Internal Audit –  Internal audit procedure for internal auditors.

What is Internal audit?

Internal audit is a continual improvement procedure to determine whether the quality system conforms to the planned arrangements and in practice. It can be an aid for identifying potential improvement to the system already in place. Internal audit procedure is conduct at planned intervals which may defines goals to achieve their objectives.

5 stages of internal audit process

  1. Scheduling the audit
  2. How to plan internal audit
  3. How to conduct internal audit and reporting the audit
  4. Corrective action and follow up of audit findings
  5. Internal audit records management

Simply, there are five general steps to complete internal audit in organization. Organizations are defining its planning and execution as its internal requirements. See blow step by step instructions of each phase of internal audit:

Scheduling the audit

  1. Give yourself enough time to prepare and complete the audit and follow up actions before the due date,
  2. Contact in advance the area/process owner and scheduled the audit date(s).

How to plan internal audit

  1. Review the Quality System Process Map diagram and the Process Matrix.
  2. Reviews of  the relevant clauses in the ISO 9001 and TS 16949  standard.
  3. Review and refresh your knowledge of the relevant quality manual section and operational procedures,
  4. Working with quality assurance review relevant nonconformity reports, corrective actions, and quality issues reports for customer complaints, product or process trends that should be addressed as part of the audit.
  5. Review pass audit results and corrective actions.
  6. Review the present audit checklist and prepare additional notes and/or questions as needed based on the above points.

How to conduct internal audit and reporting the audit

  1. When conducting the audit, you should work with the process owner, area employees, and process documentation,
  2. Seek objective evidence demonstrating whether the audited activities conform to the requirements of ISO, the documented quality system, and whether the system is effectively implemented and maintained.
  3. Use the note evidence area to document objective evidence (Example: what you checked, who you talked to, records checked, errors, good points, and nonconformities).
  4. At the completion of the audit review the audit with the process owner, go over the strong points, weak areas, and noted nonconformities if any.
  5. If there are any questions or clarifications about the ISO, quality operating procedure requirements or audit documentation, review these issues with the quality assurance manager before completing the audit.

Corrective action and follow up of audit findings

  1. When a nonconformity is noted, bring it to the attention of, and discuss it with, the process owner.
  2. Before the end of the audit, document each noted nonconformity is using the Audit Nonconformity Report form. You should use one form per finding, unless the findings are closely related and the corrective action would be the same.
  3. Auditor fills out only the first part of the form, describing the noted nonconformity finding
    1. A copy is made and kept with the audit report until all actions are completed and closed on the original.
    2. The original(s) are then reviewed with and handed over to the process owner at the end of the audit.
    3. Make clear to the process owner that response and completion corrective actions are a priority.
  4. Upon receiving the report, the responsible manager investigates the cause of the problem noted as a nonconformity, proposes the corrective action to be taken, and indicates the date by which the corrective action will be fully implemented. The auditor reviews and approves the proposed action and follow up dates (if there are problems or questions, review these issues with the quality assurance manager).
  5. On, or immediately after the due date for implementation of corrective action, the auditor follows up with an inquiry or an audit to determine if the corrective action has been implemented and if it is effective. When there is objective evidence that the corrective action is effective, the objective evince is noted and the nonconformity report is closed out. If more work is needed to fully implement the action, a new follow-up date is agreed upon.

Internal audit records management

  1. The Leader of auditor will be prepare the original audit report and closed nonconformity report. It may includes closer notes, close nonconformity details and signs of all auditors. This report will be provided to quality assurance for final review and audit closure.
  2. In case of all actions and closeout of the audit cannot completed as on audit due date,  the auditor or process owner should contact the quality assurance manager for guidance.