Professional Documents
Culture Documents
SUPPLIER AUDITOR
TRAINING COURSE
15 yyears experience
p
implementing
p
g management
g
systems (Quality, Environmental, Health & Safety,
Business Continuity)
y)
Former Director of engineering company and
market research company
Over 200 successful registrations to date.
A th off Auditpak
Author
A dit k range off Auditor
A dit Training
T i i
Courses
Purpose
p
of course
To p
provide delegates
g
with a thorough
g g
grounding
g in
the concepts and techniques of supplier auditing
to enable them to p
perform effective supplier
pp
audits.
COURSE CONTENT
Purpose
p
of Supplier
pp
Auditing
g
Principles of management systems
Audit planning
The audit process
Auditing techniques and auditor behaviour
AUDITPAK-2000
PRINCIPLES OF PROCESS-BASED
MANAGEMENT SYSTEMS
Specification
INPUTS
Personnel
Design
Equipment
Materials
Methods
PROCESS
OUTPUT
Product or service
PDCA is a methodology
gy that can be applied
pp
to any
y
process.
It can be applied at all levels of an organisation
from high-level strategic processes to simple
routine operational activities
activities.
PDCA is not a one-off event. It is a dynamic
iterative methodology
methodology.
Most organisations will already have
some PDCA-type
PDCA t
methodologies
th d l i iin
place for some processes.
Management
Responsibility
CUSTOMER
Measurement,
analysis &
improvement
Resource
management
Customer
satisfaction
CUSTOMER
Requirements
Product
realisation
Information flow
Product or
service
Value-adding activities
Structure of Management
g
Systems
y
The main policy document that establishes
the Management System and how it meets the
requirements of the applicable standards
Policy
P
li
Manual
Core business
procedures
Supporting processes
Quality Procedures
Work Instructions
Supplemented by
supporting documents
Policy,
y, objectives
j
and processes
p
POLICY
OBJECTIVES
PROCESSES
Key
y aspects
p
of a Q
QMS
PRINCIPLES OF AUDITING
Ethical Conduct
Fair presentation
Independence
E id
Evidence-based
b
d approach
h
Planning
g the audit ((1))
In p
planning
g the audit,, bear in mind the p
purpose
p
of
the audit.
To ensure the suppliers
supplier s quality management
system is adequate for the needs of our product
To ensure the suppliers
supplier s quality management
system is being operated effectively, particularly in
respect of products we intend to purchase
purchase.
Our interests are selfish. We are interested
primarily in our own products and services.
Factors affecting
g audit p
planning
g
Audit checklists
The purpose of a checklist is:
is: To guide the course of an audit
To help control the pace of an audit
audit.
To provide a structured list of items to be
questioned and evaluated
evaluated.
A checklist is an aide
aide-memoire
memoire and
should not be followed blindly and
dogmatically
A checklist is the servant
servant, not the master
A. Austin 2002 - 2010 All Rights reserved
Benefits of checklists
Use as a record of procedures or events established
A source of information to be used in later audits
Help
p selection of the sample
p of activities being
g assessed
Structure the audit activities
Assist in the p
preparation
p
of audit reports
p
Help the assessor remain on course
Encourages
g research of the subject
j
of the audit
In creating a checklist consider: The time available
The questions that need to be answered
The objectives of the audit
Audit Timetable
Provides
P
id reference
f
point
i t tto ensure audit
dit
is completed in time
Should define the main tasks to be
undertaken
Should be communicated to supplier to
ensure appropriate
pp p
staff are available.
Example
p Audit Timetable
09.00 09.30
09.30 10.30
10.30 11.30
11.30 12.30
12.30 13.00
13.00 14.30
14.30 15.00
15.00 15.30
15.00 16.30
Opening
p
g meeting
g
Review of internal audits, external
audits and management review
meetings
ti
Review of non-conformances and
customer complaints
Review sales office activities
LUNCH
Review production activities
Review stores and despatch
Report preparation
Closing meeting
Preparing
p
g for an audit
Supplier audits are normallyy carried out on a
planned basis, so you should have plenty of time
to prepare.
