AS9100 Internal Audit Reporting to Management

J

Jeff Frost

#1
During our last certification maintenance audit (my term) they noted in the report that "while internal audit summaries are presented at management review, the result of internal audit could be more clearly documented at this meeting". I am looking for a few best practices for documenting audit results in a better fashion.

Company I am working for is AS9100B registered and we are currently working on TS 16949 so I am sure that each assessor will be looking at our audit report a little differently so any ideas would be helpful from both camps (AS & TS).
 
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D

ddunn

#2
The last company I was with documented internal audit results in the CAPA system. This way action plans were identified, action items listed, current activities tracked and follow up actions identified. The CAPA was reviewed during the Management Review with a clear understanding of all improvement activities. If your CAPA system is working well then your internal audit reporting system is working well.
 
J

Jeff Frost

#3
We report audit nonconformity in via our CAPA system but it appears that Mr. Auditor was not happy with only report nonconformity's. PA's in our system would only occur if audit observation were just short of a nonconformity finding.

Because we found that for our QMS (and customer expectations) there was no value added to our process in using the typical minor and major audit nonconformity findings (each customer had his/her own definition not related to the standards). We issue CA's for all audit nonconformities whether they are minor or major.

Any other suggestions on report audit results to management?
 

Cari Spears

Super Moderator
Staff member
Super Moderator
#4
Here's our audit report. CAR's (or we call it a QI = Quality Issue) are generated for nonconformances or OFI's. The report highlights the positive and negative and is reviewed during the closing meeting.
 

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J

Jeff Frost

#5
Cari

This is the same process we have in place but ISO 9001 & AS 9100 Clause 5.6.2 a) (Management) Review Input and of course 8.5.1 Continual Improvement require that audit results be part of the improvement and management review process. Reviewing all audit findings (Conformity, nonconformties and observation) from the audit process at the management review meeting would not be appropriate.
 

Cari Spears

Super Moderator
Staff member
Super Moderator
#6
I'm sorry I didn't elaborate - I posted in a rush just before a meeting. We have an opening and closing meeting for every audit. The attendees are our management review team anyway. Any QI's (CAR or OFI) that are issued are reviewed by management in our regular Mgt Rev. meetings.
 
C

cncmarine

#7
Jeff Frost said:
We report audit nonconformity in via our CAPA system but it appears that Mr. Auditor was not happy with only report nonconformity's. PA's in our system would only occur if audit observation were just short of a nonconformity finding.

Because we found that for our QMS (and customer expectations) there was no value added to our process in using the typical minor and major audit nonconformity findings (each customer had his/her own definition not related to the standards). We issue CA's for all audit nonconformities whether they are minor or major.

Any other suggestions on report audit results to management?

Just short of an audit finding? Please clarify.
 
S

srqaeng

#8
Internal Audit review is part of our Management Review Agenda. Basicly summarize the audits and findings that took place during that time period. We also go over area's in need of improvement as well as area's that have improved. This is captured in the Management Review minutes.
 
J

Jim Howe

#9
We prepare a summary of findings for all our internal audits. Both the positive and negative findings are included in this summary at the EC's (executive committee) request. All negative findings have C/A's attached. The EC reviews the summary and takes appropriate actions. One of the things they review for is resources, to wit: are more or different resources needed to improve. Once the EC signs off on the summary we publish it by e-mail to all involved parties.
:2cents:
 
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