Preparing for External Audits - Asking Registrar for their Audit Check List(s)

[Helmut Jilling]

I would ask for their checklist. Also, look at what quality requirements are specified on their POs or contracts.

Most CB auditors no longer use a checklist. The TS QSA checklist may still be available somewhere to be used as a gap analysis, but it is not to be used to set up a system anymore. The same comment would apply to ISO, but I don't know who still has a commercial gap analysis checklist for plain ISO.

All the CB's and AB's are supposed to be requiring a process approach, not a checklist approach.

PS: I just realized that the original post dealt with 2nd party audits, not 3rd party. It is possible some companies might be using a checklist of some sort for 2nd party audits.

 

[Sidney Vianna]

PS: I just realized that the original post dealt with 2nd party audits, not 3rd party. It is possible some companies might be using a checklist of some sort for 2nd party audits.

Right. The title of the thread should be changed to Preparing for External Audits - Asking CUSTOMERS for their audit checklists.

 

[Antonio Vieira]

These “2 very large companies” are they your clients?
I presume they are, that’s why they are going to audit your organization. In this case you can always ask for the check list they are going to use in the audit. If it’s a typical ISO 9001 audit It think they are going to use also the typical registrar check list (the standard, but with requirements transformed in questions).
If they have customers specific requirements, I think they should be glad to tell you before those requirements, than getting you surprised in the audit day. (This is applicable if they really want to keep your organization as their supplier).
In my opinion – ask anything to the auditor but do it before the audit starts!

 

[Marc]

Asking CUSTOMERS for their audit checklists.

Customer's internal audit check lists - A good discussion topic in its own right.

I will say that even though they're not supposed to use 'check lists', there is an analogous way to track what has and has not been covered in a audit. Maybe cross reference matrix or something like that would be the appropriate term here.

 

[harry]

Hello Everybody

I am in complete agreement with Antonio. I think we have to make a distinction between an audit checklist(as used by auditors if they still do) and an audit preparation/readiness checklist. Generally this is what the registrars/CB's gave you.

I had recently downloaded such a list from 'UL's' website for ISO 14000. Very comprehensive, about 40+ pages. If you had taken care of all the items listed in the checklist - you should breeze through any audit.

 

[Helmut Jilling]

I had recently downloaded such a list from 'UL's' website for ISO 14000. Very comprehensive, about 40+ pages. If you had taken care of all the items listed in the checklist - you should breeze through any audit.

That's a good comment. And I appreciate that it helps you on breezing through the audits. But, I felt the comment reveals a little bit about your company culture.

I wish clients would first focus on using ISO to help them run good companies better, and not make the focus on breezing through the audits. That is an automatic result of running a good ISO program.

I think your focus would be better if you said that it helped you run a better ISO 14001 program, ... and by the way, made the audit a breeze too.

 

[AndyN]

2 Large companies????

Are the companies customers? If not, who are they?

Why are they auditing you? I agree with the previous post saying that 'preparing' is futile. I'd use the opportunity to see what the auditors find to get some kind of evaluation of the strengths and weaknesses of the organization. As a new person there, you could use the info. So tag along with the auditors, don't try to 'bluff' through the audit. If the company didn't have a 'formal' QMS then don't make it look like it did!

Andy

 

[harry]

Thanks for helping to make it clearer. Thats what I meant - if you had run and maintain a system properly, everything should be there (against the checklist also) and you should have no worries and therefore breeze through any audit. Infact at anytime as you mentioned somewhere.

Sadly, having an ISO is an 'end or achievement' for a handful of companies despite our continual stress that it is only the beginning of a new journey. Several years down the road you will receive 'SOS' calls requesting for audit checklist and what nots because the system is not being maintained and nobody is willing or competent or had the time to prepare the necessary and survelliance audit is maybe two weeks away.

Maybe that's the reason why new companies keep on appearing while the older ones kept disappearing.

 

[moiraknows]

Thank you all for your helpful tips.
I really enjoy this forum!

 

[Randy]

No problem. You know what you need to do and you'll do fine.