Prior to commencing an audit: Familiarise yourself with the documentation the
supplier has provided
Prepare an audit checklist and timetable
Check that the suppliers key staff are going to be
available on the day of the audit.
Obtain relevant records of supplier performance
(delivery performance, non-conformances etc.)
A. Austin 2002 - 2010 All Rights reserved
Audit plan/checklist
Copies of system documentation provided by the supplier
Copy
py of standard, if relevant ((i.e. ISO 9001:2000 or ISO
9004:2000)
Notepad and pencil (Digital camera if available)
Copies of any supplier performance reports or nonconformances.
Details of any process capabilities you wish to verify at the
suppliers.
Any measuring instruments you wish to use at the
suppliers
Opening
meeting
g
Review
QMS
Collect
evidence
Closing
meeting
Reporting
&
f ll
follow-up
Opening
p
g meeting
g
Opening
meeting
Review
QMS
Collect
evidence
Closing
meeting
Reporting
&
follow-up
Review of Q
Quality
y System
y
Opening
O
i
meeting
Review
QMS
Collect
evidence
Closing
meeting
Reporting
p
g
&
follow-up
Collecting
g evidence
Opening
O
i
meeting
Review
QMS
Collect
evidence
Closing
meeting
Reporting
p
g
&
follow-up
Closing
g meeting
g
Opening
meeting
Review
QMS
Collect
evidence
Closing
meeting
Reporting
R
ti
&
follow-up
Reporting
p
g
Review
QMS
Opening
meeting
Collect
evidence
Closing
meeting
Reporting
&
follow-up
Typical
yp
contents of report
p
Opening
O
i
meeting
Review
QMS
Collect
evidence
Closing
meeting
Reporting
p
g
&
follow-up
Purpose of audit
A dit tteam
Audit
Personnel met
A
Areas
reviewed
i
d and
d summary off audit
dit activity
ti it
Summary of findings
P i t which
Points
hi h require
i addressing
dd
i b
by supplier
li
Conclusion
Follow-up
p
Opening
meeting
Review
QMS
Collect
evidence
Closing
meeting
Reporting
&
follow-up
Assessing
g non-ISO 9001 suppliers
pp
AUDITING TECHNIQUES
Obtaining
g objective
j
evidence
Amongst
g the methods used to collect objective
j
evidence will be:
Reviewing the quality manual and procedures
Check all aspects of operation are covered
Check
Ch k d
documents
t properly
l controlled
t ll d
Questioning
Examination of records and documents
Observing working practises
Verify working practise complies with
documented procedures
A. Austin 2002 - 2010 All Rights reserved
Appropriate
pp p
questioning
q
g
Auditors have to
manage this dynamic
Directors
How do you..?
Explain
p
to me
how..?
Who do you..?
Line Mgrs
Employees
Show me how.?
T ll me how?
Tell
h
?
INTERVIEW GUIDELINES
IInterviews
t i
should
h ld b
be h
held
ld with
ith appropriate
i t people
l
Interviews should take place during normal working
h
hours
and
d att th
the workplace,
k l
where
h
practicable
ti bl
People should be put at ease
The purpose of the interview should be explained
Any note taking should be explained
Start by asking them to describe their work
Summarise and review the results of the interview
with the interviewed person
Thank them for their help and co-operation
co operation
Questioning
Q
g techniques
q
SHOW ME
Questioning
Q
g techniques
q
Other things to consider: Environment - Needs to be conducive to
interviewing
Complexity of question - Simple questions
are better
Body language - Adopt a non-threatening
attitude
Emotive topics - handle with care
Silence - Use silence to elicit more information
Auditing
g can impact
p
on behaviour in the
workplace.
Behaviour is affected by:
Our presence
Our behaviour
Our findings
Auditor behaviour
WHAT AN AUDITOR SHOULD DO
Prepare
Learn
Control
A i t
Assist
Observe
Listen
Obtain
Be polite
B concise
Be
i
Be punctual
Auditor behaviour
AN AUDITOR SHOULD NOT
Be critical
Be side-tracked
Argue
Swear
Be late
Be sarcastic
Compare
Apportion blame