internal audit classroom training
DESCRIPTION
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Elliott GroupElliott Group
*
ISO (International Organization of Standardization) is a worldwide federation of national standards bodies (ISO member bodies).
The work of preparing International Standards is normally carried out through ISO technical committees.
Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee.
International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
*
*
*
expires January 2017
*
*
*
Elliott Group Audit Program
Elliott Group audit program is standardized on the qualification of auditors and the auditing process.
The Audit Program Manager determines the audit schedule at the beginning of each year. The schedule is based on risk analyses.
*
*
*
ISO requirements.
Jeannette Operations Quality Manual that describes the quality management system for Elliott Group, Jeannette.
BMS Work Instructions, Process Specifications, Elliott Group Work Instructions, DOMs, and other documented procedures.
*
*
*
Act as One Company – Elliott Group
Customer Responsiveness
Human Resource Development
Strategic Plan Implementation
*
*
*
Elliott Group Certified Lead Auditor
“An individual shall be certified as an auditor upon satisfactory completion of the Record of Auditor Qualification, Form 1102. Assessment and sign-off for individual line items on Form 1102 may be made by the individuals indicated on the form.”
Reference BMS WI-00021, Internal Quality Auditing, Rev 6
*
*
*
Section I: General
Demonstrate, by discussion with an Elliott Group Certified Quality Auditor, an understanding of the following subject matter. The Audit Program Manager may waive all or part of this section based on the trainee’s previous experience. The basis for waivers shall be documented on the back of this form.
Auditor Skills and Conduct _________________________ __________
Audit Performance _________________________ __________
Section II: Elliott Group Jeannette Procedures
Demonstrate, by discussion with an Elliott Group Quality Manager or Audit Program Manager, an understanding of the following Elliott Group documents.
Quality Policy and Manual _________________________ __________
Date
Date
Date
Elliott Group Corporate (Quality) Objectives, Date
BMS Database _________________________ __________
_________________________ has completed the qualification requirements for an Elliott Group Quality Auditor and is hereby certified.
_________________________ _________ Manager Quality Operations Date
*
Certified Auditor
Audit Team
“All internal audits shall be led by a certified auditor. Other members of the audit team do not require certification as an auditor, but shall be selected based on their technical expertise”
Reference BMS WI-00021, Internal Quality Auditing, Rev 6
*
*
*
Maintenance of Certification
Certified auditors shall maintain their proficiency through one or all of the following:
Continued certification by an accredited certification body.
Active participation in a minimum of three audits within a 36 month period.
Internal Elliott Group certification by the audit program manager.
Failure to maintain certification will require re-qualification. Auditors certified to an earlier Elliott procedure do not require re-certification per this Work Instruction as long as they have maintained certification.
Records of quality auditor qualification, certification, and maintenance of certification are maintained by the Audit Program Manager in accordance with WI-00250.
Reference BMS WI-00021, Internal Quality Auditing, Rev 6
*
*
*
Audit Schedule
The Audit Program Manager uses risk analyses to create an annual audit schedule.
All sections of the ISO 9001:2008 standard are to be assessed at least once in any given 24 month period.
*
*
*
*
*
Project Management
Primary contact for the customer Contract reviews with customer Issues project updates Customer satisfaction surveys
COE / Production / Inventory Control Product Engineering
Provides specific job engineering support
Design / Drafting
Production Control
Make or buy decisions Issues purchase requisitions Issues internal WIP discrete jobs
Purchasing
Manufacturing Focus Factories
Engineering Purchasing Manufacturing Engineering Methods/Industrial Engineering Manufacturing
Assembly and Test
Warehouse / Stores
Traffic & Logistics / Shipping
Engineering Research and Development
Management
Quality Assurance / Quality Control Internal Audits Calibration Inspection Inspection / Test Plans
Engineered Products / Engineered Solutions – QMS Process Interaction Sh
ar ed
R es
ou rc
es Fl
ow ch
ar t
M an
ag em
en t
Project Engineering
Performs scheduling and capacity planning Production planning
Salary/ Bargaining Training Plans
Data backup Permissions control
Weld machines Machinery/ Cranes Plant safety Equipment calibration Predictive Maintenance Plant utilities
Receiving Receiving inspection Preservation
Rotor dynamics Structural analysis Aerodynamics Technical Programming
