Objectives
Objectives of audit execution are to:
- Perform the audit activities according to the Internal Quality Audit plan
- Find out non-conformance issues
- Report the identified non-conformances and audit findings
Process Entry/Exit Criteria
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Process Inputs/Outputs
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Tasks
- Lead auditor and audit team conduct the opening meeting with the key team members of Auditees.
- Lead auditor distributes the audit activities among the audit team according to audit plan as required.
- Audit Team conducts the audit by evaluating performed processes/activities and associated work products against audit criteria according to Internal Quality Audit checklist
- Audit Team records the audit findings in the Internal Quality Audit checklist.
- After completion of evaluation and verification, audit team conducts the Auditors meeting to discuss and consolidate audit findings.
- During the auditors meeting, audit team categorizes the findings in major or minor non-conformances and observations.
- Audit Team conducts an audit closing meeting with Auditees to discuss consolidated audit results and get their agreement on all non-conformance issues.
- Audit Team prepares an audit summary report to document audit observations and summary of all non-conformances using Audit Summary Report Template.
- Audit Team document each agreed upon major and minor nonconformance, as well as an observation, requires action using Corrective and Preventive Action Request Template
- Lead Auditor communicates the Corrective and Preventive Action Request(s) and Audit Summary Report to Auditees
- Lead Auditor sends Audit Summary Report to relevant stakeholders and concerned roles in the upper management hierarchy.
For Organization Level Audits relevant stakeholders may include:
- Chief Executive Officer
- Process Engineering Lead
- Software Engineering Process Group Lead
- Operation Manager/Quality Assurance Manager/Development Manager (depending on that audited dept. comes under which Manager’s hierarchy)
For Project Level Audits relevant stakeholders may include:
- Chief Executive Officer
- Development Manager
- Quality Assurance Manager
- Process Engineering Lead
- Software Engineering Process Group Lead
Guidelines for Audit Execution
Following are the guidelines for the core audit activities during audit execution:
- Opening Meeting:
Lead auditor conducts the Opening Meeting in which:- Audit team and auditee should be introduced
- The scope of the audit may be reviewed
- The audit team may describe the audit process, clarify any administrative matters and solicit the auditee’s input
- Logistic and the time for the closing meeting may be determined
- Actual Audit:
- Audit Team may conduct the interviews of auditee(s)
- Audit Team should observe that the performed process is tailored from the standard process according to the guidelines and work products are produced as planned
- The audit team should check the records/evidence of work activities
- The audit team should record the audit findings on the audit checklist
- Audit Team Meeting:
- Audit Team should sit together to discuss and agree on the audit findings
- The audit team should examine audit findings and categorize in major, minor and observations
- A draft Audit Summary Report may be prepared at this stage to present audit results in the closing meeting which can be updated after closing meeting as required.
- Closing Meeting:
- Audit Team should appreciate auditee for help and coordination
- Audit Team should invite the auditee to ask questions for clarification
- Any outstanding diverging opinion between the audit team and the auditee should be discussed and resolved by logical arguments.