Internal Auditor Training: Top Certifier

1
Internal Auditor Training

ISO 9001:2015
By
Top Certifier
(a division of Veave Technologies Pvt. Ltd.)
www.topcertifier.com
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Contents
1. Types of audits & internal audit

2. Internal audit process
3. Key auditor attributes audit techniques
4. Performing the audit
5. Documenting the audit
6. Overview of the clauses and applicability
Internal Auditor Training www.topcertifier.com

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TYPES OF AUDITS &

Section 1
INTERNAL AUDIT

4
Types of Audits
 Internal Audit or First Party Audit.
 Supplier Audit or Second Party Audit
 Certification Audit or Third Party Audit

5
How do we get certified?
Managemen Consultant
Step 1
Step 2
t
Conduc
Create t Gap
action Analysi
group s and
to work produce
towards report.
certific Create
ation docume
Identify ntation
appropr –
iate Manual
standar ,
d. System
Identify Proced
consult ures
ant. Conduc
Identify t
certific training
ation s on
body. Awaren
ess and
Internal
6
Management Consultant Department Heads Internal Audit & External Audit
Step 3
Step 4
Step 1
Step 2
Step 5
• Document department MRM
processes and • Conduct Internal Audit • Stage 1: Document
• Create action group to • Conduct Gap Analysis procedures and present Audit Review
work towards and produce report. • Records for necessary Report
certification • Create documentation – • Stage 2: Onsite Au
activities • Root Cause Analysis
• Identify appropriate Manual, System • Recommendation f
• Make corrections to the and Corrective Actions
standard. Procedures for all Non- Certification, by
system as per gap
• Identify consultant. • Conduct trainings on Conformances Auditor, based on A
analysis.
• Identify certification Awareness and Internal Findings
• Verify closure of all
body. Auditing Non-conformances
• Present information to
Management via
Management Review
Meeting

7
External
Step 5
Audit
Stage 1:
Document
Review
Stage 2:
Onsite
Audit
Recomme
ndation
for
Certificati
on, by
Auditor,
based on
Audit
Internal Auditor Training Findings www.topcertifier.com
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Internal Audits
Purpose
Internal audits play a critical role in maintaining and improving a management system.
1. Determine if the system is meeting requirements
2. Identify Nonconformances
3. Drive continual improvement
4. Measure compliance with the documented system

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Internal Audit – General Information
 Criteria
 Q: What do we audit against?
 A: ISO Standard, Internal Policies and Procedures, Customer Contracts & requirements,
Legal and Regulatory Requirements.
 Tip: Read the relevant documentation prior to the audit and make an audit checklist of the
key aspects that you wish to audit. The checklist is merely an aide-memoir, don't be
blinkered by it.

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 Scope
 Q: How far do we go?
 A: Far enough to ensure the sequence and interaction of processes.
 Method
 Q: How do we audit?
 A: Interviewing staff, observing activities and viewing relevant records.

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 Report results
Report the audit results to management. You need to include in your procedure how
many problems and improvements are followed up.
 Q: What should be included in my report?
 A: Your report should be objective and provide a balanced view. Report may contain
Good things (conformance),
Bad things (non-conformance)
Areas for Improvement

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 Q: What is a non-conformance?
 A: ISO defines non-conformity as the failure to fulfill a requirement. So, if you can
demonstrate that a requirement of ISO, your procedures or other relevant document
has not been met then you have a non-conformance.

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Surveillance Audits
 Certificate is valid for 3 years on successful completion of surveillance audits

each year.
 Surveillance audits have to be conducted at the end of each year.
 Management System to be re-certified at the end of 3 years.

