Audit – what it means to a company

16.09.2010 Manex Berzosa, Johanna Koch 1

 Overview

1. Introduction
2. Quality Audit
3. Types of Audits
4. Audit Stages

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 1. Introduction

ISO 9000:2005
Basic principles & Expressions

ISO 9001:2009 Quality ISO 9004:2009

Requirements Management Guideline of
& System performance enhancing
Documentation

ISO 19011:2002
Guideline for Audit

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 2. Quality Audit

What it is: systematic and independent examination

Purpose: to determine  quality activities comply

with planned arrangements
 arrangements are implemented effectively

Application: management tool

Kinds of : statically audits

dynamically audits

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 2. Quality Audit

Prevention of accumulated errors

Performance
fullfillment

Quality Audit
Quality Audit avoided deviation

Quality Audit
avoided deviation

avoided deviation

time

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 3. Types of Audits

System audit: applicable elements of the quality

system

Process audit: completeness & correctness of conditions

Product audit: product specifications

performance standard
customer requirements

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 3. Types of Audits

Internal Audit: first party audit

strengths & weaknesses of procedures, methods

External Audit: second or third party audit

Second party audit: performed on supplier

by a customer

Third party audit: performed on a supplier

by an accredited organisation

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 4. Audit Stages
Initiating the audit

Conducting document review

Preparing for the on-site audit activities

Conducting on-site audit activities

Preparing, approving and distributing the audit report

Completing the audit

Conducting audit follow-up

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 4. Audit Stages

Initiating the audit:

- Appointing the audit team leader

- Defining audit objectives, scope and criteria
- Determining the feasibility of the audit
- Selecting the audit team
- Establishing initial contact with the auditee

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 4. Audit Stages

Conducting document review:

- Reviewing relevant management system documents and

determining their adequacy with respect to audit criteria

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 4. Audit Stages

Preparing for the on-site audit activities:

- Preparing the audit plan

- Assigning work to the audit team
- Preparing work documents

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 4. Audit Stages

Conducting on-site audit activities:

- Conducting the opening meeting

- Communication during the audit
- Roles and responsibilities of guides and observers
- Collecting and verifying information
- Generating audit findings
- Preparing audit conclusions
- Conducting the closing meeting

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 4. Audit Stages

Preparing, approving and distributing the audit report:

- Preparing the audit report

- Approving and distributing the audit report

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 4. Audit Stages

Completing the audit:

- All activities described in the audit plan have been carried out
- The approved audit report has been distributed

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 4. Audit Stages

Conducting audit follow-up:

- The conclusions of the audit may indicate the need for

corrective, preventive or improvement actions, as applicable
- The completion and effectiveness of corrective action should
be verified

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 Thank you for your attention!

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 Sources

Google books
Mills, Charles A.
The quality audit – a management evaluation tool, 1. Edition, Mc Graw Hill
Wübbelmann, Klaus
Management Audit, 1,Auflage, Gabler, 2001, Wiesbaden

Other sources
Eissler, Ralf
Qualitätsmanagement, 1.Auflage, Konstanz

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