Internal Quality Audit Course

Internal Quality Audit Course • PERFORMING AUDIT STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL QUALITY AUDIT • PERFORMING AUDIT • Key issues • Right persons / Auditee • Representative samples • Right Questions • Handling Audit Trails • Taking notes • Recognising Non-conformance • * Understanding of above issues helpful in controlling audit time STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL QUALITY AUDIT • Right Auditee • Responsibility /Authority • Activities • Maintaining records • Danger of Hearse • Loss of Time • Omission of Audit scope STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL QUALITY AUDIT • Representative Samples • Considerations • Activities performed most of the time • What happens during Crisis STQC CERTIFICATION SERVICES (EASTERN REGION)

Representative Samples • Aspects providing inputs • Quality Manual /Other documents • Checklists • Important process stage • Records originated / Maintained • Personnel involved STQC CERTIFICATION SERVICES (EASTERN REGION)

Representative Samples • Strategy to follow • Horizontal • Vertical • Up/ Down Stream • Mixed More Samples examined in Horizontal Approach STQC CERTIFICATION SERVICES (EASTERN REGION)

ISO 17025:1999 audit consists of • two parts • System audit • Technical audit STQC CERTIFICATION SERVICES (EASTERN REGION)

AUDIT TECHNIQUES • Documentation/ record review • Interview with personnel • Observation of work in progress/witnessing test/ • calibration • Examination of resources • Inspection/re-inspection of products (actually getting • carried out test/calibration jobs) STQC CERTIFICATION SERVICES (EASTERN REGION)

ISO 9000 IN EDUCATIONAL & TRAINING INSTITUTE • AUDIT TECHNIQUES • Horizontal audit: more aspects to be covered • Vertical audit: few aspects to be covered in more • depth STQC CERTIFICATION SERVICES (EASTERN REGION)

Thematic Questions • Expansive Questions • Opinion Questions • Investigative Questions • Repetitive ( Dumb ) Questions • Hypothetical Questions • Closed Questions • For logical conclusions • Leading questions • Establishing Rapport with Auditee • More Open-ended Questions • Avoid Repetitive Questions • Caution with asking Hypothetical & closed Questions Asking Right Questions STQC CERTIFICATION SERVICES (EASTERN REGION)

Internal Quality Audit Course • Audit Trails • Responsibilities & Authorities defined for • activities • Reference to specified requirement • Decision to persue • Within the area • With other Dept./Areas STQC CERTIFICATION SERVICES (EASTERN REGION)

Internal Quality Audit Course • Recognizing Non-conformance • What could go wrong if the non-conformance • remains uncorrected • What is the likelihood of such a thing going wrong • Seriousness on Non-conformance can then be judged STQC CERTIFICATION SERVICES (EASTERN REGION)

Internal Quality Audit Course • Recognizing Non-conformance • Minor • Isolated case • Minor problem area which warrants • attention • Major • Significant deviations from Standard requirements • Break down of Quality System in a Dept./Area • Significant quantity of MINORS STQC CERTIFICATION SERVICES (EASTERN REGION)

Audit Process • Issues /Practices to be avoided • Personal Bias • Desk Audit : Audit where the action is • Competence Issue : Handle discreetly • Personal identity • Token discrepancy STQC CERTIFICATION SERVICES (EASTERN REGION)

Additional Tips • Speak and ascertain from right people • Avoid Hear-say • Be nosey , but polite • Control Audit time STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL QUALITY AUDIT • Audit Reporting STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • Audit Reporting • Reporting on COMPLIANCE • Reporting on NON-COPLIANCE • ( Non-compliance) STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • Taking notes • Recording Audit sample examined for Dept. audited - Persons contacted - ISO 9000 Clauses involved • - Area seen - Process stage involved • - Documents examined - Records verified • - Audit trails identified/followed • - Compliance/Non-compliance • - Reference of non-compliance STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • Taking notes • Record aspect to be followed up in next assessment • Positive reporting helps to determine depth in Auditing , Basis for selecting sample and judging system EFFECTIVENESS STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE AUDIT REPORTING FORMAT AREA/ACTIVITY OF AUDIT: SIGNATURE OF AUDITOR STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • Non-compliance Reports • May be reviewed at various stages • Audit • Subsequent review with MR/ Assessment team • Management review (Internal Audit) • Closing Meeting ( External Audit ) • Subsequent reference by organisation , • Certification body , next assessment team • Some one has to take corrective action • Raising Non-conformance reports thus assumes special significance STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • Recording of Non-compliance Reports • Aspect to be considered • Exact observation of the facts • Where was it found ? • What was found ? • Why it is a Non-compliance ? • Who was there ? • Use local Terminology • Make it retrievable • Make it helpful ( Only in Internal Audit ) : WHY ? STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE NON-CONFORMANCE REPORTING FORMAT AREA/ACTIVITY OF AUDIT: DATE: SIGNATURE OF AUDITOR SIGNATURE OF AUDITEE STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • Recording of Non-compliance • Should be • SIMPLE • CRISP • NEATLY WORDED • Non-compliance should not be subjected to • INTERPRETATION STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • Summary Report • DEPT/AREA/ACTIVITY • AUDIT NONCONFORMANCE REPORTS • AUDIT TEAM • DATES OF ACTUAL AUDITS • TOTAL NUMBER OF NON-CONFORMANCES • NO OF NON-CONFORMANCES DUE SYSTEM NOT • DEFINED • NO OF NON-CONFORMANCES DUE SYSTEM NOT • IMPLEMENTED • NO OF NON-CONFORMANCES DUE SYSTEM NOT • IMPLEMENTED • SUMMARY STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • SYSTEM EFFECTIVENESS • Informed judgement of Assessors STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • SYSTEM EFFECTIVENESS • Information from Internal failures • Possibilities • Avoidable changes in drawings, • Documents /POs • Avoidable reworks , concession • scraps etc. STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • SYSTEM EFFECTIVENESS • Information from External failures • Possibilities • Trends in Customers complaints • Status on Corrective actions • arising out of external audits STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • SYSTEM EFFECTIVENESS • Trends • Staff attitude to Management • Access of MR to Management • Dressing up of non-compliances • for TOP Management STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • SYSTEM EFFECTIVENESS • Trends • Management attitude • Status on Audit Report • - Commitment STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • SYSTEM EFFECTIVENESS • Trends • Effectiveness in Management review • Meeting Q. Policy & Objectives • Adequacy in Internal Quality audit • Matching with external audit STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE • SYSTEM EFFECTIVENESS :Audit Report(External Audit) • Name of the Organisation • Scope of the Assessment • Participation in Closing Meeting • Nos of Non-Conformances Observed • - No of Major - Nos. Of Minor - Nos. Minor as major • - Nos where system not defined • - Nos where system not implemented • - Nos. Where practice not effective • Summary ( Informed Judgement ) in 200 words • Nos. Of Non-conformances closed out during Assessment • Areas not reviewed / not applicable • Recommendation STQC CERTIFICATION SERVICES (EASTERN REGION)

INTERNAL AUDIT COURSE THANK YOU STQC CERTIFICATION SERVICES (EASTERN REGION)

Internal Quality Audit Course