How can you ensure your audit scope is relevant and effective?

The word “audit” is coming from the Latin “audire, to listen”, so this should guide the overall purpose of an audit: to listen the organization in order to 1) check compliance 2) look for quick win 3) check and stimulated a structured continuous improvement methodology 4) look for and suggest best practices 5) look for blocking points for people to perform at their best 6) motivate and engage people 7) have fun

Understand the organization and its objectives: Thoroughly understand the organization's structure, operations, and strategic objectives. This helps to identify areas of potential risk and determine which areas should be prioritized for audit coverage. Conduct a risk assessment: Identify and assess the organization's key risks, including financial, operational, and compliance risks. This risk assessment should consider the probability and impact of potential risks, helping to focus the audit on areas with the highest potential for issues.

To ensure that our Audit scope is relevant and effective, we can start by understanding the context of the organization and how its policy and objectives translate into the manuals, procedures, work instructions, etc. It should also be assessed whether customer centricity is preserved through the alignment of stakeholder expectations and organizational priorities. Focusing the audit on the organization's critical areas and the business goals will ensure its relevance and a thorough audit plan would ensure the effectiveness of the audit outcome.

Sem dúvidas, o foco da auditoria deve ser claro, o controle que será auditado deve ser específico e de conhecimento de todos. Sempre em busca da robustez do processo, reconhecendo as iniciativas de resultado e pontuando as oportunidades com fatos e dados.

To ensure your audit scope is relevant and effective, clearly define objectives, consider risks, involve key stakeholders, stay updated on industry standards, and periodically reassess to adapt to changing circumstances.

The risk to achieve audit objectives also links to time allocated to an audit. If not enough time was allocated the audit will be superficial especially if less experienced auditors are used.

Auditor competence is the highest risk. Auditor must be well worse with audit process which is going to be audited. Hw must be trained or audit plan must be prepared to keep in mind about the qualification and expertise of auditor

La presente es una cuestión siempre interesante a tener en cuenta, sobre todo al momento de efectuar auditorías de segunda y terceras partes. Ejemplos: Si se audita en la industria petrolera, hay que tener EPP (elementos de protección personal) acordes a procesos químicos (gases, líquidos peligrosos, riesgos de explosión). Hay procesos simples que a veces conllevan riesgos inesperados, por ejemplo al momento de ejecutar una auditoría en altura (por ejemplo en zonas montañosas) el cuerpo debe acostumbrarse unos días a la presión y densidad del aire. Hay lugares en que la conectividad a internet es limitada, debe analizarse la situación. En la fabricación de satélites, es habitual auditar procesos indirectamente, por sus resultados.

Avaliando os riscos da auditoria, também é importante definir as respostas a esses riscos, para que os mesmos não afetem a realização da auditoria, trazendo impedimentos ao bom andamento da mesma e ao alcance dos objetivos.

Ohne eine umfassende Risikoanalyse des Audits ist die Durchführung eines zielgerichteten Audits nicht gewährleistet. Die Risikoanalyse ermöglicht auch das potentielle identifizieren von Chancen.

The boundaries should not be set in such a way to degrade the effectiveness of the audit. Don’t gag the auditor. The auditor should not accept a narrow bandwidth because the client wants to exclude areas with problems.

Make sure you align the audit scope/boundaries with the scope of management system certification and consider risk-based thinking, i.e. include cover areas previously seen as problem areas. Problem children needs more attention.

A continual Risk Management approach may help to identify the most vulnerable areas of the business and those should be the main scope of audit. And also, need to set the Success Criteria of Quality Audit & success metrics should not be calculated based on the number of problem found rather it should be calculated based on how much the business value added after the fixation of the bottlenecks identified from Audit.

Antes da ocorrência de toda a auditoria, é necessário que haja uma reunião de alinhamento com a área auditada. Ali, o auditor colocará a mesa, as intenções da auditoria, e o auditado por sua vez, poderá concordar, e/ou propor sugestões, definindo assim, qual o melhor escopo, para que a área seja auditada. Exemplo: - Um maquinário, recém instalado, onde as pessoas ainda estão sendo treinadas; - Um colaborador que está há 1 semana apenas trabalhando, entre outras.

