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Internal Audit Process
Internal Audit Process
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Internal Audit Process
Internal Audit Process
1.0 Objective:
To ensure that the internal audits are planned and implemented to certify whether the activities and therelated results comply with planned arrangements and to determine the effectiveness of the QMS.
2.0 Scope:
This process is applicable to the QMS
3.0 Records:
Record
Number
Record Title File Name Location of
Record
Responsibility Retention
Period
IA/F/01Internal AuditPlan
Internal Audit MRs Office MR 3 years
IA/F/02List of InternalAuditors
Internal Audit MRs Office MR
Not bedestroyed
updatedperiodically
IA/F/03Internal AuditSchedule
Internal Audit MRs Office MR 1 year
IA/F/04Internal AuditChecklist
Internal Audit MRs Office MR
Not bedestroyed
updatedperiodically
IA/F/05Internal AuditReport
Internal Audit Report MRs Office MR 1 year
IA/F/06Report ofSatisfactoryFindings
Internal Audit Report MRs Office MR 1 year
IA/F/07
Summary of
Internal Audit Internal Audit Report MRs Office MR 3 years
4.0 References:
QS/M/01 Quality System Manual
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Internal Audit Process
5.0 Process Metrics:
Parameter OperationalDefinition
Standard ofPerformance
Method ofMeasurement
Responsibility Frequency
Nil
6.0 Process Flow:
On next page
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Internal Audit Process
Activity Responsibility
Start
Prepare Internal Audit Plan for the
year to include at least one half-
yearly audit of all functional areas
part of QMS
Identify internal auditors from List of
Internal Auditors. Update list basedon training imparted to personnel
Send Audit Schedule through email
to all concerned at least 5 working
days in advance of audit
Update Internal Audit Plan with
auditors identified
MR
MR
MR
MR
End
IA/F/01 - Internal
Audit Plan
IA/F/02 - List of
Internal Auditors
IQA/A2-List of Internal
Auditors
IA/F/01 - Internal
Audit Plan
IA/F/03 - Internal
Audit Schedule
* The Audit Plan is prepared based on the following:
- Performance of various departments in earlier audits
- Specific business requirements
1. Internal Audit Planning
Prepare Internal Audit Schedule
IA/F/03 - Internal
Audit Schedule
Review schedule with auditees and
auditors and finalise the schedule.
Update schedule as required
IA/F/03 - Internal
Audit Schedule
MR
MR
B
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Internal Audit Process
Activity Responsibility
Internal Auditor
Start
Study previous audit reports,
Manual, processes and instructions
prior to audit. Update Audit Checklist
Conduct audit as per Internal AuditSchedule so as to cover all relevant
clauses of ISO 9001 Standard in all
areas in scope. Use checklist for
audit
Collect evidence through interviews,
examination of documents,
observation of activities and
conditions in the audit areas
2. Preparation and Execution of Audit
Internal Auditor
Internal Auditor
End
Documents
IA/F/03 - InternalAudit Schedule
IA/F/04 - Internal
Audit ChecklistIA/F/04 - Internal
Audit Checklist
IA/F/04 - Internal
Audit Checklist
Come to m utual agreement of
finding with auditeeInternal Auditor
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Internal Audit Process
Activity Responsibility
3. Reporting of Audit Findings
Internal Auditor
Internal Auditor
Internal Auditor
MR
Internal Auditor
Internal Auditor
Start
Document audit findings in Internal
Audit Report
Obtain signature of auditee on
Internal Audit Report to indicateacceptance of finding
Complete Internal Audit Reports for
non-conformances and observations
Update Internal Audit Plan for actual
audit date
End
IA/F/01 - Internal
Audit Plan
IA/F/05 - Internal
Audit Report
IA/F/05 - Internal
Audit Report
IA/F/05 - Internal
Audit Report
Prepare Report on
satisfactory Findings to
confirm audit conducted
and areas covered
IA/F/06 - Report of
Satisfactory Findings
Number Internal Audit Report as
XX / Process / Y / Z
Where:
XX: Year of the audit
Process: Process Code
Y: Serial no of audit for that year
Z: Running serial number of report
Findings?
No
Yes
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Internal Audit Process
Activity Responsibility
4. Closure of Findings
Start
Identify / record disposition action for
each finding in Internal Report .
Update Internal Report with
personnel responsible for action and
the target completion date
Identify cause of finding
Record corrective action to be taken
on Internal Audit Report along withpersonnel responsible for action and
target completion date
Analyse cause for deciding corrective
action
Sign off Internal Audit Report to
confirm acceptance of proposed
action plan and send copy of report
to MR
X1
Handover Internal Audit Report toconcerned personnel for action .
Prepare Summary of Internal Audit to
obtain overview of system
Process Owner
Internal
Quality Auditor
MR
IA/F/05 - Internal
Audit Report
IA/F/05 - InternalAudit Report
IA/F/05 - Internal
Audit Report
IA/F/05 - InternalAudit Report
IA/F/07 - Summary of
Internal Audit
Process Owner
MR
Process Owner
Process Owner
Process Owner
Cause analysis ok /
not ok?
Give feedback to
process owner on cause
analysis
Not ok
Ok
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Activity Responsibility
X1
Corrective action
complete within
stipulated time?
No
Yes
End
Personnel
responsible fortaking actions
Obtain extension
from MR
A
Identify/Take appropriate
actions as per Corrective
Action Process / Preventive
Action Process
Review Summary of Internal Audit
and corrective actions proposed to
identify any trend. Use Data AnalysisProcess
Any trend?
Take agreed corrective action to
close finding observed during internalaudit
Yes
No
Process Owner
& MR
Personnel
responsible for
taking actions
Corrective Action
Preventive
Action
IA/F/07 - Summary of
Internal Audit
Process Owner
& MR
Data Analysis
A
Any areas that
need re-audit?B
Yes
No
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Internal Audit Process
Activity Responsibility
Follow up with personnel responsible
for implementation of actions
planned
Start
5. Follow-up
Where any changes are required, the
same is done as per DocumentControl Process
End
Review Internal Audit Report for
completion of action planned and
verification of effective
implementation
Signoff on Internal Audit Report to
indicate satisfactory closure
Effectivelyclosed
No
Yes
Internal Auditor/
MR
Internal Auditor/
MR
Process Owner
MR
Agree onappropriate action
Obtain approval
of MR for action
IQA/A5-Internal
Audit Report
IQA/A5-Internal
Audit Report
Document
Control
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Activity Responsibility
Present results of audit including the
findings and actions taken to close
findings to management at
Management Review meeting
Start
6. Management Review
End
MRManagement
Review
IA/F/07 - Summary
of Internal Audit
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