09/10/2013
*
*
*
Support field sales Review client RFQ/ specifications Make design selections Establishes or confirms quoted price and LT
Project Management and
Primary contact for the customer Contract reviews Issues project updates Create project Dspecs Completes customer documents Create PRLs Schedules parts completion dates
Drafting
Creates job specific drawing and BOMs for manufacturing Creates customer issue drawings Provides data for production forecast Create ECCs to document product changes
Production Control
Reviews production capacity and planning schedule Make or buy decisions Issues purchase reqs Issues internal WIP and outsource DJs Provides data for production forecast Issue pick lists
Storeroom
Purchasing
Issue RFQs for competitive bids Issues POs and maintain status Maintain approved suppliers list
Manufacturing
Assembly and Test
Manufacturing Engineering
Support all aspects of manufacturing and A&T Disposition NCRs Initiate ECCs to product changes
Human Resources Information Technology Quality Assurance Process Innovation Materials
Engineering Research and Development
Management
Quality Assurance / Quality Control Internal Audits Calibration Inspection Inspection / Test Plans
Industrial Products – QMS Process Interaction Sh
ar ed
R es
ou rc
es Fl
ow ch
ar t
M an
ag em
en t
Product Engineering
Salary/ Bargaining Training Plans
Data backup Permissions control
Weld machines Machinery/ Cranes Plant safety Equipment calibration Predictive Maintenance Plant utilities
Receiving Receiving inspection Preservation
Rotor dynamics Structural analysis Aerodynamics Technical Programming
Shipping
09/10/2013
*
Human Resources Information Technology Quality Assurance Process Innovation Materials
Engineering Research and Development
Management
Quality Assurance / Quality Control Internal Audits Calibration Inspection Inspection / Test Plans
Service Parts – QMS Process Interaction Sh
ar ed
R es
ou rc
es Fl
ow ch
ar t
M an
ag em
en t
Issues/process RFQ to suppliers Issues purchase orders Negotiates blanket orders Negotiates PO pricing Interacts with Inside Sales functions Maintains approved suppliers
Salary/ Bargaining Training Plans
Data backup Permissions control
Receiving Receiving inspection Preservation
Primary contact between customer and Elliott Group Customer satisfaction surveys Delivers quotes Processes and manages aftermarket parts orders Problem resolution Builds customer relationships Customer account maintenance
Initiates job specific specifications Makes design selections
Scheduling and planning of incoming orders Make or Buy decisions Capacity planning and analysis Place internal requirements with QAC and EP/IP Inventory analysis and inventory management
Quick Action APP Supplier
Engineered Products Industrial Products Service Parts
Rotor dynamics Structural analysis Aerodynamics Technical Programming
Application Engineering PurchasingProduction Control Manufacturing Warehouse / Stores
Traffic & Logistics / Shipping
09/10/2013
*
Audit plan Form 3346
Assignment of CAR
Save working papers until CAR is completed
*
*
*
*
*
*
ISO 9001:2008 requirements
Elliott Group Corporate Objectives
Review of previous audit reports
*
*
*
Opening Meeting
Meet with the manager and/or supervisor of the area to be audited
Present the audit plan
Determine who, what, where and when you’ll be auditing
Coordinate your audit with operation’s efforts
Ask what PPE is required for the area
*
*
*
Respect people you speak with during an audit
They are the masters of their area (not you)
We audit the process, not the person
Speak about the process
READ, READ, READ
OBSERVE, OBSERVE, OBSERVE
*
Different personalities
Interpret body language and voice dynamics
Observe actions
Nonconformance: actions and requirements do not agree
It is not the auditors place to diagnose what is wrong
Beware of rabbit trails – don’t get off track
*
*
*
Training and instructions
Appropriate tools, calibrated tools, when needed
Control of a process
*
*
*
Handoffs
Process control
Documented training
DJ information
*
*
Audit Performance
As findings are discovered, discuss them with the area supervisor and/or appropriate process owner
Issue CARs during the audit
*
*
*
Purpose
Review of NCR and CAR Database
Summary
Metrics
Flowchart
Audit trails and source of evidence. Be very specific with this information.
*
*
*
Scheduled after audit report is approved
At a minimum, invite the associated manager(s) and/or supervisor(s) to the closing meeting
Present the audit report, compliments, findings and CARs
Make sure your findings are clearly understood.
*
*
*
*
*
Audit Records
Audit plans and audit reports are saved in the Quality Folder in the BMS database.
Email notification of the posted audit is automatically sent from the BMS database
Audit Program Manager updates the audit metrics.
*
*
*
Audit Metrics
Metrics are maintained to show the completion of required audits within the target period.