To ensure the audit scope is relevant and effective while focusing on boundaries, follow ISO 19011 by: 1) Defining the audit's objectives in alignment with organizational goals; 2) Identifying key processes, departments, and geographic locations to be audited; 3) Considering any regulatory requirements or internal policies; and 4) Reviewing previous audits to address gaps. These steps help establish clear boundaries for comprehensive coverage.

An aspect of audit that need to be looked into, is the technicalities or the quality of provided records. The right auditors have to be selected  in order that audits are effective in highlighting deficiencies. It is not just planning the resources, but as a requirement to determine the right auditors. Often there is neglect to check the depth of information recorded or whether the records have been designed to capture or contain the required or right information which could demonstrate compliance, versus just having the records available.

Consider stakeholder expectations: Consult with relevant stakeholders, such as senior management, internal audit committee members, and external auditors, to gather their input on the audit scope. Their insights can help to ensure that the audit addresses the concerns and expectations of key stakeholders. Define clear objectives and criteria: Clearly articulate the specific objectives of the audit and establish the criteria against which performance will be assessed. This provides a clear framework for the audit process and helps to ensure that the audit findings are meaningful and actionable

To plan the audit and allocate resources: 1. **Set Objectives:** Clearly define audit goals. 2. **Assess Risks:** Identify potential risks. 3. **Define Scope:** Outline areas to be audited. 4. **Allocate Resources:** Determine human, financial, and tech needs. 5. **Create Timeline:** Develop a realistic schedule. 6. **Assign Roles:** Clearly define team responsibilities. 7. **Use Technology:** Leverage tools for efficiency. 8. **Training:** Ensure the team is adequately trained. 9. **Communication:** Establish effective channels. 10. **Monitor Continuously:** Adapt as needed during the audit.

We must prioritize comprehensive training programs to ensure auditors are well-versed with the intricacies of the audit processes they are assigned. Additionally, it is crucial to develop audit plans that carefully consider the unique qualifications and expertise of each auditor. This alignment will not only mitigate risks but also enhance the overall effectiveness and reliability of our audit outcomes.

O quarto passo na auditoria é planejar os recursos necessários, incluindo pessoas, tempo e dinheiro. Os recursos devem ser adequados ao escopo da auditoria e gerenciados eficientemente. A estimativa dos recursos considera a finalidade, critérios, riscos e limites da auditoria, além das habilidades e disponibilidade da equipe de auditoria. É crucial monitorar e ajustar os recursos durante a auditoria para garantir a execução eficaz e dentro do prazo.

In my experience it is very important to keep in mind -purpose and scope of the audit -involvement of right audience - clear communication of audit plan with relevant details on purpose and scope of the audit well in advance . -keep in mind audit is to verify compliance with standard , root cause of and issue and it is not faults finding mission -Focus should be on standard ,system and process and not induvial. - One most important thing is random sample audit and not a 100% verification of system/process . this will ensure your audit will be successful.

- Prepare a well-documented audit scope that is clear and concise. Use language that is easily understandable by a diverse audience, including non-experts. - Engage with key stakeholders early in the process to gather their input and expectations. Understanding their concerns and priorities will help tailor the audit scope to address relevant issues. - Provide regular updates on the progress of the audit and any adjustments to the scope. Timely communication helps manage expectations and allows stakeholders to stay informed about the audit's direction. - Conduct training sessions or awareness programs to educate relevant stakeholders about the audit process and its scope.

In my experience, it is always better to ensure audit is done thoroughly to ensure that our findings are real and recommendations on how to fix the issues are useful. Speaking from assumptions (without following up with investigative actions) can be misleading and have stakeholders either solving problems that do not exist or investing time and resources in attempting to solve problems the wrong way which in turn makes things worse. Also ensure you are adequately trained and qualified to perform the audit. Do not leave a team or an organization with worse problems than you were invited to audit and solve in the first place.

