All experienced auditors have their own favorite questions to ask when auditing. Some auditors struggle with what are the most important audit questions to ask, including are my favorite questions providing the right objective evidence?
Let's take a look at what audit questions can help to evaluate your organizations effectiveness and overall performance. The following are some valuable examples.
1. How do you access product or service requirements?
Everyone has a product or service they perform. It can be internal or external, and it can be as simple as passing it on to your fellow co-worker on an assembly line. Standards such as ISO 9001 require that product information, for example documentation be available at points of use. Having access to this information is extremely valuable and the ability to describe how the requirements are carried out.
Specific questions relating to requirements include:
- Are the product requirements complete?
- How do you ensure that correct versions are available?
- How do requirements get reviewed prior to acceptance?
- How do you know that the product meets the stated requirements?
- What happens when changes are made to product requirements, and how are you informed?
2. How are problems identified and prevented?
Correcting a problem can be simple. Define, identify the cause, and take the necessary action. However, preventing it from occuring can be more of a challenge. Examples include:
- How do you document problems/corrective actions?
- How is the data reviewed and is trending being conducted?
- How do you communicate ideas for improvement?
- Are statistical methods being used?
- How do you record preventive actions?
- Do you use a formal problem solving method?
3. How are customer complaints handled?
Customer complaints do happen. Customer complaints represent a large risk as well as a valuable opportunity to improve the organization-it all depends on how the complaints are handled. This is especially relevant to "customer touch point" personnel such as sales people, customer service representatives, technical personnel, and top management.
The auditor must find proof of a systematic approach to dealing with complaints. This typically will include defined responsibilities for logging and tracking customer complaints (internal and external)clear problem statements with all relevant facts included, logical analysis and problem causes, and actions that address the causes. Here are a few related questions:
- What method is used to capture complaints?
- What tools are used to identify the causes of complaints?
- What is the largest complaint category in your respective area?
- How are personnel trained to prevent complaints?
- How are customers made aware of actions on their complaints?
- Has the number of complaints changed over time?
4. How does top management review the organization's performance?
Top management should regularly analyze data and trends that show current performance. Is your company becoming more efficient, effective, more competitive, and better at pleasing customers?
ISO 9001 specifically requires management review, with defined inputs and outputs. This does not mean that a separate review is the answer. Creative companies integrate operational reviews and the more timely and action-oriented the review is the better the results. Here are some related audit questions:
- Who is involved in reviewing the organization's performance?
- Are documented actions visible and resources identified?
- Are comprehensive records kept and distributed?
- Are all the required inputs and outputs addressed?
- Documented evidence of continual improvement recorded?
- How are all personnel made aware of the actions and decisions?
These process audit questions are just a few examples of what may work for your organization. The best questions for you to ask depends on your organizations priorities, risks, and customer requirements. Focus your audit process on what is relevant, and you will achieve tangible results.
Improving Operational Performance in Troubled Times
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