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articles:risk-based_audits [2022/06/05 21:15] – [Risk-Based Internal Audits] rrandall | articles:risk-based_audits [2023/02/17 21:21] (current) – [Pitfalls to defining Risk-based Audit Planning Criteria] rrandall | ||
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</ | </ | ||
- | Expanding on the above description of a " | + | Expanding on the above description of a " |
Some specific " | Some specific " | ||
* Where the CB issued nonconformities during their most recent audit? If so, which area and how many nonconformities (Majors/ | * Where the CB issued nonconformities during their most recent audit? If so, which area and how many nonconformities (Majors/ | ||
- | * Where nonconformities were issued during the previous Internal Audit? (If so, which area and how many nonconformities (Majors/Minors) were identified? | + | * Experiencing high numbers of new employees |
- | * Failing to meet established Quality Objectives? If so, which areas/ | + | * Where “key” employees have been added or replaced? |
- | * That received " | + | * That have undergone significant change(s) (e.g., improvements, |
- | * That were responsible for the shipment of nonconforming | + | * With complex processes |
- | * Where multiple instances of nonconforming products were identified | + | * Involving “Special” processes (e.g., Soldering, Welding)? |
- | * That have been the subject of one or more " | + | |
* Considered to have High or Medium risk levels (particularly subject to [[articles: | * Considered to have High or Medium risk levels (particularly subject to [[articles: | ||
- | * With complex processes (e.g., Unique/ | ||
* Requiring the use of customer-mandated suppliers? | * Requiring the use of customer-mandated suppliers? | ||
- | * Experiencing high numbers of new employees and/or high employee | + | |
- | * Where the functions and/or processes | + | When performing |
- | * Where new processes have been implemented (e.g., a new product line introduced)? | + | * Where nonconformities were issued? If so, which area and how many nonconformities (Majors/ |
+ | * Where Quality Objectives had not been achieved, and actions | ||
+ | * That received " | ||
+ | * Where multiple instances of the same or similar nonconformities identified | ||
+ | * That had “Open” or “Pending” corrective Actions at the conclusion of the audit? | ||
+ | * Considered to have High or Medium risk levels? | ||
An " | An " | ||
- | <note>While [[https:// | + | <WRAP center round info 80%> |
+ | While [[https:// | ||
- | <note>Whether an AS 9100 series certified company performs " | + | <WRAP center round info 80%>Whether an AS 9100 series certified company performs " |
==== Pitfalls to defining Risk-based Audit Planning Criteria ==== | ==== Pitfalls to defining Risk-based Audit Planning Criteria ==== | ||
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* monitoring and measuring equipment have a high accuracy ratio (i.e., the ratio between the instrument and the tolerance measured), e/g., ≥10:1. | * monitoring and measuring equipment have a high accuracy ratio (i.e., the ratio between the instrument and the tolerance measured), e/g., ≥10:1. | ||
- | <note tip>As you define the risk-based audit criteria for your organization... you will likely realize that the information from previous internal audits is not entirely adequate to support risk-based audit planning! Any shortcomings in the previous internal audit reports should be addressed by better defining the specific " | + | <WRAP center round tip 80%>As you define the risk-based audit criteria for your organization... you will likely realize that the information from previous internal audits is not entirely adequate to support risk-based audit planning! Any shortcomings in the previous internal audit reports should be addressed by better defining the specific " |
==== Internal Audit Program Risk ==== | ==== Internal Audit Program Risk ==== | ||