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Internal Audit Guidelines for someone new

K

keipee

#1
hi!
I'm always reading from this site and find the information very useful..However, this is my first time to post and hopefully gain positive results. I worked for a manufacturing company whose majority of employess are fresh graduates. We are currently working towards ISO 9001, 14001 and 18001 certification. We have finished our internal audit and about to draft our first audit report. We are consulting an employee from our sister company but she cant extend her full time support to us. I am doing the initiative to research on how to go about the certification. I am only the lead auditor and not the management representative, our management representative apparently is not that devoted to our target certification. Can you please give me some guideline about all aspects of internal auditing? I just want assurance that we are on the right track. Please help!!! Thanks :)
 
Elsmar Forum Sponsor
#2
Re: Internal Audit Guidelines

Hello keipee, and welcome among the posters. :bigwave:
Can you please give me some guideline about all aspects of internal auditing? I just want assurance that we are on the right track.
Wow... What an interesting first post, and of course we will try to lend you a helping hand. Your apparent enthusiasm alone is a hint about being on the right track. :agree1: However, it would make things simpler if you could break that "all aspects of internal auditing" down into more manageable portions, by asking specific questions (just like I imagine that you do during an audit).

First off, I suggest that you tell us about that first audit, and how it went. Did you encounter any snags?

/Claes
 
Last edited:

Ajit Basrur

Staff member
Admin
#3
Re: Internal Audit Guidelines

Welcome to the Cove keipee :bigwave:

I suppose this would have been covered when you completed the Lead Auditor course, right ?
 
K

keipee

#4
Re: Internal Audit Guidelines

hi!
let me just give a background regarding our company. We are very lean muti-funtional organization with only one product line. We presume that documentation and implementation would not be that difficult but my colleagues had a very time to squeeze in documentantation and other activities to their loaded schedule. Our part time consultant (not actually consultant but an employee from our sister company who helps us, we refer her as such), draft the audit matrix, audit plan and schedule. Still I would like to have some idea how to make those. By next year, we'll be working on our own.
Our internal audit, I think is good enough for beginners except that we were not able to meet the schedule because of concerned personnel availability. We did not even conduct audit for the top management and marketing(both function of the management since we are mutifunctional organizarion). They are reluctant about it. Our audit findings are not yet signed. We have a form for audit findings. Is consistency in formatting required? Some auditors only put the affected clause number without the title, some include both. Also, I have no idea how to prepare an audit report. As of the moment, Im still searching and asking questions. After the report, what I know is that I need to convert findings to request for corrective action, but I dont which of the findings should be converted to corrective action. Is there a guideline? Should I follow certain rules? Or is it base on my judgement? After the corrective action, what's next? I hope this doesn't sound stupid. I have not attended the lead auditor course and I think we don't have ample time for that. Our target is to get certified by early January, 2010. Please guide me.
 
B

brahmaiah

#5
Re: Internal Audit Guidelines

hi!
I'm always reading from this site and find the information very useful..However, this is my first time to post and hopefully gain positive results. I worked for a manufacturing company whose majority of employess are fresh graduates. We are currently working towards ISO 9001, 14001 and 18001 certification. We have finished our internal audit and about to draft our first audit report. We are consulting an employee from our sister company but she cant extend her full time support to us. I am doing the initiative to research on how to go about the certification. I am only the lead auditor and not the management representative, our management representative apparently is not that devoted to our target certification. Can you please give me some guideline about all aspects of internal auditing? I just want assurance that we are on the right track. Please help!!! Thanks :)
The attached files are useful for the conduct of internal audit.
You may request again for any further clarifications.
V.J.Brahmaiah
 

Attachments

Jen Kirley

Quality and Auditing Expert
Staff member
Admin
#6
Re: Internal Audit Guidelines

Welcome to the Cove! :bigwave:

It does indeed look like you have challenges to face. The biggest ones I can perceive from here is the cooperation from auditees. I also struggle with that: Incomplete audit responses, or lack of a response of any kind. For that you might need what we call an escalation process: if no response by ___ time frame, the thing gets elevated as a Management Action Notice to the next higher up - every time, right up to CEO if need be. In this way you can show the audit is a process, not an approach. Such a thing needs to be clearly defined in the audit process document; I hope you have one.

The same document also should have the form to be used for recording requests for corrective action, and auditors need to use the form properly. To help that occur, the form should be clear and easy enough to use, yet have everything you need for the thing to be used as a record for understanding what was found, what the cause was determined to be, what action was set out for the issue and what the effectiveness review found to verify resolution.

I've learned that audit reports don't need to be lengthy. I used to write things that I believe could help process owners improve their effectiveness, but it looks like most people didn't read them anyway. :( Maybe they don't have time, maybe it just looks like Jedi speak to them.

But the audit report should have a minimum of information. I did a search in our Post Attachments (see the green button in the header of this page) and found this list of things pertaining to audits. Maybe you could look through them and get some insight that could help. Feel free to use and/or adapt them for your work.

This thread
includes a number of example audit reports.

As for a guideline for all aspects of auditing, I have found ASQ's Certified Quality Auditor book to be good (disclaimer: I am an ASQ member) but if you want something right now, for free, I found this guidebook for you.

I hope this helps!
 
#8
Re: Internal Audit Guidelines

hi!
I'm always reading from this site and find the information very useful..However, this is my first time to post and hopefully gain positive results. I worked for a manufacturing company whose majority of employess are fresh graduates. We are currently working towards ISO 9001, 14001 and 18001 certification. We have finished our internal audit and about to draft our first audit report. We are consulting an employee from our sister company but she cant extend her full time support to us. I am doing the initiative to research on how to go about the certification. I am only the lead auditor and not the management representative, our management representative apparently is not that devoted to our target certification. Can you please give me some guideline about all aspects of internal auditing? I just want assurance that we are on the right track. Please help!!! Thanks :)
It appears to me as if you may be 'lead auditor' in title only. Have you had some formal training of any kind? To be asking such basic questions fills me with doubt, here's why:-

If the plan is to be certified in January next year, there will have to be some pretty major changes to your audit competencies (and that of any workers doing audits - since they appear to not be doing a good job). It also sounds as if they are auditing to the ISO standard(s) not to the internal quality management system - your processes. They (and you) shouldn't be worried about 'clauses' and it sounds to me like they don't have a very good 'grasp' of that either....

Not only is it highly likely you will get a major NC for your internal audit program but because your audits were in effective - since the auditors were not competent to evaluate your quality management system, you are also highly likely to find major non-conformities in other parts of the system.

I'd suggest you either find someone who is a properly qualified, experienced auditor to work with you, coach you, or have them do your audits. Either way, if you want to continue with your audits, you or someone needs to get some practical help. This stuff can't be learned from a book........
 
K

keipee

#9
Re: Internal Audit Guidelines

Thanks guys!
This forum is great! I know that I can always find good, quick responses.
 

qusys

Trusted Information Resource
#10
Re: Internal Audit Guidelines

Hi,
best luck to you!
Besides, all the good tip of the previous posts,I would like to suggest a gap assessment on the systems you are in plan to be certified for.
This could allow the see the entire organization, involving all the process owner and creating awareness and a common ground to pursue for this important achievement.
 
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