INTERNATIONAL MANAGEMENT

SYSTEMS & STANDARDS

Auditing Techniques
(ISO 9001:2015)

Instructor: Engr.Zahid Rashid

E-mail: zahid.rashid@uettaxila.edu.pk
University of Engineering & Technology , Taxila Pakistan
4th Apr 2022
 WHAT IS AN AUDIT?
ISO 9001 defines an audit as

“A systematic, independent and documented process for obtaining

“audit evidence” and evaluating it objectively to determine the
extent to which “audit criteria” are fulfilled.”

REASONS FOR CONDUCTING AUDITS

To examine the system for improvements.

To determine compliance or non-compliance with the

requirements of the standard or applicable legal requirements.

To make a certification decision.

Auditing Techniques OHSAS 18001
 AUDIT FINDINGS
An audit finding may be a:

Non-Conformity

Noncompliance

Opportunities for improvement

Auditing Techniques OHSAS 18001

 AUDIT PROGRAM
When planning the audit program the following must be
considered:

Status and importance of processes

Major changes

Previously established non-conformities

Auditing Techniques OHSAS 18001

 AUDIT PROCEDURE
The procedure would address

 Roles & responsibilities in the process

 Competence requirements (LA,A,TE)

 Methods of performing auditing process at each stage

 Format of all records, storage, retention

Auditing Techniques OHSAS 18001

 AUDITOR RESPONSIBILITIES

A person qualified and authorized to perform all, or a portion of,

an audit.

To audit allocated areas/activities and report findings to the Lead

auditor.

Be aware of the needs and expectation of the auditee.

Consider local cultural and customs.

Auditing Techniques OHSAS 18001

 AUDITEE RESPONSIBILITIES
Cooperate with the auditor in the planning and conducting of the
audit.

Provide access for the audit team.

Provide guides

Attend the opening and closing meetings.

Address and implement corrective action.

Auditing Techniques OHSAS 18001

 AUDIT STAGES

Auditing Techniques OHSAS 18001

 Planning: Pre Audit Management

Identify audit team

Define the objectives, scope and criteria

Agree mutually convenient dates

Gather information (optional: preliminary visit)

Auditing Techniques OHSAS 18001

 Planning: Audit Plan
Planning: Document Review
Review of system documentation and records to establish
conformity with the audit criteria.

Planning: Detailed planning for the on-site audit

 Decide the duration of the audit

 Develop the audit plan and send it to the client

 Distribute the tasks and brief the team

 Prepare necessary documentation and forms

 Arrange for logistics.

Auditing Techniques OHSAS 18001
 Implementation: On-site Audit
Two stage Approach in Initial Audits

Stage 1: (Documents check)

Define the processes, judge on system readiness, stage II duration,

team constitution, special requirements.

Gap b/w Stage 1 & 2 (Min 10 days)

Stage 2: ( Compliance Effectiveness)

Evaluate compliance and effectiveness

Auditing Techniques OHSAS 18001

 Implementation: On-site Audit
Two stage Approach in Initial Audits

 Opening meeting

 Communication

 Role of the guides

 Collection of objective evidence

 Audit conclusion and recommendations

 Closing meeting

Auditing Techniques OHSAS 18001

 Reporting and Follow Up
Reporting

Prepare the audit report

Approve and distribute the audit report

Follow Up
Check the effectiveness and corrective actions implemented.
(Surveillance Audit)

Plan for next audit.

Compile the audit file.

Auditing Techniques OHSAS 18001

 First, Second & Third Party Audits
The management of 1st and 2nd party audit planning and
execution should call upon the skills and techniques identified.

 1st Party ( Internal Audit )

 2nd party(By customer on its suppliers and sub-contractors)

3rd party ( Independent Organization)

Objective Evidence
Forward Trace: An audit which follows the natural flow of a
product or service process.

Backward Trace: An audit which traces records back through the

system.
Auditing Techniques OHSAS 18001
 CONDUCTING AUDITS
The auditors audit the area assigned to them in the audit plan.

 Sample the system

 Collect objective evidence of system effectiveness.

 Compare findings from checklist with requirements

 Decide compliance or non compliance

 Agree and categories non conformities.

 Hold a meeting daily with auditee’s representatives, and at the

end of the audit. Prior to the closing meeting.
Auditing Techniques OHSAS 18001