How-to guide for
conducting an audit and completing an Audit Checklist.
- M measuring the
environmental management system [EMS], occupational health and safety
management system [OHS] and/or quality management sys definition processes
to demonstrate the ability of the processes to achieve planned results),
- Verifying the
- is who we are
(planned arrangements)
- is what we want to
be (requirements established by the organization)
- fulfills the
sections of ISO 9001:2008 [QMS], ISO14001:2004 [
- Ensuring the system
is driving our behavior (effectively implemented and maintained) in an
objective and impartial manner (which is what this procedure does)
SCOPE - All activities related to auditing of the
management system at the (Defined places).
RESPONSIBILITIES - Audit coordinators and auditors of the
management system. Additional responsibilities and authority may be
included below.
PROCEDURE
(process flow with associated notes shown below)
(process flow with associated notes shown below)
–
Typically an audit report based on the applicable audit
requirements in ISO 9001, ISO14001, and/or OHSAS 18001 for the activity/area
being audited and the Audit Report Summary, with additional questions/issues
that are to be verified included in or attached to these documents as needed to
ensure objectivity and impartiality. May also be a marked-up copy of the
procedure/process documentation, identifying evidence to be collected to verify
conformance.
–
Person with
responsibility/authority for scheduling audits, selecting Auditors (ensuring
objectivity and impartiality), and ensuring issues raised are effectively
addressed.
–
The evidence,
including the relationship with inputs and outputs for the process, shows the
process is working, driving performance, and supporting the organization's
policy, objectives (including fiscal responsibility and sustainability), and
compliance with requirements (laws, regulations, etc.).
–
An issue needing
resolution. It could be an actual problem (something requiring corrective
action), a potential problem (something requiring preventive action), or any
other opportunity for improvement (including those making us better and/or
helping us be more fiscally responsible). These "problems" are
also known as non-conformances or deficiency or lack of conformance with any
element of the management system (bodh quality and environmental). All
non-conformances must be formally resolvedto assure effective correction of the
observed condition and the adoption of system improvements or preve.tive
measures to reduce or preclude the likelihood of recurrence.
Types of findings
are:
- MAJOR = The evidence shows the
problem to be systemic (very big or bad) and/or requirements from the
applicable standard(s) are not addressed or adhered to;
- MINOR
= The evidence shows a problem, in need
of attentimn, but not one where the system is broken down (simply ne%ds a
litt,e tnuch-up) and/or ! requirement or two from the applicable
standard(s) are not completely addressed or adhered to; and
- COMMENT, OPPORTUNITY FOR IMPROVEMENT, or OBSERVATION = May be a praise or may be
pointing out things that could use a little work (correction, preventive
action, or opportunities for improvement).
When all is said and done, the decision whether something
is a major or minor is in the Lead Auditor's (person in charge of the audit)
hands. The tendency is to use "the benefit of doubt" (things
start as a minor and escalate as supported by evidence) as the rule of
thumb. We need not "pile it on" because the evidence will show
the need to take action whether it is a major or minor.
–
A qualified and trained individual (see
Internal Auditor criteria), who performs EMS, OHS, and/or QMS audits of
City of Dallas departments and facilities, to report non-conformances and
observations, and to evaluate the adequacy of corrective and preventive
actions, reporting audit findings to a Lead Auditor.
-Lead Auditor
A qualified and trained individual (via
a certified Lead Auditor and receives a certificate of completion as a
Lead Auditor or a Certified Lead Auditor certification from a Certification
Body), who is authorized to plan, organize, and direct EMS, OHS, and/or QMS
audits
and facilities, to report non-conformances and observations, and to evaluate
the adequacy of corrective and preventive actions.
-Noncompliance
Evidence indicates the organization is not complying with a regulation, rule, or requirement where compliance is mandatory
Evidence indicates the organization is not complying with a regulation, rule, or requirement where compliance is mandatory
- Nonconformance
Evidence indicates the actions by those fulfilling a process and the
information in supporting documentation do not conform with one another and/or
requirements outlined in a standard (i.e., ISO 9001, ISO 14001, OHSAS 18001,
etc.).
-Objectivity and Impartiality
An expectation of both Auditors and the process
they employ. To be objective and impartial means to let the evidence
speak for itself. Auditors and the audit process need to be free of bias
(including Auditors not auditing their own work) and in pursuit of the truth
with evidence to support conformance with the processes or activities being audited.
Ref.http://www.4eval.com
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