Your Email Motivates Me

Email dated 26 February 2013 from Dr. R. H. G. Rau, Past President, National Centre for Quality Management

"Congratulations. It sure is a milestone achievement. Warm personal regards, Rau"


Email dated 27 March 2013 from Mr. Asgar Uddin Sirdar (IRCA Registered Lead Auditor)
Qualification: BE Metallurgy, Company: Larsen & Toubro Ltd., Designation: QAQC manager

"I am a supporter of your blog. It is good."

Email dated 3 April 2013 from Mr. Vinesh Lachman, Quality Assurance Consultant, Durban, South Africa

"I am extremely delighted to have read your blog, and to see my passion reflected is beyond words. ..."

Email dated 16 April 2013 from Prof. H. C. Patel, Mumbai

"Liked write-up. Good illustration."

Types of audit

I received an email from a QAQC Manager interalia stating, “I want to know what is surveillance audit, periodic audit and any other audit type you know.” Although I replied the email giving some clarification, however I think it would be better if I write a write-up on the subject matter.

First, we should understand what an audit is. International Standard ISO 9000:2005 defines an audit as “systematic, independent and documented process (set of interrelated or interacting activities which transform inputs into outputs) for obtaining audit evidence (records, statements of fact or other information which are relevant to the audit criteria and verifiable) and evaluating it objectively to determine the extent to which audit criteria (set of policies, procedures or requirements relating to audit) are fulfilled.”

Accordingly, an audit is a systematic, independent and systematic process. The purpose of an audit is to obtain audit evidence and evaluating it objectively against the audit criteria.



Audit types

An audit can be categorized as one of the three audit types, which are as under:
- First party audit
- Second party audit
- Third party audit

First party audit is conducted by the organization itself (or conducted on behalf of the organization) for internal verification, review and other purpose. First party audit is also known as ‘internal audit’ and it is an internal management tool, by which an organization check the health of its management system. Organizations implementing management systems (such as ISO 9001:2008 QMS, ISO 14001:2004 EMS) are required to conduct internal audit at planned intervals.

Second party audit is conducted on a supplier or an organization (excepting a customer) by or on behalf of a party (such as a customer) having an interest in the organization. Second party audit is also known as supplier audit and it is a vendor assessment tool.

Third party audit is conducted for certification purpose and this type of audit is also known as certification audit. This type of audit is conducted by an external, independent audit organization (generally known as certification body or certification body). An organization that seeks certification to a management system is required to undergo certification audit. Certification body carries out three kinds of audit for certification purpose – (i) Adequacy audit – An audit of documentation, (ii) Onsite certification audit – Onsite verification of the management system, and (iii) Surveillance audit – Surveillance audit is a periodic audit (conducted from time to time) to ensure that organization still meets the requirements of the management system standard. Periodic audit is an audit for an intermediate period (e.g., one year) or an audit carried out at specified intervals – usually every one year.



Audit in ISO 9001:2008 QMS

ISO 9001:2008 QMS Standard, Clause 8.2.2, requires organization to conduct internal audit at planned intervals. Accordingly, conducting internal audit at planned intervals is must for an organization implementing ISO 9001:2008 QMS Standard. The Standard does not mention any requirement with regard to second party (supplier) audit or third party (certification) audit. Certification is not a requirement of the Standard. An organization may implement ISO 9001:2008 QMS Standard without obtaining its certification.

With best wishes,

Keshav Ram Singhal

Your Email Motivates Me

Email dated 26 February 2013 from Dr. R. H. G. Rau, Past President, National Centre for Quality Management

"Congratulations. It sure is a milestone achievement. Warm personal regards, Rau"


Email dated 27 March 2013 from Mr. Asgar Uddin Sirdar (IRCA Registered Lead Auditor)
Qualification: BE Metallurgy, Company: Larsen & Toubro Ltd., Designation: QAQC manager

"I am a supporter of your blog. It is good."

Email dated 3 April 2013 from Mr. Vinesh Lachman, Quality Assurance Consultant, Durban, South Africa

"I am extremely delighted to have read your blog, and to see my passion reflected is beyond words. ..."

Appointing a Consultant for developing and implementing ISO 9001 QMS in your organization and his role

Many executives feel necessity of consultant for developing and implementing ISO 9001:2008 Quality Management System in the organization. A question arises: Whether appointing or engaging a consultant necessary? No, appointing or engaging a consultant is not necessary for implementing any management systems' standard including ISO 9001:2008 QMS Standard, if organization's people are aware of the standard's requirements and they have confidence for implementation. Many organizations in the world have implemented ISO 9001:2008 QMS Standard without engaging or appointing any consultants. As regard appointing/engaging a consultant, the organization should make an assessment and determine whether a consultant is required.



Why organizations appoint or engage consultant? Appointing or engaging a consultant may be worthwhile investment. A good consultant always effect speedy transfer of knowledge and skills to the organization. A consultant is needed to provide guidance to keep the implementation programme on track. A good consultant provides the people power to complete the work when needed, with no further costs or commitment. There are five general reasons to appoint or engage consultants:
- First, the consultants have experience, expertise and time that employees of an organization may not. An organization generally turns to consultant to fill the knowledge and time gaps.
- Second, consultant generally provide flexibility of time. A consultant may work any time - including nights, weekends and holidays and leave when the project is completed.
- Third, Consultant offers the latest knowledge and objective point of view. A good consultant always brings the latest and unbiased ideas from his wide experience.
- Fourth, a consultant is more efficient and focus on assigned project with sincerity.
- Fifth, engaging a consultant may be proof of honest endeavour. An organization may use consultant to show that an effort is being made to correct and fill gaps in compliance with requirements and regulations.

Thus, a consultant may be an important and relevant resource to assist and guide an organization in developing, implementing and maintaining ISO 9001:2008 QMS.



However, it is essential before engaging/appointing a consultant, to check his working experience and knowledge on standards. Costs are important consideration in deciding to engage/appoint a consultant, therefore, the organization should obtain information about the consultant's cost from several consultants. However, it should be clear while deciding engaging/appointing a consultant that the cheapest consultant may always not be the best. Organization should make an emphasis on the consultant's qualification, knowledge and experience.

Role of the consultant: It is necessary to establish the role of the consultant in the organization. Decide: (i) What the consultant is expected to do? and (ii) What the organization people are expected to do or provide? Hiring/engaging/appointing a consultant should not be regarded as an exercise in shifting the responsibility for establishing the quality management system to someone else.

With best wishes,

Keshav Ram Singhal



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