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HOW TO CONDUCT THE INTERNAL AUDITS EFFECTIVELY
As per ISO 9001 – 2015 & ISO 19011
PMI, PMP, PMBOK and the PMI Registered Education Provider logo are registered marks of the Project Management Institute, Inc.
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At the end of the class, please fill the training feedback form! (Yellow paper in your notebook)
Return the feedback form at the reception!
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© 2016 3FOLD Education Centre . All rights reserved . [email protected] . www.3foldtraining.com . 800 3FOLD
INTRODUCTION
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Objectives
• Basic Terms & Definitions• Introduction to QMS & Internal Audit• Purpose & Benefits• Stages of Internal Audit (PDCA)• Working Documents
Audit Plan Audit Checklist
• Auditor Competence Development• Golden Rules of Audit• Critical Success Factors• Clarifications / Questions
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Terms & Definitions
• Organization• Customer• Supplier• Audit• Audit Types• Audit Criteria• Competence
• Quality• QMS• ISO 9001• ISO 19011• Conformance• Non-Conformance• Observations
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Objectives & Benefits of Internal Audit
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Objectives & Benefits
01/09/2016 8
• To Check the Effectiveness of QMS• To Identify the Opportunities for Improvement• Ensure Conformance • Quality Performance & Culture Enhances• A system for certification / future learning• To capitalize opportunities and neutralize threats
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Stages of Internal Audit
Check lists
Audit Team Briefing
AuditorTraining / Qual
Audit Team
Decision
Training Materials
Roles & Resp.
Preparation
Audit Plan
Opening Meet
Conductance
Auditing
Closing Meet
Individual Reporting
Consolidated Reporting
Communicate the Report
Follow up
Corrective Actions
Follow Up
Input to MRM
Audit
Preliminary
Pro-Audit Post-Audit
Scope & Criteria
Actions & Improvements
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AUDITOR R SKILLS & ATTRIBUTES
Attributes• Ethical, • Open-minded, • Diplomatic, • Punctual, • Professional• Versatile, • Tenacious, • Un-biased
SKILLS• Planning• Listening• Observing• Interview• Analyzing• Reporting• Reviewing• Judgment
KNOWLEDGE • Process / Function• Compliance Requirements• Criteria
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Working Documents
01/09/2016 11
Audit Plan• What is an Audit Plan• Contents • Advantages
Check-Lists• What is a Checklist?• Contents • Advantages
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Audit Plan
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Checklist – Purchase ProcessSL
#
Clau
se #
Check-Point or Subject of Audit Objective Evidence
Posit
ive
Conf
orm
ance
OFI
Obs
erva
tion
Min
or N
C
Maj
or N
C
Rem
arks
01 8.4.1 Are the approved suppliers listed? √
02 8.4.1Do you have the criteria and records on the selection of External providers? Check. √
03 8.4.1Do you have the criteria and records on the evaluation of External providers? Check. √
04 8.4.2Are the controls for the external providers defined and complied? √
05 8.4.2Scope of externally provided products/services and extent of control - Are they defined and monitored? √ √
06 8.4.2Product or service verification plan and records are available adequately? √ √ √
07 8.4.3P.O or Specs about the product or service including the requirements on Quality, Quantity, Delivery Time, Verification, etc. defined and documented?
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Auditor Competence Development
01/09/2016 14
• Internal Auditors shall be competent• Criteria for competence to be defined• Competence development programs
& Refresher• Auditing ability is more important• Avoid “One Man Army” approach • Auditor independence to be ensured.
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Golden Rules of Audit
01/09/2016 15
• Check for compliance & effectiveness both
• Value addition is important• Talk less & Listen more• Be diplomatic as well as Professional• Communication, Coordination & Follow
up shall be effective
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Golden Rules of Audit
01/09/2016 16
• Preferable to audit by own staff, if competent
• Identify the improvement areas• Don’t Look for NCs always• No blame culture• Don’t run behind the papers
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Critical Success Factors - Leadership
01/09/2016 17
• Leadership Commitment • Empowerment for the Audit Team• Enforcement within organization • Top Management shall set an
example to respect the Internal Audit
• Communication and Support for the internal audit
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Critical Success Factors – Middle Managers
01/09/2016 18
• Cooperate with the Audit Plan.• Allow the staff for their respective
roles.• No personal issues, only teamwork• Transparency required• Don’t exhibit the attitude “My Dept. is
better than yours”
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Critical Success Factors : Audit Team
01/09/2016 19
• Competence development (Cross functional)
• Internal Auditor Vs. Employee role• Audit beyond a checklist• Communication, Coordination &
Follow up shall be effective• Focus value addition than
completing the task.
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Critical Success Factors : Process Owners
01/09/2016 20
• Transparency during audit
• Corrective Actions – Effective / Timely
• Pro-active feedback till close-out
• Seek value addition rather than saving faces
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Linkage to ISO 9001 2015
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Linkage to ISO 9001 2015
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Linkage to ISO 9001 2015
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Objectives Achieved?
• Basic Terms & Definitions• Introduction to QMS & Internal Audit• Purpose & Benefits• Stages of Internal Audit (PDCA)• Working Documents
Audit Plan Audit Checklist
• Auditor Competence Development• Golden Rules of Audit• Critical Success Factors• Clarifications / Questions
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Clarification… If any?
01/09/2016 25
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END OF THE SESSIONPlease return the feedback form at the reception!