Types of quality audit

A brief presentation about Audit methods, Quality Audit and Roles and responsibilities of Audit participants.

1. Types of Quality audit and Roles and Responsibilities of Audit Participants By: Ch./Mohamed Hassanin 1

2. Intended learning objectives (ILO’s ): 1. What is Audit? 2. Auditor-Auditee Relationship. 3. Types of Audits. 4. Audit purpose. 5. Common elements with other Audits. 6. Roles and Responsibilities. 2

3. 1. What is Audit? “ Systematic , independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled” 3

4. Audit methods: 1- Product audit 2- Process audit 3- System audit 4- Desk audit (Document review): 4

5. Audit methods: 1- Product audit: an examination of a particular product or service to evaluate whether it conforms to requirements. Specifications Performance standards Customer requirements 5

6. 1- Product audit (Cont.): 6

7. Audit methods (Cont.): 2- Process audit: is verification by evaluation of an operation against predetermined standards to measure conformance to these standards and effectiveness of the instructions. 7 Defined requirements

8. 8 2- Process audit (Cont.): Very focused and usually involves only one work crew.

9. 3- System audit: that is conducted on a management system. 9

10. 10 3- System audit (Cont.):

11. 11 3- System audit (Cont.): Standards describe “What” must be done and left the “How” to the organization being audited.

12. Audit methods (Cont.): 4- Desk audit (Document review): - Is an audit of organization’s documents. - It conducted prior to a process or system audit to verify that documents meet standard’s requirements. 12

13. 2. Auditor- Auditee relationship: 13

14. 3.Types of Audits: 14

15. 1 st Party Audit: - Performed within organization to measure its strengths and weaknesses against standard. - Conducted by organization’s audit team or outsourced auditors (Benefits). - The audit team should be independent and the conflict of interest should be avoided. - Separate audit team or Trained audit team. 15

16. 2 nd Party Audit: - External audit that performed by a customer (or a contracted organization on behalf of a customer) on a supplier. - More formal than 1 st party as it could influence the purchasing decision. 16

17. 3 rd Party Audit: - Performed by an audit organization independent of the customer-supplier relationship and is free of any conflict of interest. 17

18. 4. Audit purpose: - Certification purposes (Certification and Accreditation). - Performance Vs. Conformance audit. - Follow-up audit. 18

19. 5. Common elements with other audits: a) Purpose and scope “Why are we doing this ?” b) Document review. c) Preparation for review (The interviewed, location, schedule) . d) On-site or remote data collection. e) Formal audit report (Introduction, summary, findings and conclusion) . f) Audit follow-up. 19

20. By its nature, an audit can cause stress between participants. The more contentious the relationship between participants, The more difficult it will be to achieve compliance, conformity or improvement. 20 6. Roles and Responsibilities:

21. 6. Roles and Responsibilities (Cont.): The audit participants are: 21

22. Client responsibilities: 1. Determines the need for an audit. 2 . Determines the audit purpose and scope. 3. Address budget issues. 4 . Attends the audit meetings. 5. Supports the audit initiatives. 22 6. Roles and Responsibilities (Cont.):

23. 23 Audit program manager responsibilities: 1. Assigns qualified auditors to audit schedule. 2. Ensures the availability of resources. 3 . Creates, Distributes and maintains audit program schedule. 4 . Monitors auditor performance and reports audit progress to management. 5. Promotes ethical behavior between the involved participants. 6. Keeps and safeguards audit program information. 6. Roles and Responsibilities (Cont.):

24. 24 Lead auditor responsibilities: 1. Responsible for communication with Client, Auditor program manager and Auditee representative. 2 . Conduct audit process meetings. 3. Ensures that necessary resources are available to audit team. 4 . Plans the audit and directs the audit team. 5. Resolves conflicts of interest or other personnel issues. 6. Prepare reports and ensures that are properly filled and safeguarded. 6. Roles and Responsibilities (Cont.):

25. 25 Auditor responsibilities: 1. Understand the purpose, scope and criteria of the audit. 2 . Collect audit evidence for verification against audit criteria. 3. Attend audit meetings. 4 . Report findings to the lead auditor. 5. Report conflicts of interest to the lead auditor. 6. Maintain confidentiality of the audit information. 6. Roles and Responsibilities (Cont.):

26. 26 Auditee responsibilities: 1. Coordinates the audit with the lead auditor. 2 . Informs their employee of audit purpose and scope. 3. Provides adequate space and privacy for auditors. 4 . Attend audit meetings . 5. Cooperates with auditors and provides access to areas included in the audit scope. 6. Takes corrective actions on audit findings. 6. Roles and Responsibilities (Cont.):

27. Thanks 27