audit outcomes & appropriate conclusions
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Audit Outcomes & Appropriate Conclusions. July 16 , 2014 Bob Cruse ANAB, Aerospace Program Manager. Objectives. Increase auditor awareness & understanding of Expected Outcomes of accredited certification. - PowerPoint PPT PresentationTRANSCRIPT
Company Confidential
Registration Management Committee
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Audit Outcomes&
Appropriate Conclusions
July 16, 2014
Bob CruseANAB, Aerospace Program Manager
RMC Long Beach, CA 16 – 17 July 2012
Registration Management Committee
Objectives
• Increase auditor awareness & understanding of Expected Outcomes of accredited certification.
• Provide further considerations in drawing audit conclusions and certification recommendations that are commensurate with audit outcomes.
• Discuss auditor authorities and industry expectations
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RMC Long Beach, CA 16 – 17 July 2012
Registration Management Committee
ANAB Heads Up 61 & 178
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• Heads Up 61 “Outputs Matter!”• http://www.anab.org/media/46783/hu61.pdf
• Heads Up 178 “Expected Outcomes”• http://www.anab.org/media/46666/hu178.pdf
RMC Long Beach, CA 16 – 17 July 2012
Registration Management Committee
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Ref: http://www.iaf.nu/articles/FAQ/288
Expected Outcomes FAQ
RMC Long Beach, CA 16 – 17 July 2012
Registration Management Committee
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Expected Outcomes
RMC Long Beach, CA 16 – 17 July 2012
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Expected Outcomes
RMC Long Beach, CA 16 – 17 July 2012
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Impartiality
• ISO/IEC 17021:2011 Section 4 “Principles”
RMC Long Beach, CA 16 – 17 July 2012
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Impartiality
• ISO/IEC 17021:2011 4.2.4
RMC Long Beach, CA 16 – 17 July 2012
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Impartiality
• ISO/IEC 17021:2011 5.2.12
• This should result in relatively consistent conclusion decisions, commensurate to the the audit outcomes, regardless of the organization.
RMC Long Beach, CA 16 – 17 July 2012
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Responsibility
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• ISO/IEC 17021:2011 4.4
RMC Long Beach, CA 16 – 17 July 2012
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Team Leader Responsibility
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• ISO/IEC 17021:2011 9.1.9.8.1
• ISO/IEC 17021:2011 9.1.9.8.1
RMC Long Beach, CA 16 – 17 July 2012
Registration Management Committee
Case in point…
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• 2013 Surveillance Audit (Not Witnessed)
• 2 minor NCR’s
• 2014 Surveillance Audit (Witnessed/Same auditor)
• 2 Major/23 Minor NCR’s
RMC Long Beach, CA 16 – 17 July 2012
Registration Management Committee
Case in point…
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• 2012 Surveillance Audit (Not Witnessed)
• 2 minor NCR’s
• 2013 Recertification (Witnessed/Different Auditor)
• 6 Major/15 Minor NCR’s
RMC Long Beach, CA 16 – 17 July 2012
Registration Management Committee
AS9101D Audit ReportTeam Leader Recommendation
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RMC Long Beach, CA 16 – 17 July 2012
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AS9101E Audit ReportTeam Leader Recommendation
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RMC Long Beach, CA 16 – 17 July 2012
Registration Management Committee
At the end of the day…
• CB Audit Teams/Audit Team Leaders– Are onsite and have the responsibility & authority to
provide CB management with a certification recommendation that is commensurate with the audit outcome.
– If the audit outcome represents a significant departure from “Expected Outcomes” of accredited certification & significant QMS nonconformances are raised, consideration should be given as to whether or not continued certification should be recommended.
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RMC Long Beach, CA 16 – 17 July 2012
Registration Management Committee
At the end of the day…
• CB Certification Decision Makers– Base certification decisions on the recommendation
made by the audit team leader
– If the audit outcome represents a significant departure from “Expected Outcomes” of accredited certification & significant QMS nonconformances are raised, consideration should be given as to whether or not continued certification should be recommended.
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RMC Long Beach, CA 16 – 17 July 2012
Registration Management Committee
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Questions