HOW TO CONDUCT THE INTERNAL AUDITS EFFECTIVELY · HOW TO CONDUCT THE INTERNAL AUDITS EFFECTIVELY...

HOW TO CONDUCT THE INTERNAL AUDITS EFFECTIVELY

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INTRODUCTION

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

Terms & Definitions

• Organization• Customer• Supplier• Audit• Audit Types• Audit Criteria• Competence

• Quality• QMS• ISO 9001• ISO 19011• Conformance• Non-Conformance• Observations

Objectives & Benefits of Internal Audit

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

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

Preliminary

Pro-Audit Post-Audit

Scope & Criteria

Actions & Improvements

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

Working Documents

01/09/2016 11

Audit Plan• What is an Audit Plan• Contents • Advantages

Check-Lists• What is a Checklist?• Contents • Advantages

Audit Plan

Checklist – Purchase ProcessSL

Check-Point or Subject of Audit Objective Evidence

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?

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.

Golden Rules of Audit

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• 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

Golden Rules of Audit

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• 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

Critical Success Factors - Leadership

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• 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

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”

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.

Critical Success Factors : Process Owners

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• Transparency during audit

• Corrective Actions – Effective / Timely

• Pro-active feedback till close-out

• Seek value addition rather than saving faces

Linkage to ISO 9001 2015

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

Clarification… If any?

01/09/2016 25

END OF THE SESSIONPlease return the feedback form at the reception!

HOW TO CONDUCT THE INTERNAL AUDITS EFFECTIVELY · HOW TO CONDUCT THE INTERNAL AUDITS EFFECTIVELY...

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