Steps and techniques

INTRODUCTION TO INTERNAL AUDITS

INTERNAL AUDITS

Purpose
Internal audits play a critical role in
maintaining and improving a
Management System.
Determine

if the system is meeting

requirements
Identify non-conformances
Drive continuous improvement
Measure compliance with the
documented system

INTERNAL AUDITORS
Internal auditors are responsible for
verifying the effective implementation of
the integrated quality management system.
Internal auditors must complete an internal
auditor training course

Auditors:

Find objective evidence that the system is implemented and

effective
Identify non-conformances
Where the system is not implemented or operating as planned
Where the system does not meet requirements of the standard

TYPES OF AUDITS
In

addition to internal audits there are

2nd and 3rd party audits. Each type of
audit differs in purpose and focus.
3rd

Party Audits: an audit by an independent

organization with no stake in the management
system, for example your certification audit.
2nd Party Audits: an outside company that
conducts an audit but has a relationship with the
organization, for example a supplier audit.
Internal Audits: employees or contractors for an
organization auditing for the organization

INTERNAL AUDITS
Focus

on compliance to the
organizations documented integrated
management system

Auditors will compare what is being done to

the documented policies, procedures and other
IQMS documentation
Is the process done according to the plan?
Are employees aware of, trained on and
following the IQMS documentation and
requirements?

INTERNAL AUDIT OR INSPECTION?

Many

companies have HSE &

Environmental inspections or regularly
scheduled inspections of Prerequisite
programs.
These differ from audits because:
They

are typically based on a standard

checklist that designed to look at each point
individually and determine if a requirement is
being followed
Internal audits look at the system and include
the interaction of processes

THE AUDIT PROGRAM

First,

an audit program must be

planned and implemented. Designate
responsibility for an audit coordinator
that will:

Maintain the audit schedule

Assign auditors
Initiate audits

AUDIT COORDINATOR

The audit coordinator with work with

management to identify how the audits
will be organized.

One effective method is to divide the facility into

sections or departments for auditing.
For example:
Research and Development
Sales and Marketing
Production
Quality Assurance
Management and Administration

THE AUDIT SCHEDULE

Prepare an audit schedule. Each area

must be audited at least one a year,
but for an effective program plan on
auditing each area at least twice.

THE AUDIT PLAN

Identify what processes or procedures
must be audited in each area or
department.
These will be included in the audit plan
for the area.

THE AUDIT PLAN

When

an internal audit is coming up on

the schedule, the audit coordinator will
determine how much time and how many
auditors are required.
Based

on the status and importance, as well as the

number of procedures that apply to the area and
must be included in the audit.
The amount of time allotted has a direct effect on
the scope and depth of the audit.
The auditor/s assigned must be independent of the
area being audited.

THE AUDIT PLAN

Once your schedule is complete it is
time to get ready for your first audit.
Prepare your audit plan based on the
processes and procedures you
identified.

AUDIT STEPS

Internal audit steps:

Create audit schedule

Complete audit plan
Hold opening meeting
Conduct audit
Document Findings
Prepare audit report
Hold closing meeting
Prepare audit file
Follow up

PERFORMING THE AUDIT

After

the opening meeting you will start

your audit.
Using

your checklists and procedures as

references, go out to observe the process and
talk to people in the department
You are looking for evidence that the Quality
System Management is working effectively
An effective audit will depend on your ability to
put people at ease and encourage open honest
communication

KEY AUDITOR ATTRIBUTES

Communication

skills

Tactful
Ability to listen
Reword questions when needed
Use local terminology

Objective
Flexible
Persistent
Curious

TECHNIQUES
The auditee may be stressed
Smile, relax
Point out good things that you see
Summarize with Everything looks
good here when you can
As the auditor, you are creating the
audit culture for your organization

TECHNIQUES
Use

open ended questions, they

provide more information. Ask

Ask

What
Where
Why
Who
When

for clarification or more information

if you do not understand.

TECHNIQUES
Keep

people informed of what you are

finding
Point out non-conformances as you go
Make sure the auditee understands
what you see as the non-conformance
There should not be surprises at the
closing meeting when you present your
findings

PERFORMING THE AUDIT

As an auditor you will:

Check documents and records

Ask questions
Observe processes and compare them
with documented procedures and work
instructions
Investigate any differences
Follow audit trails, be curious
Take good notes

PERFORMING THE AUDIT

Throughout the audit, you will take

detailed notes on what you find.

Be specific on what is reviewed and what is

found
The information you write down will be used to
identify non-conformances and to assist the
department in finding and understanding what
you observed

DOCUMENTING THE AUDIT

Once you complete your audit, you will

prepare an audit report and document any

non-conformances.
The report will also include:
General information
Documents reviewed
Persons interviewed
General summary and assessment of how the

system is performing

DOCUMENTING THE AUDIT

When your documentation is complete

you will be ready to hold your closing
meeting. The lead auditor will lead the
meeting.

Thank the group for their cooperation

Remind them that this is an evaluation of
the processes not the people

THE CLOSING MEETING

Summarize the findings

Highlight areas that are working well

Review each of the non-conformances, allow
questions and discuss the finding to make sure
that the group understands the non-conformances
Discuss any corrective actions that you followed
up on that were not found to be effective
Have the group sign the audit report as a record of
attendance
Give a copy of the table of non-conformances to
the area management

THE AUDIT FILE

Final audit file includes:

Audit plan
Audit checklists
Audit report

INTEGRATED MANAGEMENT SYSTEM

An Integrated Management System

(IMS) integrates all of an
organization's systems and processes
in to one complete framework, enabling
an organization to work as a single unit
with unified objectives.

IM
S

= QMS + EMS +
HSE

INTEGRATED MANAGEMENT SYSTEM

Organizations often focus on management systems

individually, often in silos and sometimes even in
conflict. A quality team is concerned with the QMS,
often an EHS manager handles both Environmental
and Health and Safety issues, etc.

INTEGRATED MANAGEMENT SYSTEM

API Q1/ISO 9001
Customer-Related
Process
Management
Product Realization
Measurement, Analysis &
Improvement

OHSAS 18001
Assessment of and
Measures against Health
and Safety Risks

ISO 14001
Assessment of and
Reaction to
Environmental Aspects

INTEGRATED MANAGEMENT SYSTEM

INTEGRATED MANAGEMENT SYSTEM

INTEGRATED MANAGEMENT SYSTEM

INTEGRATED MANAGEMENT SYSTEM