INTERNAL / THIRD- PARTY AUDITS

Purpose of the internal audit/ third- party audit

Why use an outside auditor

How we can help you

Our auditor's activities

Our audit cycle

Our auditor's responsibilities

Characteristics of our auditors

Our audit report and content

Follow-up to the audit

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Purpose of the internal audit/ 3rd party audit

• is part of "Due Diligence";


• aids in continuous improvement;


• aids in management review of the quality system;


• aids in registration decisions;


• aids in supplier / subcontractor approval; and


• is a record of supplier / subcontractor approval

ICS can provide an objective and unbiased review, to assess conformance to the regulations, and determine the level of implementation and effectiveness of the quality system requirements. This is done using our extensive checklists, which have evolved over time, and are continually upgraded.

We can then identify opportunities for improvement, within the scope of the quality system requirements.

 

Why use an outside auditor

Due to our training and experience, we:

• have a more thorough understanding of gathering objective evidence, based on observation, measurement or tests, which can be verified;


• can employ enhanced interviewing techniques, such as "show me…" and "what if ….";


• may be more adept at identifying nonconformities and categorizing them;


• can maximize time usage;


• aid you in scheduling;


• demonstrate professionalism;


• can improve tactical effectiveness;


• remove the potential for internal politics;


• can be more impartial for determining and recording the causes of the nonconformities (methods, equipment, materials, training and education, availability of acceptance criteria, working environment, resources, etc);


• provide a more impartial final judgement as to compliance and present nonconformances;

Overall, you will achieve improved audits results.

 

How we can help you

Based on our training in ISO 10011, we can help by:

• preparing for and conducting an exploratory meeting with management;


• reviewing your documentation (Policies, Standard Operating Procedures, and Forms);


• preparing an audit checklist tailored to your program;


• preparing an Audit Plan (dates, times, locations, sections to be audited, meetings required);


• conducting the Opening Meeting (to introduce the audit team, review the scope and objectives, confirm dates, locations, and sections to be audited);


• executing the audit (employing tactical interviewing techniques, gathering objective evidence, and identifying nonconformances and categorizing them);


• conducting the Closing Meeting (presenting overall summary, including the level of compliance and system effectiveness, presentation of nonconformances, scheduling completion for corrective actions, and recommendations to improve performance);


• preparing an audit report summarizing the audit findings and results (as an official quality record to aid in management review, customer approval, continuous improvement and registration decisions);


• short-term follow-up to determine the implementation / effectiveness of any corrective actions; and


• providing long-term follow-up to ensure that the system remains implemented and effective.

 

Our auditor's activities

We will:

• remain within the scope of the audit;


• exercise objectivity;


• collect and analyze evidence that is relevant and sufficient to permit the drawing of conclusions regarding the audited quality system;


• remain alert to any indications of evidence that can influence the audit results and possible require more extensive auditing;


• Be able to answer:


• does the documented quality system comply with the applicable elements of the standard?;


• is the documented quality system known, available, understood, and implemented?; and


• is implemented quality system suitable to achieve quality objectives?


• Act in an ethical manner at all times.

 

 

Our auditor's responsibilities

• overall team management;


• team selection;


• preparation of audit team;


• represent team with auditee management;


• final decision making;


• preparation of audit report;


• follow-up audits;


• control the pace of the audit; and


• confidentiality (of the Auditors).

 

Characteristics of our auditors

Our Auditors have the appropriate combination of education, training, experience, personal attributes, deportment, and ethics to:

• employ the tactics of a good auditor;


• identify auditee tactics and how to combat them;


• categories of non-conformances;


• collect objective evidence;


• conduct interviews with the client’s staff;


• examine documents;


• initiate a Corrective Action Request (CAR) form;


• properly interview employees without feeling that they are on trial;


• identify which are the more critical areas to see; and


• know which questions to ask – and responses to expect;

 

Our audit report and content

• summarizes the audit findings and results;


• is issued to the client as soon as possible after the audit;


• The format of which addresses


• scope and objectives;


• executive summary;


• audit plan;


• identification of reference documents;


• judgement as to extent of compliance;


• observation of nonconformances;


• judgement as to the system’s ability to meet requirements of the standard; and


• distribution list.

 

Follow-up to the audit

Within a mutually-agreed upon time period, we will then follow up on the Internal Audit to:

• to determine implementation / effectiveness of any corrective actions;


• to ensure major nonconformances are followed-up after corrective actions were required;


• to ensure resolution of corrective actions;


• ensure that minor nonconformances are followed-up at the next scheduled audit; and


• The follow-up report is then issued.