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.
