ISO 9001 Lead Auditor Training

MODULE 5   Audit Activities
5.6.1 Audit Checklist - Continued
Very careful planning before the audit is essential. It pays considerable dividends during the audit. Bearing in mind the limited time on any audit, the auditor wants to spend it auditing, not wondering what to look at next. Planning is the secret; silence is golden, but costly and embarrassing too!

ISO 9001 Auditor Training - Some auditors believe they can conduct a good audit by arriving at the auditee with a blank piece of paper then “following their nose”. There is now considerable evidence that audits done this way are ineffective and all such auditors have done the profession a disservice. These audits are generally biased, providing good material for that auditor's obsession. The audit conclusion is based on scant information and usually unrelated to the audit objectives.

There is a school of thought that says the checklists should be sent to the auditee prior to the audit. This may have the advantage of saving time during the audit, as certain information can be made available. Other schools of thought are opposed to such an idea and, of course, it does depend on what the checklist contains. In principle, it should not matter that the checklists are sent if the auditee understands them and if this contributes to the achievement of audit objectives.

The main purpose of the checklist remains as a memory aid for the auditor. This point is related to another. Some auditors prefer not to advise the auditee that an audit is going to be carried out. In this way, it is argued the auditee area is seen as it really operates and there is no “tidying up” for the audit. There is little merit in this, as having auditors suddenly leap out and take people by surprise is not generally sound policy, nor is it considered to be professional. Successful and effective audits are somewhat dependent on a good and trusting relationship between auditor and auditee. Surprise audits project the image of the auditor as a secret agent and, therefore, add nothing to the trust.

ISO 9000 Training - It is also true that pre-knowledge of an audit may instigate at least some improvement because people do “tidy up”. This can be a good thing; there is nothing wrong in that. It's a shame of course, if the area needs to be in its tidy state when there is an audit due. However, it is also true that the kinds of nonconformities that can be cleared by a quick “tidy up” are of a very minor nature and often not worth any major audit effort. The auditor, if capable, needs to be considering more important potential improvements.

To return to the preparation, however, the team leader and auditors have received various pieces of information from the auditee, for example, the quality manual and other forms of documentation for use in preparing checklists.

The examination of the quality manual will have been carried out with another purpose in mind   to establish whether or not the described system addresses all the points in the ISO 9001 standard being used as the basis of the audit.

If the quality manual does not address all the points, then the team leader must determine at the planning stage how the company addresses the points. Perhaps there is further information available that has been omitted by the auditee. It may be an error.

ISO 9001 Auditor Training - If the documentation is found to be inadequate, the audit team leader should inform the audit client, program manager and auditee. A decision should be made as to whether the audit should be continued or suspended until documentation concerns are resolved.

Checklist Benefits

1. Identifies relevant samples
2. Defines a formal audit process
3. Requires helpful research
4. Helps maintain the pace of audit
5. Keeps audit objectives clear
6. Gives historical reference as audit record
7. Reduces workload on auditor during audit
8. Assures auditee of auditor professionalism
9. Provide space for audit notes

Checklist Disadvantages

1. Can become a tick list
2. May be full of yes-no questions
3. If not on checklist, will not look at area
4. May stifle initiative and process analysis 

See Figure 5.6.1

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