During the audit, the auditor should take notes based on a predefined checklist (or similar) and when the audit is completed, a report must be prepared as a record.
The audit report template should typically include:
When writing up the audit report it is critical that the contents are based on facts and linked to specified requirements (clauses of standards, regulations, procedures, etc.). Remember that the auditor’s report will ultimately need to be read and understood by other people in the organisation (and outside the organisation perhaps by certification bodies, regulators, etc.).
Some principles to remember when preparing audit reports:
Before concluding the report, certain decisions need to be made based on the evidence observed during the audit:
During the audit you may identify processes and/or activities which do not conform or comply with specified requirements and this case a nonconformance or observation is raised. The purpose of a nonconformity and/or observation includes:
When a nonconformity is identified, don’t tell the auditee what to do or how to resolve the issue – stay impartial!
Definition of Non-conformance: Non-fulfilment of a specified requirement (ISO 8402):
Definition of Observation: A statement of fact based on objective evidence (ISO 8402):
Major
Minor
When a nonconformity has been identified, the corrective action process must be initiated. This includes:
Correction:
Immediate action to prevent the continuation of the nonconforming activities of process.
Investigation (root cause):
Investigation and/or analysis of the cause and extent of the nonconformity.
Corrective action:
Action implemented to prevent reoccurrence of the nonconformity.
Follow-up (verification):
After an appropriate timeframe following the implementation of corrective action, a follow-up assessment should be undertake to determine if the corrective action remains effective.
Typical corrective action process:
Section 1: Understanding Annex SL and Management System Standards
Section 2: Audit requirements
Section 3: Audit objectives
Section 4: Auditor responsibilities
Section 5: Audit programming
Section 6: Pre-audit activities
Section 7: During the audit
Section 8: Audit reporting
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