Internal Audit Matrix Template

inspector625

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#1
Hello,

I was speaking with our Internal Auditor and he told me to go on here and ask if any of you Quality Gurus have a copy of a Internal Audit Matrix that you could share with me. I am preparing for my first external audit on my own next month and require lots of help. Please and thank you!!:bonk:
 
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inspector625

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#4
Thank you very much. It is a recertification audit for AS9100 Rev. C and ISO 9001:2008. Sorry Im new to all of this, so I may not explain myself properly.
 
P

pldey42

#5
Hello,

I was speaking with our Internal Auditor and he told me to go on here and ask if any of you Quality Gurus have a copy of a Internal Audit Matrix that you could share with me. I am preparing for my first external audit on my own next month and require lots of help. Please and thank you!!:bonk:
Your internal auditor has asked you for an internal audit matrix for an external audit?

Does he or she not have an internal one? And why would it be the same for external audits?

And if you're new to audits, a matrix is almost certainly not enough. Have you been on an audit class or read a book on audits?

Pat
 

inspector625

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#6
No I haven't. I am scheduled to go in November. Our internal auditor is someone who comes in every year, solely to do our audits. He is unable to be here in the future as he is retired. I am training to take them over in the future. I don't have a matrix for the internal audits and therefore was looking for someone to share one with me. I do not need it for our External Audit, I am just preparing for it. I appreciate any advice though :)
 
#7
No I haven't. I am scheduled to go in November. Our internal auditor is someone who comes in every year, solely to do our audits. He is unable to be here in the future as he is retired. I am training to take them over in the future. I don't have a matrix for the internal audits and therefore was looking for someone to share one with me. I do not need it for our External Audit, I am just preparing for it. I appreciate any advice though :)
Is that ONCE a year? How did you manage to swing that by a CB auditor?
 
P

pldey42

#8
I don't know anyone who can deliver an effective internal audit activity by visiting just once a year. As Andy notes, competent certification bodies won't accept it as conformant with ISO 9001.

So if this auditor is your only source of guidance, and has only suggested you get an internal audit matrix from here, you're probably being misled. Further, if he or she hasn't got one, how has he or she been doing audits for you?

You need a darn sight more than a matrix - which, by the way, isn't the only way of managing an audit, although it's common and useful when in knowledgeable hands.

You mention a recertification audit which you appear to be doing with a supplier, which you can't, only certification bodies can do (re)certification audits. I imagine you mean you're requalifying them so they can continue to supply you. And it seems you'll visit them before attending a training class.

The most important thing you need prior to visiting them is data on their performance, defect rates, complaints and resolution times. If you have information on faults in their products and services that have affected your organization you can use the audit to find out what they're doing, by auditing their processes for receiving complaints from you and executing corrective actions.

If you must audit before attending training, I would suggest either purchasing a book on ISO 9001 auditing or searching Elsmar Cove for threads like this:

http://elsmar.com/Forums/showthread.php?t=44873

Your situation has the symptoms of a management system that's ineffective where audits are a tick-box affair that doesn't help improve the management system and its delivery of products and services that satisfy customers. Not your fault, no doubt, but a situation that will require you to think for yourself and not rely upon an auditor who appears on the basis of your posts, well, not amongst the best. This tick-box mentality is something that responsible CBs have been trying to stamp out for years and it's sad to hear it continuing, if that is what is happening here.

An indicator of whether this is true would be for you to find out how many findings have been written by the auditor, and of those, how many were closed bringing benefit to the company. It might also be worth checking your external audit reports and assuring your CB is accredited.

Other questions to ask might be: does management perceive internal audits and supplier audits to be useful? What's the nature of the product and how critical to flight safety is it? How critical is the supplier and do managers perceive risks associated with this supplier? Is it a routine re-qualification or are there problems? Is the supplier a good one, that perhaps might engage further with your business? Are you planning to put more business their way and could the audit help determine if they can handle it?

Hope this helps
Pat
 

inspector625

Involved In Discussions
#9
The sad thing is this is not a re qualifying audit for a supplier. It is a ANAB accredited certification audit. Our QMS is extremely poor. I am an individual who has worked on the floor for 11 years and have been put in this position because I know our processes and was trained by our Quality Manager who left years ago. Unfortunately I do not know much about the standards and until I get the schooling behind me, I wont know. The certifying body which has been doing our audit for years has allowed us to be this poor. We had a different 3rd party Gap analysis earlier this year and he told us we are not even close to meeting the standards. I hear what you are all saying and wish I could tell you something more positive but if I knew the answers I wouldnt be here asking for help. All I can say is wish me luck and I will hopefully continue to learn what exactly I can do to improve our QMS. Still open to suggestions though :(
 
R

Reg Morrison

#10
Still open to suggestions though :(
Inspector, you come across as a dedicated employee and someone who wants to do the right thing. I agree with Pat's comment
Your situation has the symptoms of a management system that's ineffective where audits are a tick-box affair that doesn't help improve the management system and its delivery of products and services that satisfy customers. Not your fault, no doubt, but a situation that will require you to think for yourself and not rely upon an auditor who appears on the basis of your posts, well, not amongst the best. This tick-box mentality is something that responsible CBs have been trying to stamp out for years and it's sad to hear it continuing, if that is what is happening here.

Apparently, your internal auditor is a soon-to-be-retired type that does not add much value and your registrar is not keeping the internal audit program effectiveness in check. As you described, the registrar is not helping in keeping the whole QMS in check either.

As you asked for suggestions, I would say this: don't be afraid of letting the external audit outcome be negative. Sometimes, that is a blessing in disguise. Sometimes, a very negative audit result and the possibility of being decertified is what makes top management wake up.

Also, according to the rules for the AS9100 certification, you can not have more than 6 years with the same registrar lead auditor. A new one might be competent.

Good luck.
 
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