technical Committee 176. She serves as the chair for the United States group responsible for developing consensus positions related to ISO 9001 and 9004. She also served as the international Deputy Task Group Leader to the amendment to ISO 9001:2008. Lorri is a frequent contributor to quality publications and journals and is a co-author to the Insiders’ Guide to ISO 9001:2008. She is also a frequent conference speaker. ADDING VALUE TO YOUR INTERNAL AUDIT PROGRAM One of the ongoing discussions in the quality world revolves around the value of internal audits. Many of the viewpoints are derived from the fact that most organizations develop an internal audit program not because they want to but because they are required to implement one. When an organization is required to develop an internal audit program instead of choosing to implement one, they are more likely to not see the value in internal audits. They often see internal audits as being bureaucratic and covered in red tape that causes more problems than solutions for the organization. In an addition to the perception an organization might have related to an internal audit program required by a customer, an international standard, regulatory requirement, or a corporate mandate, there are some reasons why an organization may not be obtaining value out of their audits. Here are some of the common reasons an internal audit program struggles. 1. Internal auditors do not have enough time to conduct the audit. In many organizations, internal auditing is performed as a part time activity for employees; therefore, time is not always properly allocated to conduct the audit. Some organizations simply do not schedule enough time for the audit. For example, some organizations will audit their entire system in one day, which potentially could not be enough time based on the size of the organization. In these situations, the internal auditor might not go deep enough, thereby not identifying noncompliance in the organization. 2. The internal auditor has not received proper training. There are two types of training: 1) training on requirements and 2) training on conducting internal audits. Lack of training on requirements can lead to audit findings that are based on personal opinion and not based on a specific requirement or procedure. There is also the potential for the auditor to write very basic findings such as an incorrect reference in a procedure. While a reference in a procedure not being correct would be a finding, if a corrective action were to be required it would provide a scenario where the amount of time and effort to respond to a corrective action does not equal the severity of the finding. Inadequate training on audit techniques can lead to ineffective communication on the results of audits which can potentially lead to frustration from the viewpoint of the auditee. In fact in many cases, the internal auditor does not communicate that a finding has been identified until the report is distributed. This lack of communication can create an adversarial relationship and diminish the value of the audit for the organization. 3. Based on the level of detail in the internal audit report, there is limited information that the organization can use to get better. There are a variety of reasons on why internal audits do not contain the right amount of information including lack of time by the internal auditor or a format that does not require that information be provided regarding compliance as well as noncompliance. please turn to page 184

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