Dismiss Notice
You must be a registered member in order to post messages and view/download attached files in this forum.
Click here to register.

Leadership Internal Audit

Discussion in 'ISO 9001:2015 - Quality Management Systems' started by Vicki Sherlock, Jan 19, 2017.

  1. Vicki Sherlock

    Vicki Sherlock Member

    Joined:
    Nov 11, 2016
    Messages:
    5
    Likes Received:
    0
    Trophy Points:
    1
    As part of the transition to the new standard I am putting together the format which the Leadership Internal Audit will take.

    What I want to know is what format others are taking with this and what sort of evidence would you be looking for when doing the internal audit?

    Would just interviewing members of the leadership body fulfil the requirements provided they mentioned all the right things connected to the leadership clause or does there have to be documented evidence somewhere to prove their commitment?
     
  2. Andy Nichols

    Andy Nichols Moderator Staff Member

    Joined:
    Jul 30, 2015
    Messages:
    3,677
    Likes Received:
    1,861
    Trophy Points:
    112
    Location:
    In the "Rust Belt"
    Hello Vicki!

    Can I ask why you are doing this audit, apart from the need to transition? It would seem that you are auditing a clause of the standard only. I'd be more inclined to audit management as part of an audit of the process(es) as with lots of other of the new requirements which support those processes. Auditing section 5 by itself may not reveal much...
     
    ncwalker likes this.
  3. Jennifer Kirley

    Jennifer Kirley Moderator Staff Member

    Joined:
    Jul 31, 2015
    Messages:
    867
    Likes Received:
    608
    Trophy Points:
    92
    Location:
    USA
    Format? I do not understand that question.

    With the expectation of "demonstrating conformance to the standard" and the lack of so many "shalls" in previous versions, "demonstrating" can mean a review of a combination of documented information where it is required, interviews and physical observation of conditions. These three (or two of the three where only two are needed) should "align" in order to "demonstrate" - that is, prove the expectations within the leadership clauses are being fulfilled.
     
  4. PSRiordan

    PSRiordan Member

    Joined:
    Dec 14, 2016
    Messages:
    13
    Likes Received:
    9
    Trophy Points:
    2
    Never been a fan of a "Management responsibility" or "Leadership" audit. As Andy points out, leadership's support will be evident (or not) as the processes are audited.
     
    ncwalker and Jennifer Kirley like this.
  5. Vicki Sherlock

    Vicki Sherlock Member

    Joined:
    Nov 11, 2016
    Messages:
    5
    Likes Received:
    0
    Trophy Points:
    1
    Hi,

    Thanks for the responses. The only reason I was asking is during the transition training I undertook they made it seem like we had to audit leadership in a separate audit from what was already being done.

    If I can include this as part of the normal process audits which I have been doing then I will look to do that instead.
     
  6. Andy Nichols

    Andy Nichols Moderator Staff Member

    Joined:
    Jul 30, 2015
    Messages:
    3,677
    Likes Received:
    1,861
    Trophy Points:
    112
    Location:
    In the "Rust Belt"
    Well, you now know that the instructor/training org has no clue about how to audit...(was it your CB who provided the training?)
     
  7. Vicki Sherlock

    Vicki Sherlock Member

    Joined:
    Nov 11, 2016
    Messages:
    5
    Likes Received:
    0
    Trophy Points:
    1
    Yeah it was the CB who provided the training. Normally good to take it with a pinch of salt but they put a lot of emphasis on auditing leadership during the training.
     
  8. Andy Nichols

    Andy Nichols Moderator Staff Member

    Joined:
    Jul 30, 2015
    Messages:
    3,677
    Likes Received:
    1,861
    Trophy Points:
    112
    Location:
    In the "Rust Belt"
    I'm thinking this is a reflection of their internalized training - typically auditors haven't engaged top management and, now there's no designated management representative, there's nowhere to hide...
     
    Vicki Sherlock likes this.
  9. Jennifer Kirley

    Jennifer Kirley Moderator Staff Member

    Joined:
    Jul 31, 2015
    Messages:
    867
    Likes Received:
    608
    Trophy Points:
    92
    Location:
    USA
    I can offer that there has been increased...exhortation to include top management in audits. That could be intended to help determine, via "demonstration" that the leadership clause expectations have been fulfilled. I want to stress that the top managers' interview data are but one set of audit inputs used to determine the effective conformance to leadership clauses.
     
  10. tony s

    tony s Well-Known Member

    Joined:
    Sep 10, 2015
    Messages:
    1,171
    Likes Received:
    867
    Trophy Points:
    112
    Location:
    Laguna Philippines
    In auditing top management I would ask questions like:
    • did you define strategic directions to support the overall aspiration (e.g. vision) of your organization?
    • in establishing these strategic directions, were you able to consider the risks and opportunities?
    • how are these strategic directions translated into measurable objectives?
    • have you defined objectives relevant to the needs and expectations of relevant interested parties?
    • how do you ensure that actions are planned to ensure achievement of the set objectives?
    • what resources do you provide to support realization of the plans to achieve the set objectives?
    • how and when do you review the performance of your QMS?
    • what improvements have been made?
    By asking the above questions I have also touched the relevant clauses of ISO 9001 concerning the roles and responsibilities of the top management.
     

Share This Page