Audit Management Quality Assurance Audit n n Audits

Audit Management Quality Assurance

Audit n n Audits are expensive Audits must be well managed Audits must not be carried out ‘by surprise’ Always agree mutually convenient dates well in advance

Gathering Information Planning & Preparations Opening Meeting Audit Closing Meeting Follow-up

Audit Management n n Preparation Performance Reporting Follow-up 40% 10%

Audit Client Auditor(s) Auditee Organisation

Brief from the client n n n Organisation to be audits Scope of the audit Reason for the audit Audit criteria Dates, duration, size of team (3 rd party)

Audit Criteria n n n Standard Contractual specification QMS documentation Quality plan Other

Information on auditee n n What do they do? How big are they? Complexity of operations Assess the likelihood of a successful site audit

Gathering information n n n Pre-audit communication Documentation review Sales literature Questionnires Pre-audit visit Contract review in the case of certification

Pre-audit visit n n n Gathering information Establish personal contract Establish report Explain scope, purpose & methods Prevent problems

Planning n n n n Determine amount of work Number of man-days (IAF guide) Select the team Prepare plan Prepare working documents Keep auditee advised, agree date and time Logistics

IAF Guidance (EA-7/01 -1998) Number of employee <5 5 -9 10 -19 20 -29 30 -59 60 -100 100 -250 250 -500 500 -1000 -2000 -4000 -5000 IA Man-days SV Man-days RA-Man-days Total Site 2 2. 5 3 4 6 7 8 10 12 15 18 21 1 1. 5 2 2. 5 4. 5 5 6 7 9 12 14 17 1 1. 5 2 2 2. 5 3 4 5 6 7 0. 5 1 1. 5 2 2 3 4 5 5 1. 5 2 3 4 4 5 6 8 10 12 14 1 1 1 2 2. 5 3 3 4. 5 5. 5 6. 5 8 9

Selection of team n n Independence Specialised skills Team cohesion Training needs n n Career development Acceptability to auditee Availability language

System approach to audit planning n Mapping the system n n n Process Inputs & Outputs Controls Sequence Interactions Prepare plan

Audit Plan Matrix

Audit Plan n n Scope Criteria Date & duration Audit team n n Detailed timetable Matrix plan Audit team requirements Remember to cover shifts

Prepare working documents Checklists n Forms n Standard n Guidelines n

Notify the auditee-send: Audit plan n Timetable n Matrix plan n Checklists n

Notify the team: Dates & duration n Detailed plan n Matrix plan n Individual tasks n Results of quality manual review n Any special requirements n

Logistics: Travel & accommodation n Trivate office space n Interpreters n

Meetings: Opening meeting n Closing meeting n Wash-up meeting n Team liaison meeting n

Opening & Closing Meetings: Be prepared & on time n All team participates n Auditee senior management (minimum Management Rep. ) n Team Leader chairs the meeting n

Opening meeting agenda: n n n Introduce the team Reason, scope & criteria Review audit plan and methods Explain about sampling Confidentiality Method of reporting n Grading of NCR