ASQ ALASKA CHAPTERPETROLEUM SIG ROUNDTABLE

JACKIE WRIGHT, BP SQMSEPTEMBER 2014

External Auditing

Safety Moment

BP-EC Facility BriefDuring an audit

PPE – know it, love it, use it Ensure Situational Awareness at all times Always stick with your wing-man Be Alert for Red Flags Set the tone of the audit

Professional and friendly, courteous Safe – get a safety briefing Question/answer/clarifications

Be Observant………..and take note of the Safety Culture.

Get Acquainted

Name, rank and serial numberEver audited or been auditedChoose a scribe for your tableLet’s play a quick game!!!

Internal vs External Audits

Internal Audit – an audit conducted by one’s own organization

External Audit – usually an audit conducted by a customer (or potential customer) of the auditee, to the auditee and/or subs

Third Party Audit – an audit conducted by an unbiased third party without any business affiliation to either the auditee or his customers

The Obvious Questions

Who will be audited? The company

What is the scope of the audit? Most important part Standard and/or requirements Location, process, product

When will the audit be conducted? Dates, times, how long!

Where will the audit be conducted? Refer back to scope, what physical locations, what process/product lines

Why is this audit necessary? Trigger points: Baseline (qualification), gaps/risk, performance

How, as in, what methodology will be used? Product, process, system, checklist

Who will be the auditors? Lead Auditor, Subject matter experts

Before planning activities start, these questions must be answered first.

Pre-Audit Activities

6 weeks out Confirm audit team (if necessary) Confirm scope and schedule with team/auditee Send TOR and/or checklist – 30 day return

1-2 weeks out Review all auditee submissions / checklist with

team, request additional info as needed1-2 days prior

Reconfirm! Life happens Ensure escorts and interviewees will be available

Planning is the key essential. YOU NOT PLAN >>> YOU NOT AUDIT >>> That is all.

Audit Agenda

Should be included in TOR or supplied prior to the auditOpening Meeting

Sets the tone, schedule, responsibilities, expectations, methodology

Daily Out-briefs Allows for clarification, investigation as time allows Use a white board if possible

Pre-closing Meeting With Senior Leadership, to hash it out behind closed doors Not a negotiation, but very frank conversation

Closing Meeting Includes all interested parties, present high level findings,

observations, opportunities for improvement This should be short and to the point, no negotiations

Be professional. Opening meetings, closing meetings, and good communication are the key to trust and a successful

outcome.

Post-Audit Activities

Formal, written audit report with documented findings and next steps within an agreed timeframe

Management of RCFA / Containment / Corrective Actions / Preventive Actions

Validation of actions and closure of findings

Close the loop and don’t leave ‘em hangin

Auditing Techniques

Do

Always be kind, courteous and professional Look people in the eyes and smile Ask open ended questions Listen more than talk Communicate clearly and simply Use the correct terminology Ask the process owner Be flexible Go to the GEMBA! Identify the POSITIVES, look for evidence of compliance Confirm findings with your escort Support findings with objective evidence TAKE NOTES!

Auditing Techniques

Don’t

Be argumentative, EVER Complain or shame anyone Compare one company to another (War stories are not appropriate, could become a liability) Ask yes/no questions, don’t read the questions verbatim Answer your own questions Beat a dead horse or dig to China Offer solutions Ask leading or trick questions Try to baffle anyone with your knowledge and big, technical words Ask all questions to your escort Stay in a conference room or office somewhere Skew the outcome of the audit/assessment by not taking notes