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Audit Outcomes & Appropriate Conclusions

Audit Outcomes & Appropriate Conclusions. July 16 , 2014 Bob Cruse ANAB, Aerospace Program Manager. Objectives. Increase auditor awareness & understanding of Expected Outcomes of accredited certification.

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Audit Outcomes & Appropriate Conclusions

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  1. Audit Outcomes&Appropriate Conclusions July 16, 2014 Bob Cruse ANAB, Aerospace Program Manager

  2. Objectives • Increase auditor awareness & understanding of Expected Outcomes of accredited certification. • Provide further considerations in drawing audit conclusions and certification recommendations that are commensurate with audit outcomes. • Discuss auditor authorities and industry expectations

  3. ANAB Heads Up 61 & 178 • Heads Up 61 “Outputs Matter!” • http://www.anab.org/media/46783/hu61.pdf • Heads Up 178 “Expected Outcomes” • http://www.anab.org/media/46666/hu178.pdf

  4. Expected Outcomes FAQ Ref: http://www.iaf.nu/articles/FAQ/288

  5. Expected Outcomes

  6. Expected Outcomes

  7. Impartiality • ISO/IEC 17021:2011 Section 4 “Principles”

  8. Impartiality • ISO/IEC 17021:2011 4.2.4

  9. Impartiality • ISO/IEC 17021:2011 5.2.12 • This should result in relatively consistent conclusion decisions, commensurate to the the audit outcomes, regardless of the organization.

  10. Responsibility • ISO/IEC 17021:2011 4.4

  11. Team Leader Responsibility • ISO/IEC 17021:2011 9.1.9.8.1 • ISO/IEC 17021:2011 9.1.9.8.1

  12. Case in point… • 2013 Surveillance Audit (Not Witnessed) • 2 minor NCR’s • 2014 Surveillance Audit (Witnessed/Same auditor) • 2 Major/23 Minor NCR’s

  13. Case in point… • 2012 Surveillance Audit (Not Witnessed) • 2 minor NCR’s • 2013 Recertification (Witnessed/Different Auditor) • 6 Major/15 Minor NCR’s

  14. AS9101D Audit ReportTeam Leader Recommendation

  15. AS9101E Audit ReportTeam Leader Recommendation

  16. At the end of the day… • CB Audit Teams/Audit Team Leaders • Are onsite and have the responsibility & authority to provide CB management with a certification recommendation that is commensurate with the audit outcome. • If the audit outcome represents a significant departure from “Expected Outcomes” of accredited certification & significant QMS nonconformances are raised, consideration should be given as to whether or not continued certification should be recommended.

  17. At the end of the day… • CB Certification Decision Makers • Base certification decisions on the recommendation made by the audit team leader • If the audit outcome represents a significant departure from “Expected Outcomes” of accredited certification & significant QMS nonconformances are raised, consideration should be given as to whether or not continued certification should be recommended.

  18. Questions

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