AUDITING

THE AUDIT PROGRAM

DEFINED

IMPORTANT INTERNAL
AUDIT CONCEPTS
Do Unto Yourself
What Others Will Do Unto You
Find Your Problems
Before The Customer Does

AUDITORS MISSION
STATEMENT:
To Provide Evaluations That Are:
Independent
Uniform
Consistent

&
To an Agreed Upon Standard

CLEARLY ESTABLISHED
CRITERIA
Everyone Should Know The Standard Against
Which The Audit Will Be Conducted
ISO 9000 - 1994
ISO 9000 - 2000
QS 9000
ISO 9000 Plus
Product Specification
Product Drawings
Military Standards, Handbooks, Publications, etc.

NO SURPRISES!!

A PUBLISHED SCHEDULE
Quality System Requirements - Annual Schedule
Will Work
Production Audit - 1st Week Of Production
(Before Customer Arrives)
Follow-Up Audits - An established time period
plus notification well prior to audit.

NO SURPRISES !!!

THE AUDITING GROUP

Independent Of Groups Being Audited - If Possible
Well Trained And Knowledgeable
Can Be A Full Time Job
Must Have Full Support Of Management
Somebody Must Audit The Audit Group

PROGRAM OBJECTIVE
To Obtain Sufficient Evidence
To Evaluate Compliance
With a Standard

PURPOSE OF AN AUDIT
A Management Tool
To Make Improvements

An Audit Can Determine:

Future Purchases
Certify the Organization
Register the Organization

DEFINITION
An Audit Is:
A Planned Systemic Process Performed
by Independent, Trained Personnel
In Accordance With Previously
Prepared Game Plan
Results Are Documented
Corrective Actions Are Taken

ELEMENTS OF AN AUDIT
Top Management
Auditor
Auditee

CLASSES OF AUDITS
PROCESS
PRODUCT
QUALITY SYSTEMS

CLASSES OF AUDITS
(CONTINUED)

PROCESS
PRODUCT

QUALITY SYSTEMS

CLASSES OF AUDITS
(CONTINUED)

Process
Product
QUALITY SYSTEMS

ORGANIZATION
OF AN AUDIT TEAM
ORGANIZATION
LEAD AUDITOR
SUBJECT MATTER EXPERTS
Team Members

ORGANIZATION
OF AN AUDIT TEAM
(continued)

Organization
Lead Auditor
Subject Matter Experts

TEAM MEMBERS

DUTIES
Lead Auditor
* Responsibility
* Management
* Decision Making

Team Members
* Objectivity
* Analysis
* Alertness
* Ethics

AUDITOR CONDUCT
AND SKILLS
Technical Knowledge
Audit Training
Good Communication Skills
Attitude of Helpfulness

AUDITOR CONDUCT
AND SKILLS
Technical Knowledge
Audit Training
Good Communication Skills
Attitude of Helpfulness

AUDIT IMPLEMENTATION

Audit Initiation
Preliminary Meeting
Audit Planning
Pre-Audit Review
Performing the Audit
Reporting Results
Audit Conclusion, Including
* Follow-Up
* Corrective Action

AUDIT INITIATION
Purpose & Location
Reference Standards
Schedule
Guidelines
Report Distribution

REFERENCE STANDARDS
REGULATORY
STANDARDS
Internal Documents

REFERENCE STANDARDS
(CONTINUED)

Regulatory
Standards

INTERNAL DOCUMENTS

SPECIFIC AREAS TO ADDRESS

IDENTIFICATION OF TEAM MEMBERS
DATES AND LOCATIONS OF THE AUDIT
Schedule and Assignments
Meetings
Report Distribution
Escorts
Necessary Documents

SPECIFIC AREAS TO ADDRESS

(CONTINUED)

Identification of Team Members

Dates and Locations of the Audit
SCHEDULE AND ASSIGNMENTS
MEETINGS
Report Distribution
Escorts
Necessary Documents

SPECIFIC AREAS TO ADDRESS

(CONTINUED)

Identification of Team Members

Dates and Locations of the Audit
Schedule and Assignments
Meetings
REPORT DISTRIBUTION
Escorts
Necessary Documents

SPECIFIC AREAS TO ADDRESS

(CONTINUED)

Identification of Team Members

Dates and Locations of the Audit
Schedule and Assignments
Meetings
Report Distribution
ESCORTS
NECESSARY DOCUMENTS

COMMITMENT TO:
Facilities
Documents
Personnel
Top Management
Corrective Actions Taken
Preventive Actions Taken

AUDIT PLANNING
Brief the Audit Team
* Audit Scope
* Identification of Auditors and
Auditee
* Schedule
* Standards and Procedures
Initiate Working Papers

