Download 05 - Audit Summary (WI 29 Annexes)

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AUDIT SUMMARY
(WI 29 ANNEXES A-C)
Auditor Information
• Website/Auditors Area
• TQCSI Forums (www.tqcsi.com/forums) –
General, QA, EMS, OHS, FS, Health, ROs
• ISO Systems Policies
• Audit Pack emails
• respective WIs
• respective Standard.
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Stage 1 & Follow-Up Audits
• review amended Presentation in Auditor
Training - #03.
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Stage 1 Audits
• it’s not part of the Stage 2 Audit!
• respective Checklist must be completed
between the Stage 1 & Stage 2 Audits
• Audit Summary - only sections with *.
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Follow-Up Audits
• only review the major NCRs (although a
major NCR might be a total systemic failure)
• other minor NCRs & Disc as time allows
• Audit Summary – scope, documentation,
section relevant to major NCR, outstanding
action & recommendation
• always list Outstanding NCRs & Disc.
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AUDIT SUMMARY
WI 29:
• Annex A – QMS/EMS/SMS
• Annex B – FSMS/FSSC/HACCP
• Annex C – ISMS/AMS
• have it next you when drafting the audit report
• each subject listed must be discussed in the
respective section.
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Which Sections?
• topics not in italics are compulsory for all
audits
• topics in italics are optional but compulsory
for SA & TA
• those sections marked with an asterisk (*) are
only required for Stage 1 Audits.
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Scope of the audit?
• list major process – don’t just regurgitate the
Capability Description & don’t just refer to it
• N/A clauses, no exemptions
• boundaries of certification.
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Documentation?
• list versions of main documents reviewed
• this should be the only part of the Audit
Summary referring to form/record numbers
and dates, etc - the rest of the Report should
read fluently
• effectiveness of doc control.
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Context of the organisation?
• often not addressed correctly
• clients don’t have to document issues and
interested parties but it’s a good idea for a
starting point in MR for their review
• System implementation.
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Auditing ‘Context of the organisation’
• often reviewed at Entry Meeting or discussion
with GM
• most mature businesses would comply but it
is a reference for other parts of the Standard
• eg 9001, 4.3 – scope & 6.1.1 – risks &
opportunities.
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Leadership?
• Policy and roles
• QMS – customer focus SA/TA
• FSMS - FST.
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Planning?
• risks and opportunities – QMS not
documented
• objectives and targets – must be documented.
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Auditing ‘Planning’
•
•
•
•
QMS - risks and opportunities
EMS – Env Aspects & Impacts Register
SMS – Hazards Register
QMS/EMS/SMS - objectives and targets.
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Support?
•
•
•
•
employees
communication
calibration
SA/TA - resources for operations not just the
System
• SA/TA – organisational knowledge - not
documented.
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Auditing ‘Organisational knowledge’
• discussion during audit with respective
managers
• look for risks (eg 30 year Factory Manager,
specialised staff, particular technology, etc)
• almost supersession plan but no requirement
• courses, qualifications, outsourcing,
mentoring, redundancy training
• doesn’t have to be documented.
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Operations?
•
•
•
•
•
•
operational processes
emergency plans (EMS/SMS)
NCRs, complaints, trends
external providers
SA/TA – QMS – a number of extra issues
coded audit to audit Operations.
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Performance evaluation?
• what is monitored/measured, KPIs
• EMS/SMS – compliance evaluation.
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Effectiveness of internal audits?
•
•
•
•
•
when is it an NCR – 18 month rule
schedule, last done
issues raised, followed up
reliance
process effective.
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Effectiveness of management review?
•
•
•
•
when is it an NCR – 18 month rule
schedule, last done
issues raised, followed up
effectiveness of process.
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Improvement?
•
•
•
•
how NCRs, env/OHS incidents reported
customer complaints trend, handled
corrective action
root cause analysis.
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Program specific?
• discuss progress towards meeting the
requirements of the new Standards (eg 2015)
• 9001 – capability to repeatedly produce
• 14001 – significant env aspects/impacts
• 4801 – significant OHS risks, Hazards
Register.
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Significant changes & positive aspects?
• significant changes since last audit – staff,
processes, plant/equipment, System
• for TAs – significant changes since last TA!
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Effectiveness of the system?
• maturity, effectiveness of System
• achievement of objectives
• employee involvement in System.
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Risk statement?
• risk to certification if NCRs have been raised!
• legal requirements
• standard phrase.
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Intended improvements?
• improvements to the business
• not about addressing this audit’s findings.
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Comparison with previous audits?
• compares similarly or favourably or less
favourably
• standard phrase.
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Outstanding action?
• what’s outstanding – discuss important issues.
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Issues raised this audit?
• standard phrases
• summarise most important issues.
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Recommendation?
• certification, continued certification or recertification
• standard phrases.
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TQCSI
Thank you!
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