Creating an Internal Audit Schedule

N

noboost4you

#11
If I were your registrar I'd probably write a nc against the audit program, and a lack of management commitment - for not extending the resources ($$) to either have your internal auditors trained or for paying the contractor to come in more often.............:mg:
But on what grounds are we not in compliance? We will have an IA at least once a year, for 2008 it will be by a third party, and the schedule of that IA will be the entire QMS in a 3-day period.

There's no lack of management committment either. We actually have included in our registration pack a lead auditor course for one individual. The dates of the course may or may not work with that particular individual. But at some point we will utilize that course. At which point we'll be able to audit individual processes any time we'd like.

So I really don't see the nc here?
 
Elsmar Forum Sponsor
#12
I guess, then, I have to ask the question - what does 'status and importance' mean when it comes to setting up your audit program?

Without a clear understanding of this requirement, then it's difficult to discuss.

What's your criteria for defining 'status and importance'?
 

Stijloor

Staff member
Super Moderator
#13
I guess, then, I have to ask the question - what does 'status and importance' mean when it comes to setting up your audit program?

Without a clear understanding of this requirement, then it's difficult to discuss.

What's your criteria for defining 'status and importance'?
Andy, please allow me to butt in here for a moment.....

During my internal audit training courses, this is what I use as (reasonable) definitions:

Status: Maturity of the process. A more established, proven process will be audited less frequent then a newly implemented or recently modified process.
Importance: Direct impact of the process on customer statisfaction. Example: The human resources process will be audited less frequent then a manufacturing-type process.
In addition: "The results of previous audits." Example: Processes that have been audited previously and showing effectiveness and improvement, may be audited less frequent during the next audit cycle.

Not a math- or statistical (audit) problem, just a common-sense approach for planning audits. It has worked beautifully for my Clients.

Thank you Andy.

Stijloor.
 
Last edited:
#14
Andy, Please allow me to butt in here for a moment.....

During my internal audit training, courses this is what I use as (reasonable) definitions:

Status: Maturity of the process. A more established, proven process will be audited less frequent then a newly implemented or recently modified process.
Importance: Direct impact of the process on customer statisfaction. Example: The human resources process will be audited less frequent then a manufacturing-type process.
In addition: "The results of previous audits." Example: Processes that have been audited previously and showing effectiveness and improvement, may be audited less frequent during the next audit cycle.

Not a math- or statistical (audit) problem, just a common-sense approach for planning audits. It has worked beautifully for my Clients.

Thank you Andy.

Stijloor.
Als u blijf, Stijloor.

There are some other reasons - status includes not just established or recent/changed situations. What about processes which aren't performing to par? Management are more likely to be interested in that, since they are being measured on that performance. What better than to have the auditors 'diagnose' which part of the process is contributing to the issue?

Not all processes affect customer satisfaction. Cetainly, making those a priority (CTC) makes sense, but also regulatory compliance and impact on $$$ (CTB) is right up there just behind it........

I use this in the auditor training which I conduct........:lol:
Tot ziens!
 

Patricia Ravanello

Quite Involved in Discussions
#15
Nothing is scheduled for 2008 regarding Internal Audits and I know in August, the registrar will want to see some kind of scheduling information regarding Internal Audits.

Any suggestions on how to go about this?
Hi Noboost,

The standards are quite specific in what you have to do to plan an Internal Audit Schedule or Plan...The first attachment, below, is a condensed version of the requirements for quick reference and for discussion purposes.

The second attachment is a matrix to provide your with a methodology to factor in all the requirements including:

1) The status (i.e. the performance status) and importance of the process
2) The frequency and nature of customer complaints
3) The results of previous audits (internal, external, environmental, limited scope, etc.)​

It is a matrix, with guidelines and notes at the top, which demonstrates one approach to determining your Audit Plan, factoring in all the criteria, per the requirements. What you end up with is a ranking of "Process Performance", which then allows you to define and substantiate the resulting "Audit Plan".


The attachment below is not the AUDIT PLAN, it is a Worksheet which demonstrates how you justified your Audit Plan.

The actual Audit Plan might include some combination of the following:

  • Process to be Audited
  • Date
  • Meeting Times - Opening/Closing
  • Location
  • Audit Duration
  • Audit Teams
  • Team Leader
  • Team Members
  • Target Area
  • Auditees
  • Audit Interview Timing
  • Duration
  • Program/Project/Job No. Audited (as applicable)
  • Shift to be Audited

I haven't seen too many companies that can actually show me how they rationalized their "Audit Plan", weighing in all the criteria as mandated. If you adapted this methodology, or devised a similar one of your own, you'd be in good shape for planning your audits...and your auditor would be "mucho impressed".

Hope this sheds some light on your task.

Patricia Ravanello
 

Attachments

Raffy

Quite Involved in Discussions
#16
How about manufacturing process audit schedule? How do I prepare for this schedule? Do I need to stick to my schedule or do I have to schedule the manufacturing process audit schedule based on the schedule of our manufacturing assembly? Please advise.
Best regards,
Raffy:cool:
 

Raffy

Quite Involved in Discussions
#17
Hi Patricia,
What is basically layered process audit? What is the relationship between LPA and Manufacturing Process Audit? Are they the same? Please advise.:frust:
Best regards,
Raffy:cool:
 

Patricia Ravanello

Quite Involved in Discussions
#18
Hi Patricia,
What is basically layered process audit? What is the relationship between LPA and Manufacturing Process Audit? Are they the same? Please advise.:frust:
Best regards,
Raffy:cool:
Hi Raffy,
There are at least a half dozen threads on the Cove that deal with Layered Process Audits. Just use the "Search" feature above, and enter "layered process", and you will find the answers to your questions.

The critical difference between the two is that ALL levels of Management are involved in and perform Layered Process Audits. Sr. Mgmt "owns" the layered process audit".

This is off topic...you might want to continue your line of questioning on one of the other threads.

Regards,
Patricia
 
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