Page 230 - The Handbook for Quality Management a Complete Guide to Operational Excellence

216 P r o c e s s C o n t r o l Q u a l i t y A u d i t s 217

• Pre-award audit. Conducted to determine whether the prospective
supplier’s quality system meets the customer’s requirements.
• Surveillance audit. Conducted to ensure that an approved supplier’s
quality system continues to comply with established requirements.
• Contract renewal. Conducted to determine whether a previously
approved supplier continues to meet the quality system
requirements.
• Problem resolution. A tightly focused audit conducted to identify
the root cause of a problem and to ensure that effective corrective
action is taken to prevent future occurrences of the problem.
• In-process observation. On-site audits performed to ensure that pro-
cesses are performed according to established requirements. These
audits are often performed when it is difficult or impossible to
determine whether or not requirements have been met by inspect-
ing or testing the finished product.
At times periodic audits are automatically scheduled. For example, to
maintain certification to the ISO 9000 series standards, an organization is
periodically reassessed.

Auditor Qualifications
Willborn (1993, pp. 11–23) provides an extensive discussion of auditor
qualifications. The first requirement for any auditor is absolute honesty
and integrity. Auditors are often privy to information of a proprietary or
sensitive nature. They sometimes audit several competing organizations.
The information an auditor obtains must be used only for the purpose for
which it was intended. It should be held in strict confidence. No amount
of education, training, or skill can compensate for lack of ethics.
The auditor must be independent of the auditee. In addition, auditors
must comply with professional standards, possess essential knowledge
and skills, and maintain technical competence. Auditors must be fair in
expressing opinions and should inspire the confidence of both the auditee
and the auditor’s parent organization.
The auditor acts as only an auditor and in no other capacity, such as
management consultant or manager. Managers of audit organizations
should have a working knowledge of the work they are supervising.
An auditor’s qualifications must conform to any applicable standards,
and they must be acceptable to all parties. The auditing organization
should establish qualifications for auditors and provide training for tech-
nical specialists.
Some auditing activities, such as those of nuclear power plants, require
special certification. Lead auditors require additional training in leader-
ship skills and management. Third parties may also provide certification
of auditors, such as by ASQ.

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