1.
Report Writing
Training
MYANUAR SYNERGY SDN. BHD.
training@myanuar.com / +60173167960
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2.
Introduction
• This session we will cover introduction of:
• The Trainer
• The Delegate(s)
• Training Objective
• Methods of Delivery
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3.
Time Table
• Introduction & Timetable
• ISO9001 requirements on the audit report
• Audit Checklist Preparation using process and PDCA
approach
• NCR writing methodology
• Audit Finding Judgment Assignment
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4.
ISO 9001 REQUIREMENTS ON THE
AUDIT REPORT
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5.
Initiating the Audit
Preparing for Audit
Conducting audit
Preparing Audit
Report
Audit Follow up
Agoodinternalaudit programcanbeinitiated
throughaproperDocumented Procedure
• A systematic procedure shall cover:
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6.
ISO 9001 Requirements
• Summary of Requirements
• Audit report shall comprises the following:-
• Audit Plan
• Records of Audits
• Audit Results
• NCR shall address:-
• Corrections
• Corrective actions
• Verification results
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7.
AUDIT CHECKLIST
PREPARATION USING PROCESS
AND PDCA APPROACH
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8.
Audit Checklist
• Audit Checklist should includes:-
• Audit trails and Audit Checkpoints
• Purpose of Audit Checklist:-
• Help to keep you on track
• Ensure process is audited from start to end
• 5 W 1 H
• Ensure all aspects are addressed
• Help to prompt the auditor
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9.
Audit Checklist
• Sources for the Audit Checklist:-
• ISO9000 Series
• Organization’s QMS documents
• Critical success factors of the process
• Ideas from others
• Knowledge of industry
• Previous audit checklist
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10.
Typical (Materials) Audit Trail
• Follow process from start to finish
• You see what really happens - not what procedure says should
happen
• You keep on track
• Less likely to miss stages
• Audit is more systematic/logical
• Can look at overall process, i.e.
• Interfaces
• Targets
• Measures/Controls
• Effectiveness
• Improvement 10

11.
Example Audit Trail
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Raising Purchase Orders
Evaluation of
Subcontractors
Goods Inwards
Stores
Parts Kitting

12.
Process-Based Auditing
• CHECK:
• Audit plan includes all activities to the scope of audit and
the audit standard (e.g., ISO 9001 or the contract.)
• Audit trails are established from top level policy to all
relevant functions and levels in the organization.
• Audit plan enables links between policy, objectives, targets,
monitoring and continual improvement to be established.
• Audit plan reflects the structure, sequence and
interrelationship of processes in the organization.
• Audit plan is sufficiently flexible and enables objective
evidence to be gathered to verify activities and results.
• Audit plan reflects the organization’s goals and priorities. 12

13.
Benefits & Limitations of Process
Management Based Checklist
• Benefits
• Look at ‘Business’ & not just isolated requirements
• See how processes interact
• Can look at performance measures/effectiveness
• Auditors can each get parts of the ‘jigsaw’ which add
towards ‘big picture’ of organization
• Seen by Auditee as more useful exercise
• Limitations
• ‘Hard Work’ to fully understand a process
• Time consuming
• Requires a large amount of preparation 13

14.
Checklists and the
‘Process-Based Approach’
• Look at Business Process Map
• Look at:
• Inputs
• Outputs
• Feedback
• Measurements
• Remember ‘cascade’ of objectives:
• Follow logical trails
• Look for interaction between processes 14
Quality
Policy
Quality
Objectives
Department
Objectives
Process
Objectives

15.
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The PDCA or ‘Deming’ Cycle

16.
The Audit Operation
• All or any of these methods will assist in seeking out evidence
of the existence of a satisfactory system and the verification
of compliance with it. In achieving those objectives an auditor
may only use objective evidence.
• Audit Path/ Trail
• Auditors should choose a correct audit/trail depending on the
audit objective. This will ensure that the continuity process in
seeking the objective evidence.
• There are several audit path/trail mainly:- see next
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17.
The Audit Path/Trail
Horizontal
approach
• This approach
designs the audit
plan to audit each
clause of the
standard in turn
right across the
organization.
Vertical approach
• This approach
designs the audit
plan based on
department turns
against the
relevant clause of
the standard. 17

18.
The Audit Path/Trail
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Contract approach
• This method follow
through a
project/contract and
tracking down the
activities
Product approach
• This method tracks
down from the product
onwards.
• However, most
organization adopts
the horizontal
approach whilst
seeking certification
and eventually using
the vertical approach
to look for continual
improvement.

