Internal Audit of a Plan or other document - Closure Plan

Q

QC Dave

I apologize if this is answered elsewhere, I searched and could not find it.
How do you audit a plan or other document?

Background:

I've been the QC Manager for less than a year. I inherited the department with little to no training on Internal Audits, other than conducting them as the Lead Auditor. This is a small, 3PL (3rd Party Logistics) company.

We are ISO 9001:2008 certified (9001:2015 next year). We just had our upgrade audit from ISO 14001:2004 to ISO 14001:2015. One of the minor NCs were in part as follows:

"Internal Audit Process does not include all processes of the system; such as Management, Planning, Closure Plan, Data Destruction, Security, etc"

The Internal Audit process I inherited "simply" involves my Lead Auditor interviewing people from each of the departments. I have an Opening Meeting and then a Closing Meeting with the Lead Auditor, the Guide and Department Manager to discuss any findings.

In regards to the "Closure Plan", which is simply a document detailing out how this would be done, if needed. My question is how do you audit a "document"?

Excuse my ignorance and thank you in advance.

Respectfully,

QC Dave
 
Sidney Vianna

Sidney Vianna

Post Responsibly
Leader
Admin
Dave, you don't audit a document per se. You audit the process. If the document contains criteria and requirements for something to happen, you normally verify that the people involved in the process defined by the document are aware of it and can demonstrate conformance in following it.

You audit the process and the document serves the purpose of defining the process important activities. If there are records to be kept, the document should also define them and the auditor verifies such records exist and demonstrate effective process deployment.
 
You must log in or register to reply here.
Thread starter Similar threads Forum Replies Date
armani Internal audit plan and processes for ISO 14001:2015 ISO 14001:2015 Specific Discussions 3
Q Internal audit plan template Internal Auditing 12
S Implementing a 45001 Health & Safety standard - Internal audit plan wanted Internal Auditing 1
M Internal Audit Plan in Retail Internal Auditing 10
E ISO 9001:2015 - Internal Audit Plan Clauses General Auditing Discussions 8
L Please review my ISO 9001:2015 Internal Audit Plan Process Audits and Layered Process Audits 7
J AS9100D - Good ways to document an internal audit plan / schedule Internal Auditing 25
D Please share your IATF 16949 Internal Audit Plan and Schedule Internal Auditing 13
S Is Audit Plan / Agenda required for Internal Audits? Internal Auditing 2
A Developing a ISO 9001:2015 Internal Audit Plan and Schedule Internal Auditing 50
F ISO/TS 16949 internal audit scope and annual plan Internal Auditing 2
V Internal Audit using Plan, Do, Check, Act - Way to go? Internal Auditing 11
L R2 Certification Internal Audit Plan, Audit Sheet, and Schedule Manufacturing and Related Processes 2
S Internal Audit Plan per Risk Analysis Internal Auditing 5
K Is my Internal Audit Plan on the right track? Internal Auditing 0
S Observation from BSI Audit of our Internal Audit Plan Internal Auditing 8
V Seeking Internal Audit Plan form or template Internal Auditing 5
K Should Internal Audit Plan be Approved by Top Management? Internal Auditing 19
J AS9100 Rev C Internal Audit Procedure/Plan - Addressing 8.2.2 - Customer Requirements AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 4
ScottK Using Customer Audits as part of the Internal Audit Plan for ISO9001 ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 12
D Flowcharts of Processes Delayed my Internal Audit Plan ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 17
T Internal Audit Plan using Oracle GRC (Governance Risk and Compliance) modules Internal Auditing 4
K Annual Internal Audit Plan to Audit Everything? IATF 16949 - Automotive Quality Systems Standard 11
P Work plan to support Internal Audit Programme Internal Auditing 6
M Internal Audit Plan for every Procedure? Internal Auditing 9
T Internal Audit Plan/Schedule wanted Internal Auditing 19
J Internal Audit NC ISO 9001 Clause Mapping - Quality Objective Achievement Plan ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 6
B Internal audits 3 year plan? Internal audit frequency Internal Auditing 23
H Internal Audit Plan - Seperate audit plans for system, process, and for products IATF 16949 - Automotive Quality Systems Standard 4
N Internal Audit ISO9001:2000 - Template and Sample for Audit Plan Internal Auditing 4
M How To Include Substance of Concern (SOC) Free Into TS16949 Internal Audit Plan IATF 16949 - Automotive Quality Systems Standard 1
M Internal Audit Plan Form / Template wanted Internal Auditing 12
D Example of an "Internal Audit Plan" - Format dispute with extrnal auditor IATF 16949 - Automotive Quality Systems Standard 5
D The Internal Audit Plan, Checklists and Repercussions Internal Auditing 18
J 8.2.2.4 Audit Plans - Can anyone share an example of their Internal Audit Plan? Internal Auditing 8
Crusader Internal Auditing to ISO 9001 - How to schedule/plan and perform an ISO audit Internal Auditing 31
S Seeking Internal Audit Plan - Design Responsible Manufacturing company Design and Development of Products and Processes 3
M What could be included in the planning of Internal Audit besides making Audit Plan? Internal Auditing 15
Gman2 Please Critique My ISO 9001 Internal Process Audit Plan Process Audits and Layered Process Audits 39
M ISO 9001:2000 Process Based Internal Quality Audit Plan General Auditing Discussions 11
D Opinions on internal audit schedule adjustment Internal Auditing 23
T AS9100 Internal Audit (Quality System) Program AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 4
K VDA6.3 as internal audit tool VDA Standards - Germany's Automotive Standards 8
H Internal Audit on Third-Party Logistics (3PL) Warehouse ISO 13485:2016 - Medical Device Quality Management Systems 4
I Internal Audit Questionnaire Oil and Gas Industry Standards and Regulations 16
T AS9100D Risk-Based Internal Audit Schedule AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 10
S Minimum Retention Time for Records of internal audit results as per AS9100 AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 5
B Establishing topics for IATF internal audit processes Internal Auditing 9
T Robust internal audit program AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 7
J Average number of Nonconformances during internal quality audit for Medical Device Manufacturers Internal Auditing 3

Similar threads

Top Bottom