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articles:types_of_audits [2022/07/27 11:59] – [What are the types of audits?] rrandallarticles:types_of_audits [2023/02/09 11:10] (current) – [Quality Management System Audits] rrandall
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     * a Configuration Audit (i.e., for a specific product configuration)     * a Configuration Audit (i.e., for a specific product configuration)
  
-<note>For purposes of this article, all audits are assumed to be "quality-related" in nature (e.g., NOT Environmental or Safety). </note>+<WRAP center round info 80%> 
 +For purposes of this article, all audits are assumed to be "quality-related" in nature (e.g., NOT Environmental or Safety). 
 +</WRAP> 
 ===== What are the types of audits? ===== ===== What are the types of audits? =====
 While there are many types of audits, and audit strategies, the most common types are: While there are many types of audits, and audit strategies, the most common types are:
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 Using "Document Control" as another example, the auditor would verify control of documents in every area where documents are distributed (or otherwise required to be controlled - e.g., documents of external origin). Using "Document Control" as another example, the auditor would verify control of documents in every area where documents are distributed (or otherwise required to be controlled - e.g., documents of external origin).
  
-<note>AS9100 auditors use the "Horizontal Auditing" approach for all of the AS9100 requirements outside of section 8. This is recorded in AS9101 Form 2: "QMS PROCESS MATRIX REPORT".</note>+<WRAP center round info 80%> 
 +AS9100 auditors use the "Horizontal Auditing" approach for all of the AS9100 requirements outside of section 8. This is recorded in AS9101 Form 2: "QMS PROCESS MATRIX REPORT". 
 +</WRAP>
  
 __Vertical Audits__ \\  __Vertical Audits__ \\ 
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   * Production (ISO 9001/AS9100, sec. 8.5, 8.6 & 8.7)   * Production (ISO 9001/AS9100, sec. 8.5, 8.6 & 8.7)
  
-Using "Sales" as an example, the auditor would interview personnel concerning the process inputs, activities, and outputs. And examine a sampling of records (required by sec. 8.2.3.2) used to provide evidence of a contract/order review having been performed (with its results) and any records created to describe any new requirements for the products and services (e.g., Change Orders, Amended/Revised Orders).+Using "Sales" as an example, the auditor would: 
 +  - interview personnel concerning the process inputs, activities, and outputs; 
 +  - examine a sampling of records (required by sec. 8.2.3.2) used to provide evidence of a contract/order review having been performed (with its results) and any records created to describe any new requirements for the products and services (e.g., Change Orders, Amended/Revised Orders).
  
 Using "Procurement" as another example, the auditor would interview personnel concerning the process inputs, activities, and outputs. And examine a sampling of the records required by ISO 9001/AS9100, sec. 8.4 to be retained. Using "Procurement" as another example, the auditor would interview personnel concerning the process inputs, activities, and outputs. And examine a sampling of the records required by ISO 9001/AS9100, sec. 8.4 to be retained.
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 During a full system audit, the auditors "should" verify that the linkages between processes provide effective communication of requirements. During a full system audit, the auditors "should" verify that the linkages between processes provide effective communication of requirements.
  
-<note>AS9100 auditors use the "Vertical Auditing" approach for all of the AS9100 requirements contained in section 8. This is recorded in a separate 9101 Form 3: "PROCESS EFFECTIVENESS ASSESSMENT REPORT" (aka PEAR) for each department.</note>+<WRAP center round info 80%> 
 +AS9100 auditors use the "Vertical Auditing" approach for all of the AS9100 requirements contained in section 8. This is recorded in a separate 9101 Form 3: "PROCESS EFFECTIVENESS ASSESSMENT REPORT" (aka PEAR) for each department. 
 +</WRAP> 
 ==== Product Audits ==== ==== Product Audits ====
  
 A “Product Audit” is performed with the objective of verifying whether a particular product (e.g., parts or assemblies, processed material, software) conforms to requirements (i.e., drawings, BOMs, technical specifications, product/material standards).  A “Product Audit” is performed with the objective of verifying whether a particular product (e.g., parts or assemblies, processed material, software) conforms to requirements (i.e., drawings, BOMs, technical specifications, product/material standards). 
  
-<note>A similar approach could be taken when performing a service-related audit (e.g., laboratory analysis, destructive or non-destructive testing, calibration services, repair services). However, the focus would generally be on the specification(s) defining the required service.</note>+<WRAP center round info 80%> 
 +A similar approach could be taken when performing a service-related audit (e.g., laboratory analysis, destructive or non-destructive testing, calibration services, repair services). However, the focus would generally be on the specification(s) defining the required service. 
 +</WRAP>
  
 In fact, the ASQ definition of a “Product Audit” includes "services". In fact, the ASQ definition of a “Product Audit” includes "services".
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 Product audits can be either performed internally or at supplier sites. Product audits can be either performed internally or at supplier sites.
  
-<note important>A “[[articles:source_inspections|Source Inspection]]" is NOT a "Product Audit" (or a “Supplier Audit”) because it is an “__inspection__” (not an audit). Unlike a Supplier/Product Audit (which follows a product through its entire production process – verifying that requirements have been met), a Source Inspection takes place at the end of the production line. A Source Inspection "can" replace the Receiving Inspection performed by the customer.</note>+<WRAP center round important 80%> 
 +A “[[articles:source_inspections|Source Inspection]]" is NOT a "Product Audit" (or a “Supplier Audit”) because it is an “__inspection__” (not an audit). Unlike a Supplier/Product Audit (which follows a product through its entire production process – verifying that requirements have been met), a Source Inspection takes place at the end of the production line. A Source Inspection "can" replace the Receiving Inspection performed by the customer. 
 +</WRAP>
  
 These audits should begin by identifying the particular product(s) that the customer is purchasing from the supplier. If the company has any specific product/service-related concerns, then these should be considered when planning the audit.  These audits should begin by identifying the particular product(s) that the customer is purchasing from the supplier. If the company has any specific product/service-related concerns, then these should be considered when planning the audit. 
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 While all of the above-listed audit types have an objective of verifying "compliance". a "Value-Added Audit" (VAA) focuses on improvement through the elimination or reduction of non-value-added (NVA) activities/steps in a sequence. While all of the above-listed audit types have an objective of verifying "compliance". a "Value-Added Audit" (VAA) focuses on improvement through the elimination or reduction of non-value-added (NVA) activities/steps in a sequence.
  
-<note>An excellent book describing these audits is "[[https://www.amazon.com/Understanding-Applying-Value-Added-Assessment-Eliminating/dp/0873893697|Understanding and Applying Value-Added Assessment - Eliminating Business Process Waste]]" by William E. Trischiler.</note>+<WRAP center round info 80%> 
 +An excellent book describing these audits is "[[https://www.amazon.com/Understanding-Applying-Value-Added-Assessment-Eliminating/dp/0873893697|Understanding and Applying Value-Added Assessment - Eliminating Business Process Waste]]" by William E. Trischiler. 
 +</WRAP>
  
 "Value-Added Audits" are performed "internally" and tend to be used by companies who have adopted the use of Lean 6 Sigma tools. "Value-Added Audits" are performed "internally" and tend to be used by companies who have adopted the use of Lean 6 Sigma tools.