19.
Check records (activity)
• Ask non-destructive test inspector how he carries out a certain test.
• Auditor examine and check :
i. Work instructions
ii. Test procedures requirements
iii. Statutory requirement (e.g. MS, BS, ASME etc. )
iv. Recorded results of tests
v. Equipment for suitability and calibration
vi. Check operator’s qualifications.
• Ask to see the files of drawings used by Purchasing department in
placing sub-contract orders.
• Auditor select, examine and check :
i. The issue numbers (check with drawing register)
ii. Signatures of draughts man, checker and approver and cross
iii. check with list of approved personnel.
iv. Check distribution information.
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20.
Auditing Tools – Operation Analysis
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Men
• Competent
• Trained
• Right
attributes
Machine
• Type
• Capability
• Location
• Environment
Methods
• Procedures
• Instruction
• Control
(edition)
• Identified
Materials
• Correct type
• Certified
(quality)
• Identified
• Quantity
Output/Product
• Correct type
• Approved
• Quantity
• Identified
OPERATION UNDER AUDIT

21.
Objective Evidence
• DEFINITION
• Evidence should be collected through interviews,
examination of documents/records, observation of
activities and condition of the area under audit.
• Evidence is the facts or information used to prove or
disapprove a proposition.
• Objective Evidence is :-
i. Evidence that exists;
ii. Not influenced by emotion or prejudice;
iii. Can be documented;
iv. Is about quality;
v. Can be quantitative;
vi. Can be verified;
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22.
Objective Evidence
• Evidence must be related to reality
Analytical
Evidence
• Coming to a conclusion of an objective
evidence is determined by the types of
evidence obtained.
Direct
Evidence
• There are many times when it is impossible to
come to a conclusion of an objective evidence
without building up a case through many
pieces or circumstances of evidence.
Indirect
Evidence 22

23.
NCR WRITING
METHODOLOGY
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24.
“Good Quality” Non-Conformance
• “Good Quality” Non-conformance comprises:
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Date of Non-
conformance
Location of
Non-
conformance
Nature of Non-
conformance
(Fact)
Evidence of
Non-
conformance
Charge of Non-
conformance

25.
Nonconformities Categories
MINOR
• Either a failure to meet one
requirement of a sub-clause of
ISO 9001or a single observed
lapse in implementing one
requirement of Company
Quality Management System
Procedures.
MAJOR
• Absence, or total failure, of a
process to meet the
requirements of a complete sub-
clause of ISO 9001, resulting in
an actual or potential adverse
effect on customer satisfaction
with the product. A number of
minor nonconformities against
one sub-clause of ISO 9001
which when acting together
reduce the effectiveness of a
process to the extent that there
is an actual or potential adverse
effect on customer satisfaction
can represent a major
nonconformity.
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26.
Criteria of Corrective Action
The Internal Auditor should review Corrective Action before
acceptance
• Corrective Action should address:
• Fix the symptoms/Rectification
• Fix the root cause/Corrective Action
• Completion date of Corrective Action should be reasonable
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27.
Corrective Action
• Must address nonconformity
• Must address root cause(s)
• Should prevent re-occurrence
• Should help to improve Quality Management System
• Must be timely corrected
• Auditee best placed to outline Corrective Action
• Timescales must be realistic
• Actions may be in three stages:
• Initial Corrective Action
• Longer term preventative action
• Continuous improvement plans
• The process of submission, evaluation and verification is
known as 'Follow-Up'
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28.
How and When to Follow Up Finding
• Auditee’s management to decide and take action to the audit
findings.
• Follow up finding base on agreed completion date
• Verify evidence with reference to corrective action proposed
• Record evidence of corrective action taken
• Submit report to QMR/Responsible person
• Identify any improvement or preventive action to be taken.
• Report the result to management
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29.
When and How to Wrap up Findings?
• Do not raise non-conformities in front of staff
• Wrap up your findings with Head of Department
• Resolve discrepancy during wrap up session
• Seek verbal agreement on the findings
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30.
Audit Finding
Judgment
Assignment
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31.
Listing of Corrective Action Requests
• Log of Corrective Actions to be performed
• Helps monitor and control closure of Corrective Actions
• Assists in analyzing trends
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32.
Audit Follow Up
• Auditee’s management to decide and take action to the audit
findings.
• Management / auditor to verify the action taken.
• Identify any improvement or preventive action to be taken.
• Report the result to management.
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33.
Checking Corrective Action
• Auditor will initially evaluate proposals to check if they are
suitable / effective
• Must be timely corrected - (not too long / short a time)
• Corrective action must ensure problem is solved at root cause
• Minor nonconformities can initially be cleared by post / email,
etc., or on next routine visit
• Major nonconformities may require a special visit to clear
• Objective evidence will always be required to clear a
‘nonconformity’
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Audit Report Writing Training
Kuala Lumpur, Malaysia
Contact us for the training date: +60173167960 / training@myanuar.com
http://myanuar.com
http://facebook.com/MyAnuarSynergy