Writing audit findings: Be reasonable

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A customary approach to auditing and reporting deficiencies is to keep a running list of those that are found, evaluate the severity of each, and based on the evidence, document findings or observations or concerns in an audit report. The report is issued and the auditee is normally requested to address root cause'' as part of their corrective action. This paper describes a root problems'' approach to documenting audit findings that is designed not only to put the QA auditor in a more favorable light, but to more effectively enable the auditee to identify root cause and meaningful corrective action. ... continued below

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Pages: (9 p)

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Girvin, N.W. May 1, 1992.

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Description

A customary approach to auditing and reporting deficiencies is to keep a running list of those that are found, evaluate the severity of each, and based on the evidence, document findings or observations or concerns in an audit report. The report is issued and the auditee is normally requested to address root cause'' as part of their corrective action. This paper describes a root problems'' approach to documenting audit findings that is designed not only to put the QA auditor in a more favorable light, but to more effectively enable the auditee to identify root cause and meaningful corrective action. The positive results of this approach are considerable. You will have fewer findings but those you do have will be substantial. You will cite requirements that sound reasonable and make arguments difficult. If some of the supporting deficiencies (examples) prove to be incorrect, you will still have ample support for the original finding. You will be seen as reasonable individual who can help lead the auditee towards identification of root cause without taking away part of the responsibility. You even have a fair chance of fostering a sense of commitment to quality improvement on the auditee's part. This in itself, is its own reward.

Physical Description

Pages: (9 p)

Notes

OSTI; NTIS; GPO Dep.

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  • 46. American Society for Quality Control (ASQC) congress, Nashville, TN (United States), 18-20 May 1992

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  • Other: DE92015209
  • Report No.: PNL-SA-20292
  • Report No.: CONF-9205190--3
  • Grant Number: AC06-76RL01830
  • Office of Scientific & Technical Information Report Number: 5062320
  • Archival Resource Key: ark:/67531/metadc1053115

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Office of Scientific & Technical Information Technical Reports

Reports, articles and other documents harvested from the Office of Scientific and Technical Information.

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  • May 1, 1992

Added to The UNT Digital Library

  • Jan. 22, 2018, 7:23 a.m.

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  • Jan. 31, 2018, 1:01 p.m.

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Girvin, N.W. Writing audit findings: Be reasonable, article, May 1, 1992; Richland, Washington. (digital.library.unt.edu/ark:/67531/metadc1053115/: accessed April 21, 2018), University of North Texas Libraries, Digital Library, digital.library.unt.edu; crediting UNT Libraries Government Documents Department.