Technical Audit

A technical audit assesses whether an organisation has the technical infrastructure, know-how and engineering competence to perform a particular job. It looks at TECHNICAL CAPABILITY, not at the management system.

The aim is to distinguish suppliers that hold a quality system certificate but lack the competence for a particular technical job. An ISO 9001 certificate does not show that a complex engineering task can be performed.

• Organisations purchasing complex or critical equipment
• EPC contractors and project owners
• Companies purchasing engineering services
• Tendering authorities with a technical-competence pre-qualification
• Firms about to outsource R&D or design work

The criteria are the technical specification and engineering standards the work requires: the design codes to be applied, calculation methods, manufacturing standards and personnel qualification requirements.

• The engineering staff and their competencies
• Design software and calculation methods
• The design codes applied and standards knowledge
• References for similar work and completed projects
• The machine park and technical-infrastructure capability
• Special-process competencies and approvals
• Laboratory and measurement infrastructure
• R&D and problem-solving capacity
• The quality of technical documentation
• Technical work delegated to a subcontractor

• ISO 19011
• ISO 9001
• ISO 3834
• ISO 9712
• Project-specific technical specifications

1. 1Defining the Scope and CriteriaWhat is to be audited and against which criteria is set out in writing: a customer code of conduct, a specification, a standard or a checklist.
2. 2Preliminary Information GatheringThe size and activity of the party to be audited, its audit history and any open nonconformities are reviewed.
3. 3Audit PlanThe audit date, team and timetable are prepared; the areas to be visited and the roles to be interviewed are planned.
4. 4Opening MeetingThe purpose, scope, method and reporting format of the audit are explained; the principles of confidentiality and impartiality are confirmed.
5. 5On-site AuditProduction or service areas are walked, records are examined and workers are interviewed. Findings are recorded on the spot.
6. 6Classification of FindingsDeterminations are graded according to the classification of the scheme in use (critical / major / minor / observation).
7. 7Closing MeetingThe findings are presented to management, their justification is explained and the expectation for corrective action is set out.
8. 8Report and Follow-upThe audit report is issued; a corrective action plan is obtained and its close-out is followed up. Where necessary a follow-up audit is carried out.

Findings show the gap between the technical competence the work requires and the current situation. A critical finding is the complete absence of competence to perform part of the work, or its being delegated externally without disclosure.

• Details of the audit body, the auditor and the auditee
• Date, duration and scope of the audit
• Criteria or checklist applied
• Areas and processes audited
• Findings and their classification
• Evidence and photographs supporting the findings
• Scoring or rating, where the scheme requires it
• Corrective action plan and close-out status

This audit documents the situation observed at the time of the audit and within the scope audited. Auditing is sampling-based: the records examined and the areas visited are selected to represent the whole, but this does not mean that every record was checked. The report is neither a guarantee nor a certificate, and it does not relieve the auditee of its responsibility.

Accreditation differs with the type of audit. Third-party audits underpinning management system certification are carried out under ISO/IEC 17021-1 and those underpinning product certification under ISO/IEC 17065; these scopes are subject to accreditation. First- and second-party audits, and audits governed by a scheme owner's own rules (such as SMETA or amfori BSCI), do not fall within accredited certification; they are conducted following the ISO 19011 guidance and produce a report. EUROLAB holds internationally recognised accreditation under ISO/IEC 17021-1 and ISO/IEC 17065, granted by accreditation bodies that are signatories to the IAF multilateral recognition arrangement; which audits can be offered within accredited scope is confirmed in writing at the quotation stage.

• Supplier Audit
• Factory Audit
• Process Audit
• Product Audit
• Quality Audit
• Compliance Audit
• Supply Chain Audit