internal audit process

8/2/2019 Internal Audit Process

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Internal Audit Process


SYS-IAP-P-01 Version No: 0.0 Date: 01January2012 Page:1 of 10


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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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5.0 Process Metrics:

Parameter OperationalDefinition

Standard ofPerformance

Method ofMeasurement

Responsibility Frequency

Nil

6.0 Process Flow:

On next page



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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 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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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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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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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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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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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