*
*
*
*
*
ISO (International Organization of Standardization) is a worldwide federation of national standards bodies (ISO member bodies).
The work of preparing International Standards is normally carried out through ISO technical committees.
Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee.
International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
*
*
*
expires January 2017
*
*
*
Elliott Group Audit Program
Elliott Group audit program is standardized on the qualification of auditors and the auditing process.
The Audit Program Manager determines the audit schedule at the beginning of each year. The schedule is based on risk analyses.
*
*
*
ISO requirements.
Jeannette Operations Quality Manual that describes the quality management system for Elliott Group, Jeannette.
BMS Work Instructions, Process Specifications, Elliott Group Work Instructions, DOMs, and other documented procedures.
*
*
*
Act as One Company – Elliott Group
Customer Responsiveness
Human Resource Development
Strategic Plan Implementation
*
*
*
Elliott Group Certified Lead Auditor
“An individual shall be certified as an auditor upon satisfactory completion of the Record of Auditor Qualification, Form 1102. Assessment and sign-off for individual line items on Form 1102 may be made by the individuals indicated on the form.”
Reference BMS WI-00021, Internal Quality Auditing, Rev 6
*
*
*
Section I: General
Demonstrate, by discussion with an Elliott Group Certified Quality Auditor, an understanding of the following subject matter. The Audit Program Manager may waive all or part of this section based on the trainee’s previous experience. The basis for waivers shall be documented on the back of this form.
Auditor Skills and Conduct _________________________ __________
Audit Performance _________________________ __________
Section II: Elliott Group Jeannette Procedures
Demonstrate, by discussion with an Elliott Group Quality Manager or Audit Program Manager, an understanding of the following Elliott Group documents.
Quality Policy and Manual _________________________ __________
Date
Date
Date
Elliott Group Corporate (Quality) Objectives, Date
BMS Database _________________________ __________
_________________________ has completed the qualification requirements for an Elliott Group Quality Auditor and is hereby certified.
_________________________ _________ Manager Quality Operations Date
*
Certified Auditor
Audit Team
“All internal audits shall be led by a certified auditor. Other members of the audit team do not require certification as an auditor, but shall be selected based on their technical expertise”
Reference BMS WI-00021, Internal Quality Auditing, Rev 6
*
*
*
Maintenance of Certification
Certified auditors shall maintain their proficiency through one or all of the following:
Continued certification by an accredited certification body.
Active participation in a minimum of three audits within a 36 month period.
Internal Elliott Group certification by the audit program manager.
Failure to maintain certification will require re-qualification. Auditors certified to an earlier Elliott procedure do not require re-certification per this Work Instruction as long as they have maintained certification.
Records of quality auditor qualification, certification, and maintenance of certification are maintained by the Audit Program Manager in accordance with WI-00250.
Reference BMS WI-00021, Internal Quality Auditing, Rev 6
*
*
*
Audit Schedule
The Audit Program Manager uses risk analyses to create an annual audit schedule.
All sections of the ISO 9001:2008 standard are to be assessed at least once in any given 24 month period.
*
*
*
*
*
Project Management
Primary contact for the customer Contract reviews with customer Issues project updates Customer satisfaction surveys
COE / Production / Inventory Control Product Engineering
Provides specific job engineering support
Design / Drafting
Production Control
Make or buy decisions Issues purchase requisitions Issues internal WIP discrete jobs
Purchasing
Manufacturing Focus Factories
Engineering Purchasing Manufacturing Engineering Methods/Industrial Engineering Manufacturing
Assembly and Test
Warehouse / Stores
Traffic & Logistics / Shipping
Engineering Research and Development
Management
Quality Assurance / Quality Control Internal Audits Calibration Inspection Inspection / Test Plans
Engineered Products / Engineered Solutions – QMS Process Interaction Sh
ar ed
R es
ou rc
es Fl
ow ch
ar t
M an
ag em
en t
Project Engineering
Performs scheduling and capacity planning Production planning
Salary/ Bargaining Training Plans
Data backup Permissions control
Weld machines Machinery/ Cranes Plant safety Equipment calibration Predictive Maintenance Plant utilities
Receiving Receiving inspection Preservation
Rotor dynamics Structural analysis Aerodynamics Technical Programming
09/10/2013
*
*
*
