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Internal Quality Audit Course PERFORMING AUDIT STQC CERTIFICATION SERVICES (EASTERN REGION)

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Presentation on theme: "Internal Quality Audit Course PERFORMING AUDIT STQC CERTIFICATION SERVICES (EASTERN REGION)"— Presentation transcript:

1 Internal Quality Audit Course PERFORMING AUDIT STQC CERTIFICATION SERVICES (EASTERN REGION)

2 INTERNAL QUALITY AUDIT PERFORMING AUDIT Key issues Right persons / Auditee Representative samples Right Questions Handling Audit Trails Taking notes Recognising Non-conformance * Understanding of above issues helpful in controlling audit time STQC CERTIFICATION SERVICES (EASTERN REGION)

3 INTERNAL QUALITY AUDIT Right Auditee Responsibility /Authority Activities Maintaining records Danger of Hearse Loss of Time Omission of Audit scope STQC CERTIFICATION SERVICES (EASTERN REGION)

4 INTERNAL QUALITY AUDIT Representative Samples Considerations Activities performed most of the time What happens during Crisis STQC CERTIFICATION SERVICES (EASTERN REGION)

5 Representative Samples Aspects providing inputs Quality Manual /Other documents Checklists Important process stage Records originated / Maintained Personnel involved STQC CERTIFICATION SERVICES (EASTERN REGION)

6 Representative Samples Strategy to follow Horizontal Vertical Up/ Down Stream Mixed More Samples examined in Horizontal Approach STQC CERTIFICATION SERVICES (EASTERN REGION)

7 ISO 17025:1999 audit consists of two parts System audit Technical audit STQC CERTIFICATION SERVICES (EASTERN REGION)

8 AUDIT TECHNIQUES Documentation/ record review Interview with personnel Observation of work in progress/witnessing test/ calibration Examination of resources Inspection/re-inspection of products (actually getting carried out test/calibration jobs) STQC CERTIFICATION SERVICES (EASTERN REGION)

9 ISO 9000 IN EDUCATIONAL & TRAINING INSTITUTE AUDIT TECHNIQUES Horizontal audit: more aspects to be covered Vertical audit: few aspects to be covered in more depth STQC CERTIFICATION SERVICES (EASTERN REGION)

10 Thematic Questions Expansive Questions Opinion Questions Investigative Questions Repetitive ( Dumb ) Questions Hypothetical Questions Closed Questions For logical conclusions Leading questions Establishing Rapport with Auditee More Open-ended Questions Avoid Repetitive Questions Caution with asking Hypothetical & closed Questions STQC CERTIFICATION SERVICES (EASTERN REGION) Asking Right Questions

11 Internal Quality Audit Course Internal Quality Audit Course Audit Trails Responsibilities & Authorities defined for activities Reference to specified requirement Decision to persue Within the area With other Dept./Areas STQC CERTIFICATION SERVICES (EASTERN REGION)

12 Internal Quality Audit Course Recognizing Non-conformance What could go wrong if the non-conformance remains uncorrected What is the likelihood of such a thing going wrong Seriousness on Non-conformance can then be judged STQC CERTIFICATION SERVICES (EASTERN REGION)

13 Internal Quality Audit Course Recognizing Non-conformance Minor Isolated case Minor problem area which warrants attention Major Significant deviations from Standard requirements Break down of Quality System in a Dept./Area Significant quantity of MINORS STQC CERTIFICATION SERVICES (EASTERN REGION)

14 Audit Process Issues /Practices to be avoided Personal Bias Desk Audit : Audit where the action is Competence Issue : Handle discreetly Personal identity Token discrepancy STQC CERTIFICATION SERVICES (EASTERN REGION)

15 Additional Tips Speak and ascertain from right people Avoid Hear-say Be nosey, but polite Control Audit time STQC CERTIFICATION SERVICES (EASTERN REGION)

16 INTERNAL QUALITY AUDIT Audit Reporting STQC CERTIFICATION SERVICES (EASTERN REGION)

17 INTERNAL AUDIT COURSE Audit Reporting Reporting on COMPLIANCE Reporting on NON-COPLIANCE ( Non-compliance) STQC CERTIFICATION SERVICES (EASTERN REGION)

18 INTERNAL AUDIT COURSE Taking notes Recording Audit sample examined for Dept. audited - Persons contacted - ISO 9000 Clauses involved - Area seen - Process stage involved - Documents examined - Records verified - Audit trails identified/followed - Compliance/Non-compliance - Reference of non-compliance STQC CERTIFICATION SERVICES (EASTERN REGION)

19 INTERNAL AUDIT COURSE Taking notes Record aspect to be followed up in next assessment Positive reporting helps to determine depth in Auditing, Basis for selecting sample and judging system EFFECTIVENESS STQC CERTIFICATION SERVICES (EASTERN REGION)

