Audit process | Audits types | Audit report format | Audit standards

The audit process follows the PDCA approach( Plan – Do – Check – Act ).

The work of the audit process can be divided into the following stages:

• Audit planning & Preparation
• Audit execution
• Audit reporting
• Follow-up

Audit process – Audit Planning & Preparation

The audit planning and preparation steps include:

• Appointing and audit co-ordinator
• Defining the scope of the audit
• Deciding frequency
• Preparing audit programme
• Making audit schedule/plan
• Document review
• Preparation of audit checklists

Audit Means | Audit Definition

Auditing is a systematic, independent, and documented method/process for gathering audit information and objectively analyzing it to determine the extent to which the audit criteria are met.

Types of Audit

Audits are classified into two major categories:

First Classification

• Adequacy Audit
• compliance Audit

Second Classification

• Internal Audit
• External Audit

Internal Audit

• First Party Audit (Us on Us) – e.g.  Product and Process audit, System audit by internal qualified auditors.

External Audit

• Second Part Audit (Us on them or them on us) – e.g. Customer audit at supplier end, an audit by the consultant.
• Third-Party Audit – Registration audit by third party e.g.   Re-certification and Surveillance audit by certification bodies like BSI, DNV, UL, BVQI, TUV, etc.

Audit objectives

General objectives of an audit include:

• To determine conformity/Non-conformity of management system elements.
• To determine the effectiveness of the implemented management system in meeting the system objectives.
• To improve the management system.
• To permit registration/certification of a company’s management system.

Specific objectives of an audit include:

• To evaluate a supplier before establishing a contractual relationship.
• To verify a supplier for continued conformance to a management system under a contractual relationship.
• To evaluate an organization’s own management system.

Who qualifies to be an internal auditor?

• Trained personnel (Own staff or hired professional).
• Independent.
• May not be a specialist, but has a general understanding of the area of audit.
• Knowledge of the relevant standard.

Auditor’s Seven Friends

• What?
• Why?
• When?
• Where?
• Who?
• How?
• Show me?

Audit Samples

• Documents
• Equipment
• Personnel
• Products
• Activities
• Records etc.

Information sources for the selection of samples are-

• History or findings of previous audits.
• Customer complaints reported.
• Internal customers.
• Management concerns.

Audit standards

There are various management standards used for auditing the organization’s management system.

Some of the widely used audit standards are listed below:

• ISO 9001: Quality Management Standard – for any industry/sector.
• IATF 16949: Quality Management Standard – for automotive industries.
• AS9100: Quality Management Standard – for aerospace industries.
• ISO 14001: Environmental Management Standard – for environment safety.
• ISO 45001: Occupational Health and Safety standard – for worker’s safety.
• SA8000: Social Accountability Standard.

Audit Report format

The audit report format generally consists of the following details:

• Audit ref. no.
• Audit date
• Client name
• NC no.
• NC description with objective evidence
• Correction and Corrective action plan with responsibility and target date
• CAP review and verification with date
• CAP closure status.

Download the Audit report format and NC report format