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Surveillance Audits
 Audit Focus :
 Initial certification: Intent
 1st Surveillance: Compliance
 2nd Surveillance: Continual Improvement

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Internal Auditors
1. Internal auditors are responsible for verifying the effective implementation of the QMS
2. Internal auditors should complete an internal auditor training course.
3. The duty of an auditor is
1. Find objective evidence that the system is implemented and effective
2. Identify nonconformances
3. Find where the system is not implemented or operating as planned
4. Find where the system doesn’t meet the requirements of the standard

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INTERNAL AUDIT
Section 2
PROCESS

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Internal Audit Process
Planning Auditing & Corrective Action Closure

Step 1
Step 3
Step 4
Step 2
• MR to prepare Annual Reporting • Corrective Action • Suitable personnel
IA Calendar. • Audit to be conducted Requests (CAR) to be (auditor, department
• MR to prepare IA as per audit schedule. raised for all NC. heads or experts) to
Schedule. Audit • Audit report and Non- • Correction for NC verify corrective action
Schedule to be Conformity (NC) • Root Cause Analysis and issue closure
distributed to all Report to be submitted (RCA) for all NC report. If corrective
Auditees and Auditors by Lead Auditor. • Corrective action for action not appropriate
NC based on RCA Step 3 to be followed
again, till closure.
Internal Auditor Training www.isocatalyst.com

18
Audit Program
An audit program must be planned and implemented. Audit coordinator will have the responsibility of
1. Maintaining the audit schedule
2. Assign auditors
3. Initiate audits

19
Audit Plan
1. Audit coordinator will decide the time and number of auditors required for the audit.
2. Audit planning should include the departments based on the status /importance, and number of
procedures applicable to the area.
3. Scope and depth of the audit have a direct effect on the time allotted for the audit.
4. Auditors assigned must be independent of the area being audited.

20
Audit Plan
Complete the schedule and prepare for

the fist audit.
Prepare the audit plan based on the
processes and procedures identified
by you.

21
Audit Schedule
Prepare the audit schedule such that each area is audited at least once in a year
(preferable twice in a year)

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Internal Audit Steps
1. Create audit schedule

2. Complete audit plan
3. Hold opening meeting
4. Conduct audit
5. Document findings
6. Prepare audit report
7. Hold closing meeting
8. Prepare audit file
9. Follow up
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KEY AUDITOR ATTRIBUTES

Section 3 AUDIT TECHNIQUES

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Key auditor attributes
Communication skills
1. Tactful
2. Ability to listen
3. Reward questions when needed
4. Use local terminology
5. Objective
6. Flexible
7. Persistent
8. Curious
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Auditing Techniques
Auditee may be stressed, so
1. Smile and relax
2. Point out good things you see
3. Summarize with ‘everything looks good here’ when you can
4. As the auditor, you are creating the audit culture for your organization

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Auditing Techniques
Use open ended questions, they provide more information. Ask
1. What, Where, Why, Who and When
Ask for clarification or more information if you do not understand

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Auditing Techniques
1. Keep people informed of what you are finding
2. Point out Nonconformance and good practices as you go
3. Make sure the auditee understands what you see as conformities
4. There should not be surprises at the closing meeting when you present your findings.

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PERFORMING THE
AUDIT
Section 4

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Performing the Audit
After opening meeting you will start your audit.
1. Using your checklists (talk to people, observe process)
2. Look out for evidence that the QMS is working effectively
3. An effective audit will depend on putting people at ease and encourage open honest
communication.

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As an auditor you will

1. Check documents and records
2. Ask questions
3. Observe processes and compare them with documented procedures and work
instructions
4. Investigate any differences
5. Follow audit trails and be curious
6. Take good notes

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Throughout the audit, you will take detailed notes on what you find
1. Be specific on what is reviewed and what is found
2. The information you write down will be used to identify nonconformances and to
assist the department in finding and understanding what you observed.

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DOCUMENTING THE
Section 5
AUDIT

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Documenting the Audit
Once you complete your audit, you will prepare an audit report and document any
nonconformities.
The report will also include
1. General information
2. Documents reviewed
3. Persons interviewed
4. General summary and assessment of how the system is performing.

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How to write an Effective Audit Report?
1. State the critical issue first. Clients, senior executives, and audit

committee members want
2. a brief description of the issue
3. its level of risk
4. recommended mitigating or corrective actions

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1. Focus on the findings, not the auditee.

