Audit Definition and Purpose in Quality Management Systems

What is an Audit

An audit is a systematic and independent examination of an organization's quality management system (QMS) or its specific processes to determine whether they comply with specified requirements, such as ISO 9001. In the context of quality management, an audit is used to evaluate the effectiveness of a QMS, identify areas for improvement, and provide a basis for management to take corrective and preventive actions.

An audit can be performed internally by the organization's own personnel or externally by a third-party auditor. The auditor will evaluate the organization's processes, procedures, and documentation against the requirements of the relevant quality management standard. The auditor will also review the implementation and maintenance of the QMS, as well as the organization's overall performance. The audit's outcome is a report that summarizes the findings and recommendations for improvement.

An audit can be a valuable tool for organizations to assess the effectiveness of their quality management systems and to identify opportunities for continuous improvement. In addition, it helps organizations to understand the current level of compliance with the standard and identify areas for improvement.

What types of audits are there?

Various types of audits can be conducted, depending on the scope and purpose of the examination. Some common types of audits include:

1. Financial audit: This type of audit is conducted to evaluate the accuracy and completeness of an organization's financial statements. The auditor will review the organization's financial records and transactions to ensure that they are presented under Generally Accepted Accounting Principles (GAAP) or International Financial Reporting Standards (IFRS).
2. Operational audit: This type of audit is conducted to evaluate the efficiency and effectiveness of an organization's internal operations and controls. The auditor will review the organization's processes, procedures, and systems to identify areas for improvement and potential cost savings.
3. Compliance audit: This audit is conducted to determine whether an organization complies with laws, regulations, and standards. The auditor will review the organization's policies, procedures, and documentation to ensure that they meet relevant laws and regulations requirements.
4. Quality management system audit (QMS): This type of audit is conducted to evaluate the effectiveness of an organization's QMS. The auditor will review the organization's processes, procedures, and documentation against the requirements of the relevant quality management standard, such as ISO 9001.
5. Information systems audit: This type of audit is conducted to evaluate the effectiveness of an organization's information systems, including its computer systems, networks, and data security. The auditor will review the organization's systems and controls to ensure they are secure and reliable.
6. Environmental, Health and Safety (EHS) audit: This type of audit is conducted to evaluate the effectiveness of an organization's EHS management system, compliance with the relevant laws, regulations and standards, and to identify areas for improvement.

These are just a few examples of the many types of audits that can be conducted. The specific type of audit will depend on the organization's needs and the purpose of the examination.

What kind of audits are there in quality management?

In quality management, several types of audits can be conducted to evaluate the effectiveness of an organization's quality management system (QMS) and identify opportunities for improvement. Some common types of quality management audits include:

1. Internal audit: This type of audit is conducted by the organization's own personnel to evaluate the effectiveness of its QMS and identify areas for improvement. The auditor will review the organization's processes, procedures, and documentation to ensure that they meet the requirements of the relevant quality management standard.
2. External audit: This type of audit is conducted by a third-party auditor to evaluate the effectiveness of an organization's QMS and identify areas for improvement. The auditor will review the organization's processes, procedures, and documentation to ensure that they meet the requirements of the relevant quality management standard.
3. Certification audit: This type of audit is conducted by a certification body to determine whether an organization meets the requirements of a specific quality management standard, such as ISO 9001. The auditor will review the organization's processes, procedures, and documentation to ensure they meet the standard's requirements.
4. Surveillance audit: This type of audit is conducted to monitor the ongoing compliance of an organization's QMS with the relevant standard. It is usually done on organizations that are already certified to ensure they maintain the standard.
5. Supplier audit: This type of audit is conducted to evaluate the quality management system of an organization's suppliers. The auditor will review the supplier's processes, procedures, and documentation to ensure that they meet the requirements of the relevant quality management standard.
6. Process audit: This type of audit is conducted to evaluate the effectiveness of a specific process or group of processes within an organization's QMS. The auditor will review the process, procedures, and documentation to ensure that they meet the requirements of the relevant quality management standard and that they are effectively implemented and maintained.

