Can I use Internal Audit Checklist to do Process Audit?

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Jim Wynne

Staff member
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#3
Can I use Internal Audit checklist to do Process Audit
Your internal audits should be process audits. You seem to be differentiating between the two, so if you could explain what your IA audit checklist looks like, and what your process audit is expected to accomplish, we'd have a better idea of what you're asking.
 
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baby12

#4
we Audit as per scope and we are not more on results but compliance that is why i am asking that question becuase as soon as you have documented procedures in place you end there you dont worry if your your processes is supporting your end-products

Baby12
 

Jim Wynne

Staff member
Admin
#5
we Audit as per scope and we are not more on results but compliance that is why i am asking that question becuase as soon as you have documented procedures in place you end there you dont worry if your your processes is supporting your end-products

Baby12
If I understand you correctly, you're saying that your internal audits are done to ensure compliance with the standard, without regard for compliance of the process in producing conforming products. If this is the case, your internal audit process is flawed. You shouldn't use checklists that are based on clauses of the standard; you should design processes that are compliant with product requirements, economic responsibility and the standard. If the process design is properly done, you audit for compliance of the process and there's no need to specifically look for compliance with the standard--it's built in, so to speak.
 
#6
Your internal audits should be process audits. You seem to be differentiating between the two, so if you could explain what your IA audit checklist looks like, and what your process audit is expected to accomplish, we'd have a better idea of what you're asking.
According the TC 176 Auditing Practices Group, checklists are just one tool in the auditor's tool box (that might be a direct quote, but not sure). Depending on how loosly you define the word checklist, you can still do a process audit with a checklist. I use something very close to a turtle diagram, but still call it a checklist, as I also include direct questions from the documented procedures.

As Jim said above, what are you calling a checklist? If your checklist is from the standard alone, then it won't contain elements of the process and will probably be pretty much useless.
 
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baby12

#7
What is the different between audit for compliance to standard and audit for the compliance to process
 
#8
What is the different between audit for compliance to standard and audit for the compliance to process
With an audit for compliance, the focus is on the respective standard. Are you meeting the requirements of 7.6 a), for example. The standard is just too generic and general.

With a process audit, you look at the process. You might have a gage that is overdue for calibration. The standard would not tell you if that specific gage is overdue. Your local documentation would. The standard would not tell you how to calibrate the gage, your own procedure or work instruction would. That is why the focus is on process audits. They are specific to the business, and the activity.
 
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baby12

#9
I agree with you fully, in our case we are an airline industry in cargo division where we receive and accept cargo from different agent to different destinations so if i have to audit our process in service rendering counters i have to check services standard against the queing time of those agent let me give example if our service standards says waiting time is 10 minutes i have to quee with them to see really what the sevice is saying it will happen is really happening.

please i just want to get this right please correct me if i am wrong

Baby12
 
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baby12

#10
Can i divide my Internal audit checklist with both compliance audit standard checklist and complaince audit process checklist
 
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