Certification Auditing Process – Enquiry (Application form)

  • An Audit application form is completed and submitted by a client online or call for application form.
  • The application form is received and is used to initiate the Audit Process.
  • The Auditing service delivery process begins with the completion of the Auditing Application form.
  • The Auditing Application form can be initiated by contacting one of our team members online.

Certification Auditing – Proposal (Cost of Audit)

The information contained within the Audit application form (Audit – Enquiry), in conjunction with additional information gathered by our marketing team, establishes the basis of the Audit proposal.

The Audit proposal is a detailed document consisting of but not limited to:

  • Audit structure
  • Scope
  • Expected deliverables
  • Audit plan
  • Costings
  • Timelines and milestones
  • Team members
  • Reporting
  • Management of change

The Audit proposal document establishes the foundation of the project engagement between Australian QC and the client on who, what, how, why and when and the audit project activities.

Assigning Audit Team Members

Australian QC will Assigning suitable team members to take part in the audit process is one of the most important factors identified within the Audit Proposal.

Team members are assigned to perform the audit based on skills, experience, qualifications, past performances.

Auditing – Structure

The audit framework defines the benchmark (requirements) that the auditor users to compare the clients documented policies, procedures and actual work performances.

Australian QC auditors basically perform the following type audit:

  • Client Internal Audits
  • Audit specific to an ISO standard
  • An auditor to a non-ISO standard
  • FAMI-QS Audit

Irrespective of the type of audit, and the selected standard all our auditors work within the guidelines and boundaries set out within the requirements of the ISO 19011, ISO 17065 and ISO 17021.

Conducting the Audit(s)

Audits are conducted as per the audit plan schedule, the identified requirements list and or the selected standard being audited against.

Audit process consist of, but not limited to:

  • Opening meeting
  • Conducting interviews, open discussions with client representatives
  • Conducting observations of staff performing daily work activities
  • Conduct QA sessions to verify work performed being in line with documented policies and procedures and comply to the identified list of requirements
  • Closing Meeting

Australian QC auditors follow the requirements of the ISO 19011 and ISO 17021 standards, and the auditing activities are based on collecting supporting evidence of conformity to a given set of requirements based on a random sampling of a number of work activities within a number of departments of the organisation being audited.

Auditing – Assessment

The auditor(s) documents all their observations obtained (via interviews, discussions, observations, questioning and physical testing) throughout their auditing activities, and such observations are assessed and one of the following status are applied to a given observation:

Major NC

Denotes a total absence of an identified requirements within an ISO standard, inclusive of Documented Information and or its implementation and or maintenance.

A MAJOR NC raised during the audit process will require the audit to be terminated. The client is given the opportunity to address the Major NC in a timely manner.

The audit needs to be re-scheduled and can take place when the client can supply evidence that the Major NC has been addressed.

Minor NC

Denotes partly absence of an identified requirements within an ISO standard, inclusive of Documented Information and or its implementation and or maintenance.

A MINOR NC raised during the audit process will NOT require the audit to be terminated. However multiple Minor NC raised may initiate the auditor to terminate he audit

The client is given the opportunity to address all the MINOR NC(s) in a timely manner.

If the audit is terminated then, the audit needs to be re-scheduled and can take place when the client can supply relevant evidence that the list of MINOR NC(s) has been addressed.

Potential NC

Denotes an observation that should be a Major or Minor NC, but ethically cannot be raised as such if the client demonstrates that the item was identified prior to the audit process and there is evidence that there is a clearly documented plan for resolution within the suitable timeframes.

OFI

Opportunity for Improvement.

Opportunities for Improvement are provided as a reference for improvement only – it is not a requirement for the OFI to be addresses by the client.

Conformity

Signifies an observation that highlights the activity observed conforms within the given ISO requirement.

The process of assessing the identified the observation and determining the final assessment needs to be repeatable by any suitably qualified and experienced auditor

Australian QC Auditor assessment for a given observation is fair, non-bias and demonstrates objectivity and impartiality.

Certification Auditing – Reporting

Audit reporting is the final step in the auditing process; the audit report is developed to be presented in a defined manner to focus all the findings and relevant assessment.

Australian QC auditors provide one of three types of reporting for a given audit.

  • Verbal notification that the AuditAudit has been terminated due to Major NC being identified during the AuditAudit followed up with a written audit report supporting the reasoning for the audit termination.
  • Verbal reporting of the findings via a close meeting presentation at the end of the audit process.
  • A final written audit report highlights the audit assessment and a recommendation for certification if applicable.

Irrespective of the type of audit, and the selected standard all our auditors work within the guidelines and boundaries set out within the requirements of the ISO 19011, ISO 17065 and ISO 17021.

Certification Auditing – Surveillance

The conclusion of the Audit is a very satisfying experience and colossal breakthrough, a huge milestone for any organisation. Unfortunately, however, most organisations do not influence the audit outcome to an optimal result.
We provide a rare service to our client base, which is auditing the implementation of the corrective actions after completing the main Audit.

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