Simply put, quality audits are performed to evaluate the quality of a system. It is the job of the auditor to carry out the tasks of the audit, comply with requirements, respect confidentiality and perform due diligence by collecting evidence about system quality. These observations should then be documented and acted upon in order to maintain the integrity both of the process and the audit. Should the process need to be refined, quality auditors must determine the appropriate policy change and how it can be best applied.
Review documentation regarding the process being audited. This includes perusing manuals that describe the quality-management system in place.
2
Create a quality audit plan. This plan should be prepared by the auditor and approved by those being audited before starting. Be sure to include a time line and the location of the audit. Also, provide a list of the documents needed to conduct the audit.
3
Define the scope of the audit. Identify the specific groups to be audited. Objectives of the audit should be clear and aligned to the audit plan. Create a checklist of quality requirements to use in the evaluation.
4
Introduce auditors to auditees. Auditees will be tasked with helping the auditor to research information about the quality requirements to be audited.
5
Provide senior management with a list of meeting times and dates.
6
Begin the audit. Have a kickoff meeting to mark the start of the audit. The meeting should have audit team members in attendance; clarify scope, goals and schedule; review how the audit will be conducted; and confirm the readiness of the auditee.
7
Interview designated groups and study records. After analyzing the data, try to verify or substantiate through more objective means. Any quality system outliers or nonconformities should be investigated and thoroughly documented.
8
Draw conclusions, discuss results with management and prepare the audit report. The report should include recommendations, outliers and observations along with the audit plan, a review of all evidence found, conclusions and a rating of the quality of the system.
Auditing is an interesting engagement that requires alertness of mind and concise application of Generally Accepted Accounting Standard using standard auditing producers.
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