AUDIT PLANNING
(CONTINUED)

Brief the Audit Team

Initiate Working Papers

PRE-AUDIT REVIEW
Review Documents
Continue Preparation of Working Papers

PERFORMING THE AUDIT

Management in-Brief
Plant Tour
Operational Meeting
Audit Operations
Daily Written Records

PERFORMING THE AUDIT

(CONTINUED)

Management in-Brief
Plant Tour
Operational Meeting
Audit Operations
Daily Written Records

PERFORMING THE AUDIT

Management in-Brief
Plant Tour
Operational Meeting
Audit Operations
Daily Written Records

INTERVIEWS
PUT PERSON AT EASE
EXPLAIN WHY HE IS BEING
QUESTIONED
Learn What He Does
Analyze What He Does
Determine a Tentative Conclusion
Explain the Next Step

INTERVIEWS
(CONTINUED)

Put Person at Ease

Explain Why He Is Being Questioned
LEARN WHAT HE DOES
ANALYZE WHAT HE DOES
Determine a Tentative Conclusion
Explain the Next Step

INTERVIEWS
(CONTINUED)

Put Person at Ease

Explain Why He Is Being Questioned
Learn What He Does
Analyze What He Does
DETERMINE A TENTATIVE
CONCLUSION
EXPLAIN THE NEXT STEP

TYPES OF FINDINGS
Findings or Observations
Systemic or Isolated Problems

DETERMINING
ACCEPTABILITY

Unconditional Approval

Conditional Approval

Conditional Nonapproval

Unconditional Nonapproval

FINAL OUTBRIEF
Last Opportunity to Dispute Findings
Senior Management Present
No Surprises

FINAL WRITTEN REPORT

Purpose and Scope

Applicable Game Plan Details

Referenced Documents

Audit Findings and Observations

Recommendations (Internal Audit Only)

Corrective Actions

FOLLOW-UP ACTIONS
CORRECTIVE ACTION REQUESTS
Follow-up (Corrective Action) Audits
Close-Out
Records

FOLLOW-UP ACTIONS
Corrective Action Requests
FOLLOW-UP (CORRECTIVE ACTION)
AUDITS
CLOSE-OUT
RECORDS

CORRECTIVE ACTION
EVALUATION
Correct the Problem
Determine Its Affect on Past
Performance
Take Immediate Temporary
Corrective Actions
Take Permanent Action to
Prevent Recurrence

AUDITOR REQUIREMENTS AND

QUALIFICATIONS
* Communicate
* Plan
* Control
* Gain Cooperation * Lead
*Administer
* Work Independently
*
Good Attitude
* Reach Decisions
* Adaptable
* Good Impression
* Intelligent
* Emotionally Stable
* Good Character
* Technical Training in
Area of Expertise

AUDITOR TECHNICAL TRAINING

Nondestructive Inspection & Test Training
* Eddy Current Testing
* Heat Treatment Processes
* Liquid Penetrant Testing
* Welding Inspection
* Magnetic Particle Test Methods * Soldering Inspection
* Radiographic Test Methods
* Ultrasonic Test Methods
* Drawing & Blueprint Reading

Quality Assurance
* Software Quality Assurance (32 hours)
* Geometric Dimensioning and Tolerancing (40 hr.)
* Weibull Risk and Uncertainty Analysis (24 hrs)
* Principles of Metrology (40 hrs)
* Statistical Process Control, (24 hrs)

AUDITOR TECHNICAL TRAINING

(Continuing)

Configuration Management
* Configuration Management (40 hrs)
* Material Review Board Procedures (4 hrs)

Procurement
*
*
*

Defense Contracting for Technical Personnel (40 hrs)

Procurement Integrity (8 hrs)
Government Contract Law (24 hrs)

AUDITOR TECHNICAL TRAINING

(Continuing)

Design Control
*
*

Design Review (24 hrs)

Reliability by Design (40 hrs)

General
*
*
*
*
*

Report Writing (24 hrs)

Basics of Explosive Safety (24 hrs)
Effective Written Communication (15 hrs)
Safe Assembly of Component Explosives (32 hrs)
Hazardous Waste Training (8 hrs)

MEETINGS
Nightly Team Meetings
Inform Auditors
Share Information and Findings
Change Audit Schedule
Morning Reviews With Auditee
Keep the Auditee Informed

PRELIMINARY MEETING
Initiated by Correspondence
Between Lead Auditor and
Auditee
Define Responsibilities
Identify Requirements

PRELIMINARY MEETING
(CONTINUED)

Initiated by Correspondence
Between Lead Auditor and Auditee
Define Responsibilities
Identify Requirements

AUDIT TYPES
Internal

- First Party

External - Second Party

- Third Party