How do you document and report the findings from an audit interview?

Como auditora de tercera parte, las notas son esenciales para detallar la información revisadas ( nombres, códigos y revisión). Al revisarlas, identificamos hallazgos significativos, ya sean de conformidad, no conformidad u oportunidad, mediante la trazabilidad y análisis detallado. Las notas para facilitar la comprensión de la situación de cada hallazgo, lo que permite la implementación de acciones correctivas y preventivas adecuadas. Al revisarlas, un tercero puede identificar claramente la ubicación, los requisitos y las evidencias asociadas a cada hallazgo, garantizando una comprensión completa y facilitando la toma de decisiones informadas para mejorar la calidad y la integridad de nuestras auditorías.

To document and report audit interview findings: 1.Detailed Notes:Take comprehensive notes during the interview. ?? 2.Structured Format:Use a standardized template for consistency. ?? 3.Clear Language:Communicate findings in plain, understandable terms.?? 4.Evidence-Based:Support findings with specific examples or data. ?? 5.Objective Tone:Maintain neutrality and avoid bias in reporting. ??

*Capture Details: During the interview, meticulously record important points, insights and quotes using abbreviations for efficiency. *Organize Notes: After the interview, review and group related information to identify recurring themes. *Summarize Key Findings: Prepare a concise report highlighting the main takeaways, incorporating direct quotes for credibility. *Provide Context: Include background information on the interviewee (their role) and the purpose of the discussion. *Integrate into Report: Weave the interview findings into the overall audit report, connecting them to other evidence. *Ensure Accuracy: Before finalizing the report, thoroughly review it for clarity, accuracy and proper attribution of information to the interviewee.

Documenting and Reporting Audit Interview Findings: 1?? Detailed Notes: Take comprehensive and accurate notes during the interview to capture all relevant information. 2?? Structured Reports: Organize findings into a clear and structured report format for easy understanding. 3?? Objective Analysis: Provide an objective analysis of the interview findings, highlighting key insights and observations. 4?? Actionable Recommendations: Offer actionable recommendations based on the audit findings to address any identified issues. 5?? Timely Reporting: Ensure timely reporting of the audit findings to relevant stakeholders for prompt action.

Quality audits are formal, systematic and independent. The results of audits are based on facts. effectiveness and integrity of an audit depend heavily upon the skills and training of the auditor(s). Auditors are fact finders auditors must: ●Communicate and clarify audit requirements ●Carry out assigned responsibilities effectively ●Maintain objectivity and confidentiality The auditor should determine not only compliance, but also how adequate compliance is during the interview. Physical evidence and observation will support the process. When recording findings the auditor should include: Finding classification, system impacted, description of the finding, specific requirement (Regulatory reference), procedural reference if applicable.

Identificar los hallazgos en las notas es esencial para la auditoría. Durante las auditorías, podemos encontrar conformidad (cumple con los requisitos establecidos), no conformidad (incumplimiento de un requisito de la norma de referencia, procedimientos o requisito legal) y oportunidades de mejora (situaciones que, de no abordarse, podrían derivar en una no conformidad). Esta estructura nos permite comunicar de manera clara y precisa los resultados de la auditoría, facilitando la comprensión y la toma de decisiones para mejorar continuamente nuestros procesos y sistemas de gestión.

I Documented findings immediately after the interview ensuring accuracy and completeness. Immediately after each interview, I reviewed and expanded my notes to ensure all details were accurately captured. I added context to the responses and highlighted key points that were particularly relevant to the audit objectives. This immediate documentation helped preserve the integrity and accuracy of the information.

Post - Interview, sift through your notes to identify significant findings and observations. Distinguish between factual information and subjective comments. Highlight discrepancies, compliance issues, and areas of best practice. Group related findings to streamline further analysis Be objective, ensuring that your observations are based on evidence gathered during the interview. This step is critical for pinpointing areas that require further scrutiny or action, setting the stage for deeper analysis and reporting.

Learning to write clear, concise statements of conformity and nonconformity is important. State the requirement and how the auditee is conforming, or not. State what objective evidence was found to support you statements. In my experience observations are of limited usefulness as they require no action on the part of the auditee and are largely ignored. Auditors are not consultants, and in fact are forbidden to consult in many cases. Beware auditors who try to impose their opinion of how things “should” be done on your system. Don’t be afraid to push back if you think your auditor is doing this.

Review your notes to pinpoint significant findings and observations. Categorize them based on their nature, such as non-compliances, areas of improvement, and best practices. Ensure that each finding is supported by evidence gathered during the interview.

Dive into your notes: Reread your interview notes and identify patterns or repeated issues. What areas kept coming up? Ask yourself "why": For each issue, ask yourself why it happened. What could be the underlying reasons behind this finding? Consider the risks: Now, think about the potential consequences of each root cause. If left unaddressed, what could go wrong? Document everything: Keep a record of your analysis! Write down the root causes you identified, the potential risks, and any evidence from your notes that supports your conclusions. This will be helpful when you write your report. By following these steps, you'll gain a deeper understanding of the problems identified in the interview and the associated risks.

