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Most Common Mistakes Auditor make during the Audit
Most Common Mistakes Auditor make during the Audit
TNV Keep reviewing its operation independently and by third party and we are sharing general finding noted from the assessment. Auditor should take this as training and alert notice and must take extra care to avoid such / similar mistake during the assessment:
1. This have been noticed that sometime auditor either does not audit top management or does not effectively conduct audit of top management. Auditing Practices Group (APG) guidelines are available for auditing top management and auditor are recommended to visit the guideline as issued by ISO. Link to explore these document are available on the following link: https://committee.iso.org/sites/tc176sc2/home/page/iso-9001-auditing-practices-grou.html
2. This have been noticed that sometime auditors are not giving proper attention to organisation’s QMS if it did properly focus on requirements like Management of Changes, determination of risks from external internal issues and interested parties, objective monitoring, organisation knowledge, Auditor are advised to pelase review the requirement of the ISO 9001-2015 and they need to verify the requirements accordingly. Related guidelines are available on the website of the ISO for the said purpose: https://committee.iso.org/sites/tc176sc2/home/page/iso-9001-auditing-practices-grou.html
3. This have been noticed that sometime auditors does not spent adequate time to shop floor field verification and give emphasis mainly on document checking, auditor should make effective audit trail and should verify the fact / implementation state on working site. Related document may be downloaded for reference on https://committee.iso.org/sites/tc176sc2/home/page/iso-9001-auditing-practices-grou.html and http://tnvgroup.org/iso_downloads.php
4. During the witness audit of the TNV as per TNV’s procedure, it have been noticed that audit on QMS did not focus on some of the requirements in ISO 9001:2015 like determination of risks from external internal issues and interested parties, objective planning & tracking and organisation knowledge Lack of adequate coverage to the product statutory requirements. Related document may be downloaded for reference on https://committee.iso.org/sites/tc176sc2/home/page/iso-9001-auditing-practices-grou.html and http://tnvgroup.org/iso_downloads.php
5. This have been noticed that sometime auditors raises non-conformities during stage 2 related to MRMs, Internal audits which need to be verified in the Stage-1. Such practices indicate that objectives of the Stage 1 audit are not effective specialy in some cases it has been noticed that stage-1 report confirm the requirement despite auditor is verifying same in stage-2and reporting to be inadequate. Such incidence and reporting system indicates that stage 1 audit has not rightly concluded on fulfilment of all Stage 1 objectives and accordingly not communicated the same gaps to the client. Related document may be downloaded for reference on https://committee.iso.org/sites/tc176sc2/home/page/iso-9001-auditing-practices-grou.html and http://tnvgroup.org/iso_downloads.php
6. This have been noticed that sometime auditors miss some important point like Clause 9.1.1 (General) related to monitoring of processes which affect the objective of the MS audit. Related document may be downloaded for reference on https://committee.iso.org/sites/tc176sc2/home/page/iso-9001-auditing-practices-grou.html and http://tnvgroup.org/iso_downloads.php
7. This have been noticed that sometime auditors rating the process which is not effective and not aligned with TNV’s procedure like if any Process has been given a very high level of trust rating of 12 in the report and giving major non-conformities have been recorded under Internal Audit, MRM and Objectives, this is not aligned with the overall procedure and overall MSS of the organisation. Related document may be downloaded for reference on https://committee.iso.org/sites/tc176sc2/home/page/iso-9001-auditing-practices-grou.html and http://tnvgroup.org/iso_downloads.php
8. This have been noticed that sometime auditors do not fulfil the TNV F – 050 Q QMS Competency evaluation form properly and answers given are very generic. Related document may be downloaded for reference on https://committee.iso.org/sites/tc176sc2/home/page/iso-9001-auditing-practices-grou.html and http://tnvgroup.org/iso_downloads.php
9. This have been noticed that sometime auditors don’t properly develop the audit plan, sometimes it have been noticed that when audit team is visiting additional site they are verifying limited functions; but most of the requirement are written in the audit plan. Audit plan must be developed with the specific requirement and it should be customised for the client. Related document may be downloaded for reference on https://committee.iso.org/sites/tc176sc2/home/page/iso-9001-auditing-practices-grou.html and http://tnvgroup.org/iso_downloads.php
10. This have been noticed that sometime auditors does not include all the relevant clauses against the various processes for eg the Purchase and Operations ProcessesDepartments doesn’t not include Clause 9 and QA ProcessDepartment doesn’t include Clause 6 of the standard. Related document may be downloaded for reference on https://committee.iso.org/sites/tc176sc2/home/page/iso-9001-auditing-practices-grou.html and http://tnvgroup.org/iso_downloads.php
