Adding to Your Audit Program

New Standards/New Processes

When you choose expand your management system to new standards, add processes, update your system to standard changes there are a few steps you should consider.

Auditors

Your audit team will need training on the new standard requirements. Train your team on the requirements, on the organization of the standard, and on the application to your company. Note: Quest Analytical provides internal auditor training based on your company’s processes and procedures. Auditor Training

Revise your existing audit procedure

The organization of the standard has an impact on how you plan and schedule the audits.

  • Will you audit by area or processes of your organization?
    • Will you be auditing connectivity between processes?
  • Or will you audit by clause of the standard?

 

Auditing By Area

You will need to identify what clauses of the standard apply to each area.

Auditing By Clause

Identify what areas have responsibility for each clause. There are many areas with responsibilities for each clause. An audit organized by clause will be moving into different areas of the company.

Process Auditing

When you audit through a process including inputs & outputs, you are performing process audits. These should be carefully planned after you have clearly defined your processes. You may have to audit smaller pieces, but you will get a more in-depth audit and should find the broken links between processes within your management system. More information about process auditing.

Develop Checklists

Identify the processes to address the changes in your management system. Create checklists based on the standard requirements. Tailor it to your organization. Checklists with detail on the requirements will help your auditors be consistent in their interpretations.

EXAMPLE QUESTIONS FOR YOUR CHECKLISTS

Note: these are examples only and not meant to be all inclusive.

General Requirements

Where are the processes needed for the management system identified?
Have the sequence and interaction of the processes been determined?
What criteria and methods will be used for operation and control of the processes?

Management

How does management ensure that customer needs and expectations are determined, converted into requirements and fulfilled?
Does this include customer obligations related to the product-including regulatory?
Does the management system policy address all the requirements of the standard?
Does the policy provide a framework for establishing and reviewing objectives?
How does the management representative promote customer awareness?
Does the management system manual include a description of the sequence and interaction of the processes included in the management system?
Does Management Review consider changes that could affect the management system?
Are there records of the output of management review? Do they include:

  • Actions to improve the management system and its processes
  • Improvement of product related to customer requirements

Resources

Can the organization demonstrate that resources are provided to address customer satisfaction?
Are they provided in a timely manner?

Human Resources

Has the organization evaluated the effectiveness of training provided?
Has the organization ensured that its employees are aware of the relevance and importance of their activities and how they contribute to achievement of the objectives?

Planning

Has the organization planned for realization of product?
Does it include product objectives?
Does it include the need to establish processes and documentation; provide resources and facilities specific to the product?
Does the plan for measurement and monitoring to ensure conformity and achieve improvement identify the need for and use of statistics?

Customer Requirements

Does the identification of customer requirements include

  • Product requirements not specified by the customer, but necessary for the intended or specified use
  • Obligations related to product, including regulatory and legal requirements

Review of product requirements

Does the organization confirm customer requirements when the customer does not provide a documented statement of requirement?

Customer Communication

Has the organization identified and implemented arrangements for communication with customers relating to:

  • Product information inquiries
  • Contracts or order handling including amendments
  • Customer feedback including complaints

Purchasing Control

How has the organization determined the extent of control of purchasing processes?
Is it dependent on the effect on subsequent realization processes and their output?

Customer Property

Has the organization applied the care of customer supplied property to intellectual property?

Preservation of Product

Has the organization validated any process where resulting output cannot be verified?
Does verification include:

  • Qualification of process
  • Qualification of equipment and personnel, use of defined methodologies and procedures, requirements for records revalidation

Customer Satisfaction

Is the organization monitoring information on customer satisfaction and dissatisfaction?
Where are the methodologies for obtaining and using this information defined?
Has the organization analyzed appropriate data to determine:

  • Suitability and effectiveness of the management system
  • Actions to improve the management system and its processes
  • Improvement of product related to customer requirements

 

Please contact us for more example audit questions.