QualitySystemAuditing质量体系审核说课.ppt

Three Key Words Evidence Criteria Independent Internal Audit An independent, objective assurance and consulting activity designed to add value and approve an organization’s operations. It helps an organization accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes. ----Institute of Internal Auditors Question: What is the difference between third part audit and first part audit (internal audit) Forming an audit team and assign roles and responsibility and agreed on the scope Conducting document review Preparing for the on-site audit activities The Consideration of the Auditing Schedule 1. Auditing Scope 2. Operational performance (KPI) 3. Customers’ feedbacks ( e.g complains ); 4. NCR in last auditing; 5. Auditing resources Auditing Plan Based on auditing schedule; Consider the specific scope and purposes; Consider the auditing resources; An daily work assignment; Worked out by leading auditor Case Study Checklist Cover all the requirements of the auditing plan; Worked out by each auditor; Road map of the checkout; Focus on the key points Audit Approach Route Approach： ? Based on dep. ?Based on process Route： ? Forward trace ?Backward trace Auditing based on department EXAMPLE OF AN AUDIT CHECKLIST General format for an audit checklist EXAMPLE OF AN AUDIT CHECKLIST AUDITING ACTIVITIES Conducting on-site audit activities Critical Points for checking Documents and records; Machinery and equipments; Measuring devices; Workers and their operations; Raw materials and components; Logistics; On-sites cleaning and environments AUDITING ACTIVITIES Generating audit findings Either conformity or non-conformity Sort out isolated or systemic deficiencies ISOLATED VERSUS SYSTEMIC DEFICIENCY  The audit finding can be classified into 2 groups: Compliance : Satisfactory /Adequate Outstanding Non-compliance : Critical d