1. Sicherstellen, dass alle Beteiligten den Zweck und die Ziele des Audits verstehen. 2. Die Fokussierung auf Hochrisikobereiche und wesentliche Prozesse kommunizieren 3. Informieren über den Zeitplan und wichtige Meilensteine des Audits. 4. Erläutern, welche Audit-Methoden und -Standards angewendet werden. 5. Zu offener Kommunikation und Kooperation während des Audits ermutigen 6. Sicherstellen dass alle Beteiligten die relevanten regulatorischen Vorgaben kennen. 7. Über die möglichen Auswirkungen von Audit-Ergebnissen aufklären 8. Ermutigen zur aktiven Beteiligung und Feedback während des Audit-Prozesses

Communication is key. Goals and explanations help the workers ti understand why it's important to be make an audit. The feedback is important as well to communicate the results and to thank everyone involved to the good work

The revision of scope will allow the auditor to cover areas that may have gone unaudited in the past, as well as identifying areas that need frequent revisiting as these may be considered high contributors to non-conformances. All stakeholders are to be included in the communication to best align the system and it functionality for best performance. The audit cycle will then be effective.

Determine the scope of activities and processes: Identify the specific processes, departments, or activities that will be included in the audit. This may involve considering factors such as risk levels, resource limitations, and the relevance to the audit objectives. Establish the time frame for the audit: Determine the appropriate time frame for conducting the audit, considering the complexity of the audit scope and the availability of resources. Communicate the audit scope effectively: Clearly communicate the audit scope to all relevant stakeholders, including the auditee, audit sponsor, and audit team. This ensures that everyone is aware of the boundaries of the audit and the specific areas that will be examined.

Regularly reassess and adapt the audit scope to evolving project and business demands. Collaborate with stakeholders to integrate feedback, address emerging risks, and maintain alignment with strategic objectives, enhancing overall quality assurance.

1. Überprüfung von Bereichen mit den höchsten Risiken und potenziellen Auswirkungen auf Qualität und Sicherheit priorisieren 2. Ergebnisse und Empfehlungen aus früheren Audits zur Identifizierung von Verbesserungsbedarfaktualisieren 3. Umfang anpassen, um neue oder geänderte regulatorische Anforderungen abzudecken. 4. Umfang basierend auf kürzlichen Änderungen in den Prozessen oder Ausrüstungen überarbeiten 5. Rückmeldungen von Teammitgliedern und Stakeholdern einholen, um blinde Flecken zu identifizieren. 6. Sicherstellen, dass alle Änderungen im Prüfungsumfang klar dokumentiert sind. 7. Alle Beteiligten über Anpassungen im Prüfungsumfang informieren, um Transparenz zu gewährleisten.

Ensure that the audit scope covers all critical or high risk processes. Include any major changes in product, process, personnel or premises. Recurring excursions and trends from previous audits are key focus areas.

Consider resource constraints: Be realistic about the resources available for the audit. Time, personnel, and budget limitations should be factored into the scope definition. Ensure that the scope is manageable and can be completed within the available resources. Engage relevant stakeholders: Consult with key stakeholders, including management, auditees, and subject matter experts, to gather their insights and perspectives. Their input can help you identify potential areas of concern and refine the scope accordingly. Seek external validation: Consider seeking external validation of the audit scope,for sensitive audits. This can provide an objective assessment and help identify any potential gaps or areas for improvement.

Expanding the audit beyond document review is crucial. Engaging with shopfloor personnel ensures validation of procedures' real-world adoption. Including process confirmation in the quality management system reinforces the commitment to verifying its practical effectiveness. Interaction with those on the front lines provides valuable insights into the actual implementation of procedures and processes.

Consider how and who you will be feeding back to. No point presenting detail to the board when they are looking for an assurance statement. Equally, the client manager will need the detail.

Utilize Technology: Leverage audit technology tools to enhance efficiency and effectiveness. Automation can streamline data collection, analysis, and reporting, allowing the audit team to concentrate on critical areas within the defined scope. Consider Industry Benchmarks: Benchmarking against industry standards and best practices provides context for evaluating the auditee's performance. This external perspective can help refine the audit scope to address relevant industry challenges and opportunities.

Based on my experience, the key elements to successfully lead a quality audit are: - Be a good listener: Be attentive to the auditees' input. - Ask open-ended questions: To encourage the auditees to provide more information. - Be prepared to challenge assumptions: Don't just accept what you are told at face value. - Be flexible: Things don't always go according to plan, so be prepared to adjust your approach as needed. - Be persistent: Don't give up if you don't find what you're looking for right away. - Be positive: A positive attitude can go a long way in building trust and cooperation with the auditees. - Be respectful and professional in your interactions with Auditees: Remember, the goal is to improve quality, not to criticize.