|
Stages one and two of seven
This is step 5 of 11 in the requirements set
out in ISO 19011. If you've been working your way through each
step/page of the guideline, congratulations, you're almost half-way
done.
Step 5 covers the methods needed to conduct the physical audit from
start to finish. If you haven't reviewed the previous four steps, I
recommend you do that now before proceeding through this step. Click
on the links at the bottom of the page for sections 1 - 4.
It's important to understand the proper sequence of events for
developing and implementing an internal audit process. It's also
important to have a clear understanding of the definitions of the
terms used. One of the most common problems found by certification
auditors is an incomplete or inadequately designed and implemented
internal audit program.
When the internal audit program is lacking proper structure and
implementation, the audits usually lack any meaningful results. When
a company has a good internal audit program and competent auditors
there should not be any unknown outcomes from the certification or
surveillance audits.
I'm not saying that you and the certification auditors will always
agree as to whether an issue or condition is okay or not. However,
the issue or condition itself must never be a surprise. If the
certification auditors find something that takes you by complete
surprise, the internal audit program needs to be improved.
Okay, here is the breakdown of step 5:
The audit activities usually consist of seven stages:
1) Initiating the audit
2) Conducting the document review
3) Preparing for the on-site audit
4) Conducting the on-site audit
5) Preparing, approving and distributing the audit report
6) Completing the audit
7) Conducting audit follow-up
Stages 1 and 2 are discussed here. Stages 3 through 7 are discussed
on these pages:
Stage
1 - Initiating the audit consists of the following activities:
a) Appointing the audit leader
b) Defining audit scope, objectives and criteria
c) Determining the feasibility of the audit
d) Selecting the audit team members
e) Contacting the auditee
Stage
2 - Conducting the document review:
The majority of an auditor's time is used to review the
documentation that applies to the process or processes to be audit.
The auditor must have a thorough understanding of what are the
process' inputs, actions, outputs and measurements.
An effective and competent auditor will not start the audit until
the process documentation and records have been reviewed and any
discrepancies explained or corrected. The document review should
provide evidence that the process(es) have been effectively planned
and methods of controlling and maintaining them are place.
The process documents/records should also show what monitoring and
measuring methods are used to determine if the process(es) are
effective at reaching their objectives/goals.
The links below are excerpts from the our
e-book "Explanations and Definitions
for ISO 19011:2002"
Section 1. ISO 19011 Scope
reference and definitions
Section 2. ISO 19011 Principles of
auditing
Section 3. ISO 19011 Managing an
audit program
Section 4. ISO 19011 Audit program
implementation
Section 6. ISO 19011 Preparing for
onsite activities
Section 7. ISO 19011 Conducting
onsite activities
Section 8. ISO 19011 What the
auditor is looking for
Section 9 ISO 19011 Audit
reporting
Section 10. ISO 19011 Audit
techniques
Section 11. ISO 19011 Audit path
Section 12. ISO 19011 Effective
communications
Section 13. ISO 19011 Sampling
Section 14. ISO 19011 Audit
completion and follow-up
Section 15. ISO 19011 Competence
and evaluation of auditors
This represents a summary of the section in ISO 19011:2002. It's
suggested that you obtain an actual copy of the standard to refer to
for auditing program purposes.
EBook
"Explanations and Definitions for ISO 19011:2002"
Online
ISO 9000 Introduction Course
Auditor Training:
Classroom
Online
Auditor Training
Courseware
What
is a Quality Management System?
What is ISO 9000?
What is ISO 9001?
What is ISO 9004?
|
