Internal Audit Iso - A Quick Guide
Published 7/2022
MP4 | Video: h264, 1280x720 | Audio: AAC, 44.1 KHz
Language: English | Size: 794.08 MB | Duration: 0h 36m

Understand internal audit process through practical examples
What you'll learn
Know the internal auditing processes and terminologies.
Understand the internal auditing though examples.
Take idea of internal auditing of different departments through examples.
Well informed about preparing audit checklist, Audit Plan, Audit Schedule, Audit Report, Root cause Analysis and Corrective Actions.
Requirements
No
Description
In these lectures, you will have accurate and practical understanding of auditing as per ISO, customer and legal requirements. These lectures consists of 6 lectures. One lecture is Overview and other fives lectures are examples of internal auditing. The internal auditing procedure mentioned in this lecture is followed all over the field as per my experience of auditing in more than 50 organisations and examples extracted from those the operations of this organisations.In first lecture, you will get overview of the process including audit procedure, auditors training, audit checklist, audit plan, audit schedule, conducting audit, audit report, Non-conforming report, Corrective and Preventive Action, and CAR Log.The detailed procedure is as follows:1 SCHEDULINGThe Management representative prepares an annual audit plan based on status and importance of activities; consideration is also given to any changes in the company and to reported deficiencies, and previous audit findings. Each department must be audited at least twice in a year. The schedule is kept under review and updated as necessary throughout the year.Internal audits are carried out by trained & certified auditors. A list of trained & certified auditors is available with the MR. They will not be from the same department being audited. Audits may be carried out on an activity or procedural basis by auditors who are trained and, as far as possible, independent of the function being audited. Each audit is assigned a unique reference.2 PLANNINGIn planning an audit, the auditor contacts the process owner of the area/ activity being audited to agree a day/time, as far as possible convenient to work activities. The auditors may prepare appropriate checklists, questionnaires, a matrix, etc to be used as aides- memoire while conducting the audit. ISO standard shall also be referred by Auditor while preparing the Audit Checklist. Previous audit findings are reviewed to ensure that previous NCRs remain corrected. The implementation of corrective &/or preventive action from previous audits shall always be an element of the audit program.3 AUDITING3.1 OPENINGIn opening an audit, the auditor confirms its purpose and scope with the auditees and outlines the methods and program to be employed during the audit.3.2 CONDUCTINGThe role of the auditor is to look for objectives evidence that the requirements of ISO standard and organization's integrated policies/ objectives are being met and, that the system is being followed. This is done by observation, discussions with relevant staff, asking questions as prepared on the audit checklist, requesting information and reviewing records.In the absence of evidence or if non-fulfillment of requirements is found then 'Non Conformance Report' is raised individually and separately for each non-conformance identified. Clear and specific details are recorded on 'Non Conformity Report'. Each NCR is assigned a unique number. Observations may also be made and, where appropriate, internal auditors will aim to identify opportunities for improvements. Department heads will decide on corrective action and target dates.3.3 CLOSINGOn completion of the audit, the auditor will discuss the findings with the auditee to agree on the identified non-conformances and observations. The auditor will obtain the signature from auditee on 'Non Conformity Report'. Responsibilities are assigned for identifying the root cause of the deficiency and for taking subsequent corrective actions. Response times for actions and follow-up arrangements to check effectiveness are also agreed. The Audit Team Leader will review the corrective action filled by Auditee and discuss the corrective action with department manager & auditor.If a non-conformance is deemed so serious that immediate corrective action is necessary, agreement will be sought with the relevant process owner for immediate remedial action.3.4 REPORTINGAn audit report detailing participants, findings and due dates for response is prepared and distributed to relevant management/ staff. The audit team leader maintains the Corrective Actions Request Log (CAR log) such that he/ she can track the open non-conformances for earliest closure.The audit team leader reviews the Corrective Action Log monthly and requests the respective auditor to verify effective closure of non-conformances through a follow-up audit. Original Non Conformity Report shall be given to the relevant Manager / Supervisor responsible for the area being audited, who shall file them for follow up purposes. Original Audit Reports shall be kept by the Audit Team Leader, with copies being given to the relevant Manager / Supervisor concerned.3.5 FOLLOW-UPFollow-up checks/audits are arranged as necessary, after the target dates for corrective action, to close non-conformities.If the agreed time for completion of corrective actions required has elapsed, the Audit Team Leader will initiate a follow-up audit to verify the implementation and effectiveness of the corrective action taken. The Audit Team Leader will discuss further corrective action as necessary and / or agree a new time frame for completion with the relevant Manager / Supervisor concerned.Any corrective actions still outstanding after the second follow-up will be reported via the Audit Team Leader to the CEO for further action.Audit Team Leader updates the status of the non-conformance in the CAR Log as open or closed. Audit Team Leader uses this log to generate a report on internal audits for the Management Review.
Overview
Section 1: ISO Auditing
Lecture 1 Overview of Auditing process
Lecture 2 Example 01 - Human Resources Department
Lecture 3 Example 02 Purchase Department
Lecture 4 Example 03 - Production Department
Lecture 5 Example 04 - Receiving Department
Lecture 6 Example 05 - Customer Care Department
Understand the internal auditing with five (5) examples of manufacturing/service sector including steps, processes and terminologies.
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