What are the objectives of the audits
Any audit should serve to ensure that the following levels are met:
1. The management system really exists.
2. The management system satisfies the requirements of the audit reference system.
3. The planned management system is applicable.
4. The management system is applied.
5. The management system is effective and efficient.
In short, an organization, depending on the requirements to be considered by its Management System (System Standards, product, legislation, internal operating criteria, etc. ), must define a documentation that includes the what, how, when , the who and the evidence (records) that will demonstrate that the above questions are carried out. When the organization deems it appropriate, an auditor (internal or external) will verify that the above matters are carried out in accordance with the requirements of a Standard and the documentation established by the organization.
The differences found will imply the degree of compliance with the Standard and the documentation established by the organization , with which an organization may choose to establish corrective, preventive and improvement actions, in order to comply with the Management System, the Reference standard and to be able to opt for a Certification of your System by an external independent Entity.
Finally, it can be summarized that the audit looks for non-conformities and opportunities for improvement, in no case does it look for culprits .
Management Systems standards requirements
UNE-EN ISO 9001: 2008: Internal audit : The organization must carry out internal audits at planned intervals to determine if the quality management system:
1. It is in accordance with the planned provisions, with the requirements of this International Standard and with the requirements of the quality management system established by the organization
2. It has been effectively implemented and maintained
An audit program should be planned taking into consideration the status and importance of the processes and areas to be audited, as well as the results of previous audits. The audit criteria , its scope, its frequency and the methodology must be defined . The selection of auditors and the conduct of audits should ensure the objectivity and impartiality of the audit process. The auditors should not audit their own work. A documented procedure should be established to define responsibilities and requirements for planning and conducting audits, establishing records, and reporting results. Records of the audits and their results should be kept .
The management responsible for the area being audited must ensure that the corrections are made and the necessary corrective actions are taken without undue delay to eliminate the detected non-conformities and their causes. The follow-up activities should include the verification of the actions taken and the reporting of the verification results.
UNE-EN ISO 14001: 2004: Internal audit : The organization must ensure that internal audits of the environmental management system are carried out at planned intervals to:
1. Determine if the environmental management system:
1. It complies with the planned provisions for environmental management, including the requirements of this international standard
2. Has been properly implemented and is being maintained
2. Provide information to management on the results of audits.
One or more audit procedures that deal with:
1. Responsibilities and requirements for planning and conducting audits, reporting results, and maintaining associated records
2. Determination of the audit criteria, their scope, frequency and methods
The selection of auditors and the conduct of audits should ensure the objectivity and impartiality of the audit process.