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Does this qualify as an Internal Audit?

K

kgott

#1
I have a problem I would like some help with. Application of ISO 9001 to our consulting business is proceeding very slow so only the basics have been done. For me this means that I’m a little short of areas to audit.
This week I sat with two supervisors from a team that does a particular type of environmental projects. I went through the record requirements of ISO 9001 as it applied to that team and to the projects they do. We were able to account for how each required record is generated using the existing forms and other documents used by that team and most of the company.

My question is could I write exercise this up as an audit was well? (leaving aside questions of the quality of it)

Thank you for your help and I will read your feedback tomorrow morning
 
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somashekar

Staff member
Super Moderator
#2
Re: Does this qualify as an audit?

I have a problem I would like some help with. Application of ISO 9001 to our consulting business is proceeding very slow so only the basics have been done. For me this means that I’m a little short of areas to audit.
This week I sat with two supervisors from a team that does a particular type of environmental projects. I went through the record requirements of ISO 9001 as it applied to that team and to the projects they do. We were able to account for how each required record is generated using the existing forms and other documents used by that team and most of the company.

My question is could I write exercise this up as an audit was well? (leaving aside questions of the quality of it)

Thank you for your help and I will read your feedback tomorrow morning
For me .. NO
This is a part of the clause 7.1 b) c) d) of your realization activity.
The system may be still pre mature for an audit at this stage.
Is there any compulsion to audit at this stage ?
 
G

Geoff Withnell

#3
I have a problem I would like some help with. Application of ISO 9001 to our consulting business is proceeding very slow so only the basics have been done. For me this means that I’m a little short of areas to audit.
This week I sat with two supervisors from a team that does a particular type of environmental projects. I went through the record requirements of ISO 9001 as it applied to that team and to the projects they do. We were able to account for how each required record is generated using the existing forms and other documents used by that team and most of the company.

My question is could I write exercise this up as an audit was well? (leaving aside questions of the quality of it)

Thank you for your help and I will read your feedback tomorrow morning
Audit: The on-site verification activity, such as inspection or examination, of a process or quality system, to ensure compliance to requirements. An audit can apply to an entire organization or might be specific to a function, process or production step.

Looks like one to me. You were onsite, you were ensuring compliance to requirements. Not very formal, not really part of an audit system, but still an audit.

Geoff Withnell
 
#4
Before anyone can really answer, we need a little more information:

Did you 'plan' to do this as an audit (it's part of your audit programme)?

What were the audit criteria? You mention ISO 9001, but was that planned that way?

What was the scope of the audit? Was it just records?

Why did you audit records? Are they so important over other processes which affect what you do for customers etc?

Did you follow the internal audit procedure in planning, conducting the audit? Create a checklist or similar to help you?

If you cannot answer an unequivocal 'yes', which implies you'd have to go back and 'fabricate' something, then you know the answer...
 

Randy

Super Moderator
#5
Audit: The on-site verification activity, such as inspection or examination, of a process or quality system, to ensure compliance to requirements. An audit can apply to an entire organization or might be specific to a function, process or production step.

Looks like one to me. You were onsite, you were ensuring compliance to requirements. Not very formal, not really part of an audit system, but still an audit.

Geoff Withnell
You're incorect Goeff, we're looking at ISO 9001 here so the ISO definition of audit applies

ISO 9000:2005 - 3.9.1 audit
systematic, independent and documented process (3.4.1) for obtaining audit evidence (3.9.4) and evaluating it objectively to determine the extent to which audit criteria (3.9.3) are fulfilled
 

Sidney Vianna

Post Responsibly
Staff member
Admin
#6
My question is could I write exercise this up as an audit was well?
No. As Andy mentioned, this was not planned (part of an audit program) and, as Randy indicated, it does not satisfy the threshold of a systematic activity.

What you did was an "educational" conversation; not an audit.
 

Jim Wynne

Staff member
Admin
#8
I'm with Randy and Sidney on this one--audits require planning. This shouldn't be construed to mean, however, that audits that aren't on the schedule can't be done, but the audit program should allow for such things.

What you can do with something like this is use it to inform your audit process. You say that you're "a little short of areas to audit," but you just found one that you weren't looking for. Look around for other, similar cases and I'll be you'll find other things to audit.
 
K

kgott

#9
Andy; The purpose of the excerise was to ensure that our processes generate the records required by ISO 9001. My approach was to try and get these requirements built into our way of doing things at a time we are in the "planning proceeses required for the operation of the busienss' rather than find these same issues through other future auidts which could take quite some time to do and correct. In a sense it was an ISO 9001 implemention activity.
 
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