- Use root cause analysis techniques (e.g., 5 Whys, Fishbone Diagram) - Identify underlying issues contributing to the findings. - Assess the potential impact and likelihood of identified risks. - Consider both direct and indirect consequences. - Document the analysis process and the rationale behind the conclusions.

Analyzing the findings helps in identifying patterns, trends, and key issues. I analyzed the interview findings to identify recurring issues and trends. For instance, I noticed a common issue where several loan officers mentioned difficulties in maintaining complete documentation due to high workload and lack of training. This analysis helped in understanding the root causes of the issues identified during the interviews.

Conduct a thorough analysis to determine the root causes of any identified issues. Assess the potential risks and impacts associated with these findings. Utilize methodologies like the 5 Whys or Fishbone Diagram to dig deeper into the underlying causes.

Para documentar e informar los hallazgos de una entrevista de auditoría, analizo las causas raíz y los riesgos asociados. Identifico las razones subyacentes de las no conformidades utilizando técnicas como los 5 porqués, el diagrama de espina de pescado o el análisis FODA. Evaluo los riesgos potenciales de cada hallazgo, considerando las posibles consecuencias negativas. Recurro a la evidencia, datos e información recopilada durante la auditoría para respaldar mi análisis. Este enfoque meticuloso me permite proporcionar recomendaciones precisas y fundamentadas para mitigar riesgos y mejorar procesos.

Based on your analysis, develop clear and actionable conclusions. Provide practical recommendations for addressing the identified issues and mitigating risks. Ensure that your recommendations are specific, feasible, and aligned with the organization's objectives.

In the audit report, I presented the interview findings in a structured format. Each section of the report corresponded to a category of findings, with clear headings and subheadings. Reporting the findings in a clear and structured format ensures that they are easily understood and actionable.

ara documentar e informar los hallazgos de una entrevista de auditoría, formulo conclusiones y recomendaciones basadas en los hallazgos, observaciones, causas fundamentales y riesgos identificados. Las conclusiones resumen si el auditado cumple con los criterios de la auditoría. Las recomendaciones sugieren acciones correctivas o preventivas que abordan las causas y riesgos detectados. Aseguro que mis conclusiones y recomendaciones estén alineadas con los objetivos, alcance y criterios de la auditoría, y que sean realistas, factibles y medibles, proporcionando así un camino claro para la mejora continua.

Compile your findings, analysis, conclusions, and recommendations into a structured audit report. Use a clear and concise writing style, and follow the organization's reporting format. Include an executive summary, detailed sections for each finding, and an appendix with supporting documents.

Para documentar e informar los hallazgos de una entrevista de auditoría, redacto el informe de auditoría siguiendo una estructura estándar. Incluyo un resumen ejecutivo, una introducción, el cuerpo principal y un apéndice. Uso un lenguaje claro, conciso y objetivo, evitando jerga, ambigüedad y sesgos. En el cuerpo del informe, presento los hallazgos, observaciones, conclusiones y recomendaciones, asegurándome de que sean comprensibles y útiles para el auditado y otras partes relevantes. Adjunto documentos de respaldo como listas de verificación, cuestionarios y gráficos para proporcionar una visión completa y detallada de la auditoría.

In order to clarity, accuracy and fulfilment of objectives audit preparation and documentation after interview is key for successful implementation and continually improve performance of system. firstly check audit objectives for area for which audit conducted pictures, notes processes, compliances, records, evidences, questions asked and observations reported during audit. once audit is over check findings with applicable standard, make non conformities, observations, conformity, opportunities for improvement etc. finally write the report using observation, applicable standard, criteria, impact and recommendations. follow up and review so that system can be continually improvement.

Para documentar e informar los hallazgos de una entrevista de auditoría, reviso y finalizo el informe de auditoría antes de presentarlo. Verifico el informe para detectar errores, omisiones o inconsistencias, y me aseguro de que cumpla con los requisitos, expectativas y estándares de auditoría. Solicito comentarios del equipo de auditoría, del auditado y de otras partes interesadas para mejorar la calidad y credibilidad del informe. Finalmente, aseguro que el informe esté firmado, fechado y distribuido según el plan de auditoría, garantizando su integridad y formalidad antes de su presentación.

Audit Observations / Findings must be based on Evidence against the regulatory requirements. Audit Interviews, Discussion can be noted as findings but only based on documented evidence. To make the perfect audit report follow the below steps, > Discuss with Management / Auditee on their process, documentation system, QMS & Quality Policies. > Cross check all discussion with available evidences > Review the System, Process, Documentation & QMS as per Regulatory requirements > Identify the gap the requirements vs. actual practice > Records gap as Observation / Findings with regulatory reference > Evaluate the risk of finding and categorise it > Prepare Audit Report first with Good Practices and then Observations > Submit report Thanks

Throughout the process, I ensured that the interview data was stored securely and access was limited to authorized personnel only. In the report, I anonymized the interview data to protect the identity of the interviewees, referring to them by their roles rather than by name. Maintaining the confidentiality and integrity of the interview data is crucial throughout the documentation and reporting process.