ISO 9001:2015 - Internal Audit Plan Clauses

#1
Hello,
Long-time lurker, first-time poster. I'm planning our repair company's annual internal audit for ISO 9001:2015. In our audit plan, I'd like to list the relevant clauses but I'm having difficulty. Our major processes are: Customer Service, Billing, Training, Purchasing, Contract Review, DC Motors, AC Motors, Small Motors, Winding, Pumps, HR, Top Management/Review, Traffic/Transportation, and Training & Development. Here's what I have:

Top Management/Review including 5.1, 5.2, 5.3, 6.1, 6.2, 6.3, 7.1, 7.2, 7.3, 7.4, 7.5, 8.2, 8.5, 9.1, 9.2, 9.3, 10.1, 10.2, 10.3​
Customer Service including 4.1, 4.2, 4.3, 4.4, 6.1, 6.3, 10.3​
Billing Including 7.4, 5.1, 8.2, 9.1​
Training and Development Including 6.2, 7.1, 7.2, 7.4, 7.5​
Purchasing Including 7.4, 7.5, 8.1, 8.4, 8.5, 8.7, 10.2, 10.3​
Contract Review Including 6.2, 7.5, 7.1, 8.2, 8.3, 8.4, 8.5, 8.6, 8.7​
Traffic/Transportation including 7.1, 7.5, 8.2, 8.6, 8.1, 8.2, 8.3, 8.4, 8.5, 9.2, 10.2​
AC Motors/Small Motors/DC Motors/Pumps including 7.1, 7.5, 8.2, 8.6, 8.1, 8.2, 8.3, 8.4, 8.5, 9.2, 10.2​
Winding including 7.1, 7.5, 8.2, 8.6, 8.1, 8.2, 8.3, 8.4, 8.5, 9.2, 10.2​
Have I scrambled all the clauses? Also should I use a clause matrix and attach it to the audit plan separately? Thank you in advance, any help is appreciated!
 
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#2
Elaine! Welcome into the sun light.

Can I ask why you feel this is important to an internal audit? From what you've got posted, it looks a lot more complex than it really needs to be.

Am I correct in that you are doing just one audit a year?
 
#3
Thank you Andy! Yes you are correct, we do one internal audit annually. I feel like this is important for referencing findings... from what I've read and seen online, it seems like a lot of people include these references in a matrix for their audit plan. Is this unnecessary? I agree with you, it has gotten complicated... I'm uncertain how to simplify things.
 
#4
Yes, indeed its too complicated and you are correct to diagnose that. Firstly, I'd expect that - despite what your CB auditor has allowed to happen, doing one, single audit a year isn't what is required. In fact, all it is doing is making your CB auditor feel good - you're doing their work for them and paying too!

Secondly, this is likely to be a big undertaking - how much time is spent doing this one audit?

Thirdly, you don't have to worry about covering "all the clauses etc" as this ISN'T required - despite what some CB auditors say or others think. Smaller, more focused audits can be used very effectively. I use the attached tool to do my internal audits and it works well! Feel free to try it and pm me for further guidance
 

Attachments

skb76

Starting to get Involved
#5
Elaine n' all ..

i guess you post this inquiry at the right time as i have same inquiry with you ..

Hope some pro out that can guide me as well, .. (based on the attach file!)
#this is modify matrix that i 'steal' somewhere on this website ... (pls dont sue me for plagiarism) :(

question (what i missing or mismatch based on the matrix ~pls guide! :censored:

thanks in advance! ..
 

Attachments

#7
Yes, indeed its too complicated and you are correct to diagnose that. Firstly, I'd expect that - despite what your CB auditor has allowed to happen, doing one, single audit a year isn't what is required. In fact, all it is doing is making your CB auditor feel good - you're doing their work for them and paying too!

Secondly, this is likely to be a big undertaking - how much time is spent doing this one audit?

Thirdly, you don't have to worry about covering "all the clauses etc" as this ISN'T required - despite what some CB auditors say or others think. Smaller, more focused audits can be used very effectively. I use the attached tool to do my internal audits and it works well! Feel free to try it and pm me for further guidance
Good afternoon Andy, thank you for sharing your ideas. I just started as a QA Manager, and I was wondering whether it is sufficiënt to only audit internally, when there is a ‘compliance to requirements’ risk identified. When there is none, than for that particular year in theory the ‘for the certificate mandatory” CB audit would be sufficiënt.
 
#8
JMAMQM - good question. Don't forget, implementing ISO 9001 as a requirement wasn't written (uniquely) for certification. It still remains that the organization must do internal audits. Besides which, you can't rely on a CB audit for anything of much use and their audits don't comply with the 9.2 requirements.

No, you have to do them (or at least someone has to do them) on behalf of the organization. Part of the reason you do them is to determine the risk of non-compliance. Why were you thinking you'd only do them when there was a risk to non-compliance? What would trigger that?
 
Last edited:

AliGuff

Starting to get Involved
#9
I would suggest you audit your own systems and processes to see that these are working rather than to the standard. Along the way this will include some of the clauses within the standard.
There are some clauses you may want to audit separately - management review etc
The standard states that should take into consideration the importance of the process concerned, changes effecting the organisation and the results of previous audits.

You don't have to do everything in one go. It is probably best to audit the areas where there may be concern or more risk of non conformity
 
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