Support field sales Review client RFQ/ specifications Make design selections Establishes or confirms quoted price and LT
Project Management and
Primary contact for the customer Contract reviews Issues project updates Create project Dspecs Completes customer documents Create PRLs Schedules parts completion dates
Drafting
Creates job specific drawing and BOMs for manufacturing Creates customer issue drawings Provides data for production forecast Create ECCs to document product changes
Production Control
Reviews production capacity and planning schedule Make or buy decisions Issues purchase reqs Issues internal WIP and outsource DJs Provides data for production forecast Issue pick lists
Storeroom
Purchasing
Issue RFQs for competitive bids Issues POs and maintain status Maintain approved suppliers list
Manufacturing
Assembly and Test
Manufacturing Engineering
Support all aspects of manufacturing and A&T Disposition NCRs Initiate ECCs to product changes
Human Resources Information Technology Quality Assurance Process Innovation Materials
Engineering Research and Development
Management
Quality Assurance / Quality Control Internal Audits Calibration Inspection Inspection / Test Plans
Industrial Products – QMS Process Interaction Sh
ar ed
R es
ou rc
es Fl
ow ch
ar t
M an
ag em
en t
Product Engineering
Salary/ Bargaining Training Plans
Data backup Permissions control
Weld machines Machinery/ Cranes Plant safety Equipment calibration Predictive Maintenance Plant utilities
Receiving Receiving inspection Preservation
Rotor dynamics Structural analysis Aerodynamics Technical Programming
Shipping
09/10/2013
*
Human Resources Information Technology Quality Assurance Process Innovation Materials
Engineering Research and Development
Management
Quality Assurance / Quality Control Internal Audits Calibration Inspection Inspection / Test Plans
Service Parts – QMS Process Interaction Sh
ar ed
R es
ou rc
es Fl
ow ch
ar t
M an
ag em
en t
Issues/process RFQ to suppliers Issues purchase orders Negotiates blanket orders Negotiates PO pricing Interacts with Inside Sales functions Maintains approved suppliers
Salary/ Bargaining Training Plans
Data backup Permissions control
Receiving Receiving inspection Preservation
Primary contact between customer and Elliott Group Customer satisfaction surveys Delivers quotes Processes and manages aftermarket parts orders Problem resolution Builds customer relationships Customer account maintenance
Initiates job specific specifications Makes design selections
Scheduling and planning of incoming orders Make or Buy decisions Capacity planning and analysis Place internal requirements with QAC and EP/IP Inventory analysis and inventory management
Quick Action APP Supplier
Engineered Products Industrial Products Service Parts
Rotor dynamics Structural analysis Aerodynamics Technical Programming
Application Engineering PurchasingProduction Control Manufacturing Warehouse / Stores
Traffic & Logistics / Shipping
09/10/2013
*
Audit plan Form 3346
Assignment of CAR
Save working papers until CAR is completed
*
*
*
*
*
*
ISO 9001:2008 requirements
Elliott Group Corporate Objectives
Review of previous audit reports
*
*
*
Opening Meeting
Meet with the manager and/or supervisor of the area to be audited
Present the audit plan
Determine who, what, where and when you’ll be auditing
Coordinate your audit with operation’s efforts
Ask what PPE is required for the area
*
*
*
Respect people you speak with during an audit
They are the masters of their area (not you)
We audit the process, not the person
Speak about the process
READ, READ, READ
OBSERVE, OBSERVE, OBSERVE
*
Different personalities
Interpret body language and voice dynamics
Observe actions
Nonconformance: actions and requirements do not agree
It is not the auditors place to diagnose what is wrong
Beware of rabbit trails – don’t get off track
*
*
*
Training and instructions
Appropriate tools, calibrated tools, when needed
Control of a process
*
*
*
Handoffs
Process control
Documented training
DJ information
*
*
Audit Performance
As findings are discovered, discuss them with the area supervisor and/or appropriate process owner
Issue CARs during the audit
*
*
*
Purpose
Review of NCR and CAR Database
Summary
Metrics
Flowchart
Audit trails and source of evidence. Be very specific with this information.
*
*
*
Scheduled after audit report is approved
At a minimum, invite the associated manager(s) and/or supervisor(s) to the closing meeting
Present the audit report, compliments, findings and CARs
Make sure your findings are clearly understood.
*
*
*
*
*
Audit Records
Audit plans and audit reports are saved in the Quality Folder in the BMS database.
Email notification of the posted audit is automatically sent from the BMS database
Audit Program Manager updates the audit metrics.
*
*
*
Audit Metrics
Metrics are maintained to show the completion of required audits within the target period.
*
*
*
*