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4.Description of The Methods  
4.1 Elementary Method "Audit" (AUD)  

  4.1 Elementarmethode "Audit" (AUD)

Contents  
  • 1 Identification/Definition of the Method
  • 2 Brief Characteristic of the Method
  • 3 Limits of the Methods Application
  • 4 Specification of the Methods Allocation
  • 5 Interfaces
  • 6 Further Literature
  • 1 Identification/Definition of the Method

    /ISO 10011, 1989/ Guidelines for Auditing Quality Systems

    2 Brief Characteristic of the Method

    Objective and Purpose

    The objective of the "Audit" (AUD) is to ascertain deviations from the set standards, rules, and procedures connected with the realization of activities. In particular, an audit has to point out possibilities for improvements.

    Operational Sequence

    The audit principle implies that a team headed by an audit manager assesses and evaluates the realization of activities based on set assessment criteria. Assessments and evaluations are realized by means of general human discernment and by applying the interview technique. Depending on the scope of the assessment it may be sufficient that instead of a team only one individual person is in charge of the audit.

    In all, an audit is comprised of the following steps:

    The audit initiation includes the specification of the scope and the depth of the audit in question. It must be made sure that the assessment criteria will also be sufficiently specified.

    The audit preparation includes setting up the audit team, fixing the responsibilities, defining the objectives of the audit, and making available the required material, in particular the assessment criteria. Usually, the audit manager is responsible for the audit planning.

    During the audit realization phase the audit team directed by the audit manager assesses and evaluates the realization of the activities on the basis of the assessment criteria. The results are documented. Any detected deviations have to be acknowledged by the management of the responsible person in charge.

    Recommendation

    A preparatory meeting is recommended in order to initiate the realization phase. During that meeting both the audit team and the persons in charge of the activities will be informed about the corresponding objectives and procedures.

    At the end of the realization phase the audit result ought to be presented. In this connection recommendations for improvements should be made.

    3 Limits of the Methods Application

    - not applicable -

    4 Specification of the Methods Allocation

    No. Activity Description
    4.1 QA3 - Process Assessment of Activites The assessment of activities must be realized on the basis of specially defined assessment criteria. Even though only well-chosen activities are assessed and evaluated, the development must be considered as a whole. Possible improvements have to be suggested, as well as measures to be initiated.

    Method AUD completely covers activity QA3 - Process Assessment of Activites.

    5 Interfaces

    - not applicable -

    6 Further Literature

    /IEEE 1028, 1988/ IEEE-STD 1028-1988 - IEEE Standard for Software Reviews and Audits, 1988
    /ISO 10011, 1989/ Guidelines for Auditing Quality Systems
    /MIL-STD 1521B, 1985/ Technical Reviews and Audits for Systems Equipment and Computer Software

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