20 INTERNAL AUDIT COURSE STQC CERTIFICATION SERVICES (EASTERN REGION) AUDIT REPORTING FORMAT AREA/ACTIVITY OF AUDIT : SIGNATURE OF AUDITOR

21 INTERNAL AUDIT COURSE Non-compliance Reports May be reviewed at various stages Audit Subsequent review with MR/ Assessment team Management review (Internal Audit) Closing Meeting ( External Audit ) Subsequent reference by organisation, Certification body, next assessment team Some one has to take corrective action Raising Non-conformance reports thus assumes special significance STQC CERTIFICATION SERVICES (EASTERN REGION)

22 INTERNAL AUDIT COURSE Recording of Non-compliance Reports Aspect to be considered Exact observation of the facts Where was it found ? What was found ? Why it is a Non-compliance ? Who was there ? Use local Terminology Make it retrievable Make it helpful ( Only in Internal Audit ) : WHY ? STQC CERTIFICATION SERVICES (EASTERN REGION)

23 INTERNAL AUDIT COURSE STQC CERTIFICATION SERVICES (EASTERN REGION) NON-CONFORMANCE REPORTING FORMAT AREA/ACTIVITY OF AUDIT : DATE: SIGNATURE OF AUDITOR SIGNATURE OF AUDITEE

24 INTERNAL AUDIT COURSE STQC CERTIFICATION SERVICES (EASTERN REGION) NON-CONFORMANCE REPORTING FORMAT AREA/ACTIVITY OF AUDIT : DATE: SIGNATURE OF AUDITOR SIGNATURE OF AUDITEE

25 INTERNAL AUDIT COURSE Recording of Non-compliance Should be SIMPLE CRISP NEATLY WORDED Non-compliance should not be subjected to INTERPRETATION STQC CERTIFICATION SERVICES (EASTERN REGION)

26 INTERNAL AUDIT COURSE Summary Report DEPT/AREA/ACTIVITY AUDIT NONCONFORMANCE REPORTS AUDIT TEAM DATES OF ACTUAL AUDITS TOTAL NUMBER OF NON-CONFORMANCES NO OF NON-CONFORMANCES DUE SYSTEM NOT DEFINED NO OF NON-CONFORMANCES DUE SYSTEM NOT IMPLEMENTED NO OF NON-CONFORMANCES DUE SYSTEM NOT IMPLEMENTED SUMMARY STQC CERTIFICATION SERVICES (EASTERN REGION)

27 INTERNAL AUDIT COURSE SYSTEM EFFECTIVENESS Informed judgement of Assessors STQC CERTIFICATION SERVICES (EASTERN REGION)

28 INTERNAL AUDIT COURSE SYSTEM EFFECTIVENESS Information from Internal failures Possibilities Avoidable changes in drawings, Documents /POs Avoidable reworks, concession scraps etc. STQC CERTIFICATION SERVICES (EASTERN REGION)

29 INTERNAL AUDIT COURSE SYSTEM EFFECTIVENESS Information from External failures Possibilities Trends in Customers complaints Status on Corrective actions arising out of external audits STQC CERTIFICATION SERVICES (EASTERN REGION)

30 INTERNAL AUDIT COURSE SYSTEM EFFECTIVENESS Trends Staff attitude to Management Access of MR to Management Dressing up of non-compliances for TOP Management STQC CERTIFICATION SERVICES (EASTERN REGION)

31 INTERNAL AUDIT COURSE SYSTEM EFFECTIVENESS Trends Management attitude Status on Audit Report - Commitment STQC CERTIFICATION SERVICES (EASTERN REGION)

32 INTERNAL AUDIT COURSE SYSTEM EFFECTIVENESS Trends Effectiveness in Management review Meeting Q. Policy & Objectives Adequacy in Internal Quality audit Matching with external audit STQC CERTIFICATION SERVICES (EASTERN REGION)

33 INTERNAL AUDIT COURSE SYSTEM EFFECTIVENESS : Audit Report(External Audit) Name of the Organisation Scope of the Assessment Participation in Closing Meeting Nos of Non-Conformances Observed - No of Major - Nos. Of Minor - Nos. Minor as major - Nos where system not defined - Nos where system not implemented - Nos. Where practice not effective Summary ( Informed Judgement ) in 200 words Nos. Of Non-conformances closed out during Assessment Areas not reviewed / not applicable Recommendation STQC CERTIFICATION SERVICES (EASTERN REGION)

34 INTERNAL AUDIT COURSE THANK YOU STQC CERTIFICATION SERVICES (EASTERN REGION)


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