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Audit Checklist Development

Discussion in 'ISO 9001:2015 - Quality Management Systems' started by Nitish Bhatia, Sep 10, 2019.

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  1. Nitish Bhatia

    Nitish Bhatia Member

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    I really like your approach.
    Please guide me sir.
     
    Nitish Bhatia, Sep 11, 2019
    #21
  2. Andy Nichols

    Andy Nichols Moderator Staff Member

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    It all starts with management. TO be a good auditor, you really need to become competent, and that starts with training, which needs some money to be allocated. You have to address why management would invest in you becoming trained to audit. Can you identify where investing in your training can save money? Or does your employer have a training budget which is discretionary and could be used to fund your training?
     
    Andy Nichols, Sep 11, 2019
    #22
  3. tony s

    tony s Well-Known Member

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    I just wonder why are asking for the standard color to document the quality policy, mission and vision statements, if you have the copies of the standards.
     
    tony s, Sep 11, 2019
    #23
  4. RoxaneB

    RoxaneB Moderator Staff Member

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    My instinct says Nitish is asking because he wants to know if the policy, etc. has to be formatted in a certain way. No, there is no requirement that mandates a particular font size or colour or text alignment.

    This is why, Nitish, we keep mentioning training. Training would answer many of your questions and get you on the right track to doing what you need to do. Yes, we can help out here, but going on the training would highlight what you do need to know and your questions would be more relevant to what you are trying to audit and/or develop.
     
    RoxaneB, Sep 11, 2019
    #24
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  5. Nitish Bhatia

    Nitish Bhatia Member

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    Thanks mam, U caught me well!!
     
    Nitish Bhatia, Sep 12, 2019
    #25
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  6. Nitish Bhatia

    Nitish Bhatia Member

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    Hi...
    As per the standard is it manadatory to document the qualifications of auditor and lead auditor
     
    Nitish Bhatia, Sep 19, 2019
    #26
  7. Andy Nichols

    Andy Nichols Moderator Staff Member

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    Nitish: Can you find the words "qualifications" or "lead" auditor in your copy of the standard? Specifically in clause 7.2 (or 9.2.2)? I'm guessing not. You are required to determine the competency of roles, which may include the internal auditor(s) and show if they meet those competency requirements.
     
    Andy Nichols, Sep 19, 2019
    #27
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  8. Nitish Bhatia

    Nitish Bhatia Member

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    Hii.
    Presence of the functional heads is must for external audit?? or some other departmental members may be the auditee??
     
    Nitish Bhatia, Sep 24, 2019
    #28
  9. Andy Nichols

    Andy Nichols Moderator Staff Member

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    It depends, really. What do YOU think should happen?
     
    Andy Nichols, Sep 24, 2019
    #29
  10. Nitish Bhatia

    Nitish Bhatia Member

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    Functional heads are mostly busy with operational sites, as I am acting as Management Representative I may proceed for the same
     
    Nitish Bhatia, Sep 25, 2019
    #30
  11. Andy Nichols

    Andy Nichols Moderator Staff Member

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    How long is the audit? They can't organize themselves to be there? Really? Why are you doing something that's not required? Why do you feel the need to take responsibility for other peoples' processes?

    Do they understand their roles in demonstrating the system. Do they understand that not being present to demonstrate their processes and leaving it to you is NOT what the QMS is about. DO they realize they are putting the QMS and hence certification in jeopardy?
     
    Andy Nichols, Sep 25, 2019
    #31
  12. tony s

    tony s Well-Known Member

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    Not mandatory. But they have to be accountable for whatever audit findings an auditor will generate from the evidences presented by the people left to deal with the auditor.
     
    tony s, Sep 26, 2019
    #32
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  13. Nitish Bhatia

    Nitish Bhatia Member

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    hello sir, We have passed the ISO stage 1 audit of Integrated management system., Please guide me for the stage 2
     
    Nitish Bhatia, Nov 2, 2019
    #33
  14. tony s

    tony s Well-Known Member

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    Secure an Audit Plan from your CB. This will somehow provide your organization, not just you, the audit objective, scope, the areas, processes and the criteria that your CB auditor will cover. Once the Audit Plan is obtained, prepare the evidences relevant to the criteria that are specified. I am assuming that your organization had already generated adequate evidences to demonstrate conformity.
     
    tony s, Nov 2, 2019
    #34
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  15. Nitish Bhatia

    Nitish Bhatia Member

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    Many of the documents as evidence has been checked in stage 1 for three standards i.e 9001:2015, 14001:2015,45001:2018.
    Similar kind of process will be followed in stage 2 with broader aspect?
     
    Nitish Bhatia, Nov 2, 2019
    #35
  16. tony s

    tony s Well-Known Member

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    You're not supposed to rely on the CB audits to determine conformity. Stage 1 is just a review of the organization's readiness for stage 2. Typically, CB auditors will look for the management system manual, the usual procedures (e.g. document control, corrective action, internal audit, etc.), description of the scope, documented objectives, internal audit and management review records.

    Stage 2 will be more exhaustive. The CB auditor will now look for evidence of effective implementation. Process owners, not just the management representative, including the top management will be interviewed and requested to provide evidences of conformity with the relevant requirements (i.e. organization's own, customers, standards and regulatory). More time will be allotted for this audit stage.
     
    tony s, Nov 2, 2019
    #36
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  17. Jennifer Kirley

    Jennifer Kirley Moderator Staff Member

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    How will they better demonstrate their support of the QMS than to be present for this important event?
     
    Jennifer Kirley, Nov 2, 2019
    #37
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  18. Nitish Bhatia

    Nitish Bhatia Member

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    Thanks to you all , we successfully completed the stage 2 for IMS . you gave many inputs that helped me alot to complete the process
     
    Nitish Bhatia, Nov 19, 2019
    #38
  19. Andy Nichols

    Andy Nichols Moderator Staff Member

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    Excellent! Were the management team available?
     
    Andy Nichols, Nov 19, 2019
    #39
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  20. John C. Abnet

    John C. Abnet Well-Known Member

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    John C. Abnet, Nov 19, 2019
    #40
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