AS9120 Internal Audit Scheduling & Planning

B

BSIqa

#1
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.
 
Elsmar Forum Sponsor
B

BSIqa

#2
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.
 
#3
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
#4
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
Staff member
Admin
#5
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.
 
Last edited:
J

JoShmo

#6
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
#7
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
 
Thread starter Similar threads Forum Replies Date
V What Training is Required to be a Qualified AS9120 Internal Auditor AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 14
C AS9120 or AS9100 Cert pertaining to inventory? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 0
N From 0 to AS9120 AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 0
T Was Just told we could ONLY buy material for AS9100 customers if the DISTRIBUTION house is AS9100 / AS9120 AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 3
Q AS9120 7.5.3.2 Control of Documented Information - Audit Nonconformance AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 20
Q AS9120 Vendor of ESD Monitoring Equipment needs to be in the Approved Supplier List? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 8
A AS9120 External Provider Registry Scope of Approvals AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 0
howste AS9120 Rev B has been released and is available for purchase - November 2016 AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 0
M Does AS9120 (aerospace first article inspection) apply to all customers AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 2
H AS9120 stockist now able to work with Airbus sub contractors? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 2
G AS9120 Purchase Department Performance Requirements AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 3
G AS9120 - What should we be expecting once we set forth into becoming certified? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 11
TrivialSublime TUV Rheinland voluntarily suspending their ANAB accreditation to AS9100/AS9120. Registrars and Notified Bodies 19
N Do I need to certify to AS9100 or AS9120? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 6
J Verification of AC0056A requirement during AS9120 audit AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 1
P Parts Salvage, Overhaul and Resale - AS9120 Registration question AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 10
L Registration to AS9120 Rev. A timeline AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 5
C As9120 AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 1
M Purchasing Process - AS9120 Clause 7.4.1 - What do they want?! AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 8
Sidney Vianna AS9120 Revision A has been released AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 14
M AS9120 Requirements for for Freight Forwarders (eg no batch splitting) AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 1
M AS9120 Certification Process AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 14
A New AS9120 Questions - Distributor - Is 7.5.1 applicable? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 14
F Should I remove references to AS9120 / ISO 9001 from my Quality Manual and QMS? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 7
S AS9120 Request AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 2
V Interesting quiz, case studies or exercises for AS9120 needed AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 4
V Has AS9120:2002 been replaced by AS9120:2005? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 10
Sidney Vianna AS9120 - Should planning of product realization be excluded? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 1
A Upgrading from ISO9001:2000 to AS9120 - Difficulties? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 17
V Can anyone explain the extra requirements of AS9120 vs. AS9100? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 10
Marc AS9120 - Designed for aerospace suppliers known as "stockist distributors" Design and Development of Products and Processes 3
P EN/AS9100 vs. EN/AS9120 - Can we be both? EN/AS9100 Requirements Exceed EN/AS9120? AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 5
Sidney Vianna AS9003 and AS9120 - First Accredited Registrars for AS9003 and AS9120. Various Other Specifications, Standards, and related Requirements 5
Sidney Vianna AS/EN/SJAC AS9120 - Aerospace Requirements for Stockist Distributors - Now available AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 1
M Major vs. Minor for Internal Audits? Internal Auditing 10
T Internal Nonconformance procedure thoughts (AS9100) AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 4
M Tips on preparing for IATF 16949 Internal Lead Auditor exam Manufacturing and Related Processes 1
C Internal Audits in a tiny Dx Company Internal Auditing 33
H AS9100 Checklist for Internal Audit needed AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 1
A What are the pros and cons of using an audit software for internal auditing? General Auditing Discussions 4
F Internal Audit before Pre-Assessment ISO 17025 related Discussions 2
Q Internal audit plan template Internal Auditing 5
E PEMS Hazards - IEC 60601 Clause 14.6 - Internal data use - Pressure sensor IEC 60601 - Medical Electrical Equipment Safety Standards Series 3
L Internal audit during COVID-19 restrictions ISO 13485:2016 - Medical Device Quality Management Systems 5
A QMS Overhaul - Reorganizing and Renaming Documents - Internal References Document Control Systems, Procedures, Forms and Templates 18
N Sampling Plan for Internal Audits - ISO 2859 or 3951 - Or Neither? Internal Auditing 6
O ISO13485 implementation - Are internal audits expected before stage 1 audit? Design and Development of Products and Processes 3
B Using Unreleased Documents & Process Maps for Internal Audit purposes ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 12
M Help me improve the definition for internal PPM Manufacturing and Related Processes 3
S ISO 13485 Lead Auditor - Debate between our Quality Team and Regulatory Auditor - Internal Auditor Training ISO 13485:2016 - Medical Device Quality Management Systems 17

Similar threads

Top Bottom