AS9110 – using a process approach to auditing

 

Internal audits play a key role is assessing the effectiveness of processes to meet the objectives as set. The AS 9110 internal audits assess the suitability of controls implemented and the adequacy of recourses in supporting the users to meet objectives. At time QMII has observed organizations that audit to the clauses of the standard rather than using a process approach to auditing. So, what is a process approach to auditing?

AS 9110 is a process-based system based on the plan-do-check-act framework and built on the foundation of ISO 9001. The standard asks organizations to use a process-based approach to meeting customer requirements. Does every process then need to be documented? The answer is no. The system is documented to the extent needed to deliver confidence to the organizations and its users that the processes and delivering the intended results. Clause 7.5 of AS 9110 gives guidance on what are the factors to be considered in determining which processes to document.

All users of the system may not be familiar with the clauses of the standard, but they do know what they do. Auditors trained in the AS 9110 standard need to connect back the processes to the clauses of the standard as they conduct their audits. When auditing a process, a number of clauses come up common in nearly all processes audited. Let us then look at how these different clauses play a part in each process.

Every process should have a measurable objective per clause 6.2 defined, there will be a need for competency of personnel assigned to the process. In addition, auditors would like to review what is being monitored and measured in the process and how often per clause 9.1.1, how are non-conforming outputs controlled per clause 8.7 and then corrective action taken on these per clause 10.2. Further auditors will look for clear communication lines per clause 7.4, resources per clause 7.1 and control of documentation per clause 7.5.

AS 9110 internal auditors will also assess how continual improvement of the process takes place and whether roles and responsibilities for the process have been assigned. Control of all operation processes per 8.1 will be assessed to determine if the organization is implementing control in accordance with the criteria identified. In ensuring the integrity of the process AS 9110 auditors would like to assess the robustness of the process by posing hypothetical questions to the auditees. Thee auditors will also want to see the effective control of changes to the process.

AS 9110internal process audits when conducted objectively will add value to the system and gain buy-in from the users for further improvements of the system.