These are just a few examples of the many quality management audits that can be conducted. The specific type of audit will depend on the organization's needs and the purpose of the examination.

How does an audit in quality management work?

An audit in quality management typically follows a systematic and structured process to evaluate an organization's quality management system (QMS) or specific processes to determine whether they comply with specified requirements, such as ISO 9001. The specific process will vary depending on the type of audit being conducted. However, most quality management audits will follow a general process that includes the following steps:

1. Planning: The auditor will develop an audit plan that outlines the audit's scope, objectives, and schedule. The auditor will also identify the personnel and resources required to conduct the audit.
2. Preparation: The auditor will review the organization's quality management system documentation and procedures, as well as any relevant laws and regulations, gain an understanding of the organization's processes and controls.
3. Opening meeting: The auditor will hold an opening meeting with the organization's management to introduce the audit team, explain the audit process, and confirm the audit schedule.
4. Audit: The auditor will conduct an on-site examination of the organization's processes and procedures, as well as its records and documentation, to determine whether they meet the requirements of the relevant quality management standard. The auditor will also observe and interview personnel to understand their roles and responsibilities.
5. Closing meeting: The auditor will hold a closing meeting with the organization's management to discuss the findings of the audit and any non-conformities identified.
6. Report: The auditor will prepare a report summarizing the audit findings and any non-conformities identified. The report will also include recommendations for improvement.
7. Follow-up: The auditor will conduct a follow-up audit to ensure that the organization has implemented corrective and preventive actions to address any non-conformities identified during the audit.

The specific process of an audit in quality management may differ depending on the type of audit, the standard it's based on, the organization, and the specific requirements of the audit.

Can you conduct an audit if there are no requirements?

It is possible to conduct an audit without specific requirements. Still, it would be beneficial to have some guidelines or criteria to evaluate against. Without specific requirements, the audit would likely focus on identifying areas of improvement and best practices that can be implemented to enhance operations, customer service and safety, and financial performance.

It is also essential to consult with stakeholders, such as management and employees, to identify the critical areas of focus for the audit. This will help to ensure that the audit addresses the most critical issues and concerns and that the findings and recommendations are relevant and actionable.

It's essential to remember that, with specific requirements, the audit may be more comprehensive with guidelines to follow. It's also important to note that the audit may need to be repeated or modified as the organization evolves and new requirements become necessary.

The audit findings and recommendations should be shared with the management team, and a follow-up plan should be put in place to address any identified issues.

What are some examples of reoccurring audits you can do daily?

Several reoccurring audits can be done daily in a restaurant to ensure the operations are running smoothly and efficiently. Some examples include:

Food Safety Audit: This audit includes checking the storage and handling of food items, monitoring the temperature of refrigeration and cooking equipment temperature, and ensuring that all food handlers follow proper sanitation and hygiene practices.

Cleanliness Audit: This audit includes inspecting the cleanliness of the kitchen, dining room, restrooms, and exterior of the restaurant to ensure that they are free from dirt and debris. This also includes ensuring that all surfaces and equipment are properly cleaned and sanitized.

Inventory Audit: This audit includes monitoring the inventory of food and supplies, ensuring that all items are properly stored and rotated and that there are no expired items on hand. This also includes ensuring that the inventory is balanced with the sales and usage data.

Customer Service Audit: This audit includes observing staff interactions with customers, ensuring that they provide prompt and efficient service and are aware of any specials or promotions. This also includes monitoring customer wait times and measuring customer satisfaction.

Cash Handling Audit: This audit includes monitoring the cash handling procedures, ensuring that all transactions are accurate and that all cashiers follow the established policies. This also includes monitoring the point-of-sale system and ensuring it works efficiently and securely.

It's essential to remember that these are just examples, and your business's specific needs may require different types of audits or different frequencies. The results of the audits should be shared with the management team, and a follow-up plan should be put in place to address any identified issues.