AS9120 Internal Audit Scheduling & Planning

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BSIqa

Hi Everyone, i'm new to this forum so here is my first question I seeking help on. I have an open NCR for "Internal Audit Process in not fully effective". The finding is " No objective evidence that the audits were based on the status and importance of processes and previous audit results to defined criteria, scope, frequency and methods". I have attach my current schedule in efforts to get some feedback. Just need to know if this format is actually meeting the standard. Thank you all in advance.
 
B

BSIqa

Oh shoot, my attachment didn't load up. I guess my post count needs to grow a bit. Anyways, any advise will help as well. Thank you.
 

AndyN

Moved On
Hi Everyone, i'm new to this forum so here is my first question I seeking help on. I have an open NCR for "Internal Audit Process in not fully effective". The finding is " No objective evidence that the audits were based on the status and importance of processes and previous audit results to defined criteria, scope, frequency and methods". I have attach my current schedule in efforts to get some feedback. Just need to know if this format is actually meeting the standard. Thank you all in advance.

So, a simpler thing to do is to describe what your schedule looks like - what were your audits (covering) and when in time?
 

QualityStandardsGirl

Starting to get Involved
I just got a non-conformance for this same exact issue. Our Internal Audit schedule is based on our Key Process areas (the same ones we identify as our PEAR areas - Sales, Procurement and Repair Management, Warehouse Management (which covers all inbound receipt and inventory) and Delivery (which covers outbound orders, packaging and shipment) as well as Management and Operational Assurance (which is the area where our Corrective/Preventive/Customer Inquiries etc. is located)

The auditor mainly said we didn't take into account the status of the processes. We aren't sure what she means.
 

Sidney Vianna

Post Responsibly
Leader
Admin
We aren't sure what she means.
Nobody better than the auditor herself to explain what she means, but status of processes have to do with the maturity of the process, how critical it is, how it's performance been trending over time, as well as potential process reengineering, people/equipment supporting the process new in their positions, functions, etc...

Don't let the auditor leave the premises without explaining what SHE means. They are expected to perform debriefing and exit meetings. It is YOUR chance to clarify any doubt.
 
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JoShmo

I just got a non-conformance for this same exact issue. Our Internal Audit schedule is based on our Key Process areas (the same ones we identify as our PEAR areas - Sales, Procurement and Repair Management, Warehouse Management (which covers all inbound receipt and inventory) and Delivery (which covers outbound orders, packaging and shipment) as well as Management and Operational Assurance (which is the area where our Corrective/Preventive/Customer Inquiries etc. is located)

The auditor mainly said we didn't take into account the status of the processes. We aren't sure what she means.

Maybe she didn't know either! Status means:

Are they new/changed/performing to expectations(or below/above) etc. So when you take a look at those you list, are they all equal in the sight of management? Sales changed recently due to increased work? Corners cut (y'know what sales is like, right?) and then Procurement, dealing with new suppliers? Stuff not getting odered on time or arriving wrong. Same for warehouse ops. Inventory accuracy due to maybe a second shift pick 'n' pack being put on because sales is up (I could go on)

How do you factor these into WHEN you do audits or do you do like waaaaaayyyy too many, just one a month or something which doesn't take much thinking about.
 

Kronos147

Trusted Information Resource
The auditor mainly said we didn't take into account the status of the processes.

Real world example: you have 5 processes, and production & sales are the "most critical" you could have your system specify that these processes are assessed by the most senior auditor.

You could have an audit schedule for 2015 and have results that show issues with a process. The schedule for 2016 could be changed to assess that process first.

There are many ways to skin this cat. One way is to make sure you don't show an auditor a schedule from 2015 that looks exactly like 2016. :-D
 
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