Elliott Group

Internal Auditor Training

(ISO 9001:2008)
April 25, 2014

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What is ISO?

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.
Publication as an international standard requires approval by at least
75% of the member bodies casting a vote.

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Elliott Group

ISO certified since:

Current certification is to
ISO 9001:2008 edition

EP - December 1992
IP - February 1993

expires January 2017

LRQA (Lloyds Register

Quality Assurance
Limited) is the current
registrar

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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.

Corrective Action Requests (CAR), in Oracle, are

created to record the corrective and preventive
actions resulting from audit findings.

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Auditing at Elliott Group

Audits verify compliance to the following:

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.

Elliott Group Corporate Objectives, also known as the

Quality Objectives. (can be found in the BMS database)

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Elliott Group Corporate (Quality)

Objectives

Act as One Company Elliott Group

Customer Responsiveness
Support of Ethics Compliance Program
Human Resource Development
Strategic Plan Implementation
Cost Reduction
Safety Improvement
Product and/or Process Quality Improvement

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Auditor Qualification and Certification

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 signoff 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

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Auditor Qualification Form

RECORD OF AUDITOR QUALIFICATION
FORM 1102 (04/23/13)
Candidate Name:
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 trainees previous experience. The basis for waivers shall be documented on the back of this form.
Auditor Skills and Conduct
Audit Planning and Preparation
Audit Performance
Audit Report and Follow-up
Auditing Tools and Techniques

_________________________ __________
Date
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Date
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Date
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Date
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Date

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
Internal Quality Audits, BMS WI-00021
Qualification of Quality Auditors, BMS WI-00021
Corrective and Preventive Action, BMS WI-00005
Problem Prevention Team, BMS WI-01052
Elliott Group Corporate (Quality) Objectives,
BMS Database

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Date
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Date
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Date
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Date
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Date
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Date

Section III: Certification

_________________________ has completed the qualification requirements for an Elliott Group Quality Auditor and is hereby certified.
_________________________
Manager Quality Operations
_________________________
Audit Program Manager

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_________
Date
_________
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

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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

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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.
Audits are aligned with the process interaction flow charts
in the Jeannette Operations Quality Manual.
The audit schedule may be revised according to special
requests and business needs.

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Elliott Group Audit Process

The Elliott Group internal audit process includes:

Audit plan Form 3346

Opening meeting
Audit
Review of audit finding(s) with management
Assignment of CAR
Audit Report Form 3347
Closing meeting
Filing information (audit report, metrics, etc.)
Save working papers until CAR is completed
Audit plans and audit reports are maintained for 3
years (WI-00250, Record Retention)

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Audit Plan

The audit plan is recorded on Form 3346

ISO 9001:2008 requirements

Business Management System Work Instructions
Elliott Group Corporate Objectives
Corrective actions (CARs) from previous audits
Review of previous audit reports

Audit plans for (special request) shall have a

scope adequate for the intended purpose as
determined by the lead auditor.

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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 youll be
auditing
Coordinate your audit with operations efforts
Ask what PPE is required for the area
Ask if there are any specific issues they want you
to include in the audit

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Audit Performance

Introduce yourself
Let them know why you are there
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

Do not personalize the audit

LISTEN, LISTEN, LISTEN REALLY LISTEN!

READ, READ, READ
OBSERVE, OBSERVE, OBSERVE

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Audit Performance

Auditing skills

Arc of perception how is one looking at something?

Different personalities

Observe actions

Know your own personality

Identify and adapt to the personality of the auditee
Interpret body language and voice dynamics
Nonconformance: actions and requirements do not agree
It is not the auditors place to diagnose what is wrong

Beware of rabbit trails dont get off track

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Audit Performance
Common Sense

Quality is setting each other up for success with

Training and instructions

Complete and accurate information regarding the job
Appropriate tools, calibrated tools, when needed
Control of a process
Defined and controlled inputs and outputs

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Audit Performance

Be cognizant of the following:

Handoffs
Work around or hidden factories
Process control
Documented training
Chaos
Current work instructions or process specifications
DJ information

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Audit Performance

Take copious notes

Dates
Names of personnel interviewed
Location
Part name
Assembly #
Job #
Tool ID #
Calibration status (due date)

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Audit Performance

As findings are discovered, discuss them with the

area supervisor and/or appropriate process
owner
Issue CARs during the audit
If a CAR already exists that addresses the
finding, add the finding to that CAR. Do not issue
a new CAR

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Audit Report

Audits are reported on Form 3347

Purpose
Scope of Audit
Team Members
Key Personnel Contacted
# of Findings
Applicable ISO 9001-2008 Sections
Applicable Elliott Group Procedures
Review of Previous Internal Audit
Review of NCR and CAR Database
Summary
Metrics
Flowchart
Audit trails and source of evidence. Be very specific with this
information.
Findings. Record the requirement with an observation of the
nonconformance.

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Closing Meeting

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.

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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 notes are held by the auditor until associated
CAR(s) are closed.

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Audit Metrics

Metrics are maintained to show the completion of

required audits within the target period.
Metrics are maintained to give guidance to
scheduling future audits.
Metrics are maintained to determine weaknesses
within the Elliott Quality Management System.

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BMS Database

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Questions?

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