Internal Audit requirements in a One Man Shop

B

bfullam

I am doing some consulting for a company who is really a one man shop. He is registered to ISO 9001:2008 and a few questions came up:

- How do you perform / or do you need to perform internal audits for a one man shop since you aren't supposed to audit yourself or the processes you work on regularly?

- As part of the ISO 9001:2008 requirement he needs to have training records. Again, this is a one man shop. Does he train himself and fill out a training record form?

- For management review he fills out a sheet with what he reviewed and the agenda he followed, but again its just him.

Any help/guidance would be appreciated.
 
A

AndyN

Moved On
bfullam said:
I am doing some consulting for a company who is really a one man shop. He is registered to ISO 9001:2008 and a few questions came up:

- How do you perform / or do you need to perform internal audits for a one man shop since you aren't supposed to audit yourself or the processes you work on regularly?

- As part of the ISO 9001:2008 requirement he needs to have training records. Again, this is a one man shop. Does he train himself and fill out a training record form?

- For management review he fills out a sheet with what he reviewed and the agenda he followed, but again its just him.

Any help/guidance would be appreciated.
Click to expand...

Yes, someone needs to audit. You aren't supposed to audit your own work which is why you need to have someone else do the audits. Training isn't required, competency is. Training is only necessary of that's the action determined to be needed. Let's say if a new machine controller needs to be bought and maybe have the machine builder "train" the owner on how to program it.

This is where it's better to have someone do the management review to be worthwhile, more than simply following an agenda and signing a piece of worthless paper.
 
Sidney Vianna

Sidney Vianna

Post Responsibly
Leader
Admin
bfullam said:
I am doing some consulting for a company who is really a one man shop. He is registered to ISO 9001:2008 and a few questions came up:
Any help/guidance would be appreciated.
Click to expand...
As the organization is already certified, according to your post, he should continue on doing exactly what he has done so far. After all, if he was not able to demonstrate compliance with those aspects of the standard, he couldn't have achieved certification. Or am I missing something?
 
B

bfullam

Yes, you are missing something and I apologize I forgot to add that in. When he was originally certified he had two or three people in the organization. Since then his business partner passed away and it is just him now. He is up for recertification and the auditor has explained that he needs him to update his quality manual and policies to reflect the current business practices.
 
B

bfullam

When you say have someone do the management review, do you mean have an outside group/person do the management review with him?
 
Colin

Colin

Quite Involved in Discussions
Sidney Vianna said:
As the organization is already certified, according to your post, he should continue on doing exactly what he has done so far. After all, if he was not able to demonstrate compliance with those aspects of the standard, he couldn't have achieved certification. Or am I missing something?
Click to expand...

Sidney, I can't imagine what you are implying!:D
 
A

AndyN

Moved On
bfullam said:
Yes, you are missing something and I apologize I forgot to add that in. When he was originally certified he had two or three people in the organization. Since then his business partner passed away and it is just him now. He is up for recertification and the auditor has explained that he needs him to update his quality manual and policies to reflect the current business practices.
Click to expand...

It's a bit more than that - but perhaps the auditor was avoiding the criticism:popcorn: of "consulting" which many people just love to make a big deal...
 
A

AndyN

Moved On
bfullam said:
When you say have someone do the management review, do you mean have an outside group/person do the management review with him?
Click to expand...

Yes. It's a practical impossibility to run a management system as one person. Since this owner has to find an internal auditor, why not also have that person - if they are competent - prepare everything that's needed to be reviewed with the owner. You're consulting with them? Aren't you aware this is an option?
 
B

bfullam

AndyN said:
Yes. It's a practical impossibility to run a management system as one person. Since this owner has to find an internal auditor, why not also have that person - if they are competent - prepare everything that's needed to be reviewed with the owner. You're consulting with them? Aren't you aware this is an option?
Click to expand...

Thank you for the reply AndyN. In fact the very first thing that popped into my head when I sat down with the owner was how it would be impossible to audit yourself. I should have noted in my very first post that this is my first time dealing with a company of 1, so I have never run across the situation where you needed to look to the outside for "internal" audits or management review.

I do appreciate your feedback and support.
 
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