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AUDITING COMMUNICATION
Consider:
- Identification of “key” positions – eg: personnel whose work way have affect on quality
- Whether internal communication methods and lines of communication have been identified and
established between positions
- Whether communications are effective in practice
CONTINUAL IMPROVEMENT
- suitability
- adequacy
- effectiveness
FOR AUDITORS …
Information from the improvement processes provides evidence that the QMS:
AUDIT
Systemic, independent and documented process for obtaining audit evidence and evaluating it
objectively to determine the extent to which audit criteria are fulfilled. (ISO 19011)
AUDIT EVIDENCE
Records, statement of fact or other information relevant to the audit criteria and verifiable (ISO 19011)
PRINCIPLES OF AUDITING
- integrity
- fair presentation
- due professional care
- confidentiality
- independence
- evidence-based approach
documented information to be retained as evidence of the implementation of audits and audit results
AUDITOR RESPONSIBILITIES
Responsibilies:
- review information
- prepare work documents
- comply and communicate audit requirements
- stay in scope
- collate evidence
- document nonconformities
- report findings
- safequard documents
AUDIT OBJECTIVES
INCLUDE:
AUDIT SCOPE
- clause in standard
- process
- physical locations
- legislation
- significant aspect
- procedure
- combination
AUDIT CRITERIA
INCLUDES:
- applicable standards
- policies
- procedures
- regulations
- legislation
- management system requirements
- industry/business sector codes of conduct
AUDIT CHECKLIST
Purpose
To :
Consider :
1. sources of information
gathering and selecting (document review, interviews, observations) by appropriate sampling
2. information
verifying
3. audit evidence
evaluiating against audit criteria
4. audit findings
reviewing
5. audit conclusions
AUDIT EVIDENCE
Records, statements of fact or other information which are relevant to the audit criteria and verifiable
(ISO 19011:2011)
- people
- processes
- equipment/tools/materials
- documentation
SAMPLING
- no sampling plans
- no statistical method
AUDIT FINDINGS
- identified
- documented
- recorded
- evaluated against audit criteria to determine audit finding
OPENING MEETING
To :
QUESTIONING TECHNIQUES
Do not :
- be side-tracked
- be led or misled
- get “bogged down”
- let auditee dictate the pace of the audit
- make assumptions or presumptions
Do:
- be prepared
- be punctual
- insist on person questioned answers for them selves
- as little talking as necessary
- avoid misunderstandings
- keep questions clear and concise
- be polite and calm
- thank the auditee
BE AWARE OF:
- aggressive auditees
- timid auditees
- missing people
- missing documents
- pre-prepared samples (choose your own)
- special cases
- local issues ad cultural customs
- emotional blackmail
AUDIT REVIEW
AUDIT FINDINGS
- Nonconformity
- Opportunity for improvement (observation)
NONCONFORMITY
A NONCONFORMITY
May be a failure to :
A FINDING STATEMENT
Includes : [ PLOR EXTERNAL AUDIT ]
- Overview of finding
- Description of nonconformity (PROBLEM)
- Example of audit evidence (OBJECTIVE EVIDENCE)
- LOCATION
- Summary of requirement (REFERENCE)
A form used to :
- Report nonconformities
- Classify nonconformities
- Record acceptance of nonconformities
- Record actions to correct nonconformities
- Record auditor acceptance of corrective actions taken
CARS CONTAIN
AUDIT REPORT
Should include :
CLOSING MEETING
# Internal Audit
- Informal
- Constructive
- System improvement
# Present all findings and evidence carefully, and precisely
CORRECTIVE ACTION
ISO 19011
CONTINUAL IMPROVEMENT