Internal Audits -part 1

1.     Internal audits are scheduled by the management representative.  These audits are scheduled based on how well the area to be audited is doing (status), the effect a problem would have on the area if it was allowed to go on until a problem was detected (importance, risks, and/or significance) and how well the area did on the last audit. At a minimum, audits will be conducted on an annual basis and at a maximum audits will be conducted quarterly.  The audit criteria are the clauses or sections of the applicable standard and/or the documents defining the activities or processes being audited.  Scope tends to be based upon the sections of the applicable standard in use, but may be based upon a defined area or process. 

2.     While maintaining a "big picture" view of the process, the audit team (may also be an individual auditor) develops an understanding of the service or product provided by the process and the inputs from other processes.  This perspective helps develop an audit plan focused on performance, instead of simply verifying a document is being followed.

3.     Work with management and those responsible for environmental and/or occupational health and safety requirements applicable to the area being audited to determine if there are compliance or performance considerations needing attention.  If environmental or occupational health and safety performance/compliance requirements are applicable, add these requirements to the plan.

4.     Based on the processes/areas determined to be part of the audit, request copies of the applicable documents.  These documents may include:

·         The environmental, occupational health and safety, and/or quality manual,

·         Procedures, work instructions, or forms supporting the activity/area, and

·         Peripheral documents (standards/regulations, specifications, procedures, previous audit results, corrective/preventive actions issued since the last audit, etc.), as needed.

5.     Document review and audit planning may be accomplished prior to and/or during the audit.  The auditor uses the documents to formulate the questions to be asked and evidence to be reviewed.  This plan may be a documented plan (an ISO 9001 audit checklist or an intregrated audit checklist , a highlighted document depicting questions to be asked/evidence to be reviewed, etc.) or may simply be a copy of the applicable standard, regulation, or management system document.  In any case, the intent is for the auditor to familiarize himself/herself with the activities/processes to be audited and any applicable statutory/regulatory requirements associated with the process.  The main thing to remember is, this is what might be seen not what will be seen (as it is possible that what is happening does not match the documents but the process is working).  In other words, we need to stay open minded to allow the evidence to speak for itself..

Go to part 2