Internal Quality Audit

Training - Part 1

By Mohd Daud Mohd Salleh

16 Aug 2010
 Course Objective

At the end of the session, the participants

would have the capability to:
 Plan and implement internal audit
 Report the audit findings
 Conduct an effective follow - up on the
audit findings
 Audit Definition

Systematic, independent and documented

process for obtaining audit evidence and
evaluating it objectively to determine the
extent to which audit criteria are fulfilled

ISO Definition
 Audit Definition
Audit Criteria
 Set of policies, procedures or requirements used
as a reference
Audit Evidence
 Records, statements of fact or other information
which are relevant to the audit criteria and
verifiable
 Audit evidence can be qualitative or quantitative
 Types of Audits

 Internal Audit (first-party audit)

 External Audit (second- or third-party

audit)
 Types of Audits

 Internal Audit (first-party audit)

 conducted by, or on behalf of, the
organisation itself for internal purposes
 can form the basis for an organisation’s
self-declaration of conformity
 Types of Audits
 External Audit (second- or third-party
audit)
 second-party audits are conducted by
parties having an interest in the
organisation, such as customers, or by
other persons on their behalf
 Types of Audits
 External Audit (second- or third-party
audit)
 third-party audits are conducted by
external independent organisations; such
organisations provide certification or
registration of conformity with
requirements such as those of ISO 9001
and ISO 14001
 Types of Audits
 When quality and environmental
management systems are audited together,
this is termed a ‘combined audit’

 When two or more organisations cooperate

to audit a single auditee jointly, this is termed
‘joint audit’
 Audit Method

 System Audit

 Contract- related Audit

 Process Audit

 Product Audit
 Audit Objectives

 To determine that a quality program has

been developed and documented
 To verify that the quality program has been
implemented by the organisation
 To evaluate the effectiveness of the quality
program in meeting quality requirements
and in achieving management goals
 Audit Objectives

 To identify nonconformances and

program weaknesses
 To ensure correction of identified or
potential problems
 Additional Functions of the Audit
Process
 Providing feedback to management on how
regulatory requirements are being met; helping
to determine potential exposure of the
organisation to regulatory action or litigation

 Providing unbiased evaluations centered on

facts rather than value judgements; correcting
any pre-conceived views management may
have about the audited area
Additional Functions of the Audit
Process

 Promoting communications throughout the

organisation, both vertically and horizontally,
by transmitting results to various levels of
management
 Evaluating areas which may not be readily
visible to management, such as
organisational interfaces
 Formalising corrective actions and process
improvements
Benefits of the Internal Audit

 Fulfilling the standard’s requirements

 Continuous improvement
 Management confidence
 You know before them
Element 8.2.2 of ISO 9001:2008

 Audit procedure is documented

 Conduct audits at planned intervals
 Define audit criteria, scope, frequency and
methods
 Ensure objectivity and impartiality of the audit
process
 Auditors shall not audit their own work
Element 8.2.2 of ISO 9001:2008

 Audit results recorded and distributed

 Corrective action implemented promptly
 Follow-up on corrective action
 Audit results reviewed by the Management
End of Part 1

Thank You