2. Auditors should avoid describing their findings with phrases such as,
"During our review we noted that" or "it was noted that." Instead, the report
should simply tell readers what the audit revealed.

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1. Avoid jargon.
1. Internal auditing, like all professions, has its own jargon.
2. Report writers need to translate their technical language for non-auditors.

37
1. Emphasize potential for improvement.

1. Auditors can often achieve the best results by pointing out the potential for
improvement, rather than highlighting the negative consequences of failing to take
corrective action.

38
1. Avoid negative language. Using words with a pejorative tone can immediately

raise reader defenses. Negative words have a tendency to antagonize and may
dissuade rather than convince audit clients.

39
Management Review Process
Agend Review Closur

Step 1
Step 2
Step 3
a Meetin e
MR g Acti
to Top
prep
on
Mana
are geme
item
sche nt, s
dule Funct are
and ion wor
agen head ked
da s and upo
for Depa
rtmen
n.
the
t Suit
MRM
and head able
distri s to per
bute atten son
to all d the nel
MRM
parti are
.
cipa iden
Discu
nts. tifie
ss
Dep
agen d to
artm da
ents/ verif
point y
functi s and
ons arrive
the
will at stat
prep actio us
are n of
pres items acti
entat . on
ions Actio
to n
item
show items s.
case to be Clo
perfo listed sur
rman as e
ce, minut rep
impr es of
meeti
ort
ove
ng is
ment
, (MO filed
issue M) on
s, and suc
distri ces
reso
buted
urce sful
to
requi com
respe
reme pleti
ctive
nts, functi on
futur ons/d
e
of
epart acti
plan ment
s etc. on
s
item
s.

40
Audit Files
Final audit file contains
1. Audit Plan
2. Audit checklists
3. Audit reports
41
OVERVIEW OF THE
Section 6 CLAUSES AND
APPLICABILITY

42
ISO 9001:2015 Clauses Overview
Description Department
Quality Management System MR/Top
Management
Management Responsibility MR/Top
Auditable clauses
Management
Resource Management Support Services
(HR/Admin/
Facilities/IT)
Product/Service Realization Delivery Team
Measurement, Analysis and MR and Delivery
Improvement Team

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Important Clauses
Clause Related Activity Department Clause Related Activity Department

Quality Manual, Policy and 9.1 Calibration Delivery
5.2.1, 6.2 MR
Objectives
9.1.2 Customer Satisfaction Delivery and Sales
7.5 Control of Documents All
MR and Lead
7.5.3 Control of Records All 9.2 Internal Audit
Auditor
9.3 Management Review MR Control of Non
8.7 All
7.1.2 HR - General HR conforming outputs
7.3 Training HR 9.1.3 Analysis of data All
Support 10.3 Continual Improvement MR and All
7.1.3 Infrastructure
Services 10.2 Corrective Action MR and All
8.4 Purchase Purchase
8.3 Design and Development Delivery

44
Summary
• Internal audits are one of the most important steps in the QMS
• Implementing an effective system will help ensure an effective QMS and
successful certification audits.

45
Questions?

46
Thank You
(a division of Veave Technologies Pvt. Ltd.)
www.topcertifier.com
www.veave.in
+91-8880766655

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1

Internal Auditor Training

1. Types of audits & internal audit

Internal Auditor Training www.topcertifier.com

TYPES OF AUDITS &

Internal Auditor Training www.topcertifier.com

 Internal Audit or First Party Audit.

 Supplier Audit or Second Party Audit

 Certification Audit or Third Party Audit

Internal Auditor Training www.topcertifier.com

Management Consultant Department Heads Internal Audit & External Audit

Internal Auditor Training www.topcertifier.com

1. Determine if the system is meeting requirements

3. Drive continual improvement

4. Measure compliance with the documented system

Internal Auditor Training www.topcertifier.com

Internal Auditor Training www.topcertifier.com

Internal Auditor Training www.topcertifier.com

Internal Auditor Training www.topcertifier.com

Internal Auditor Training www.topcertifier.com

 Certificate is valid for 3 years on successful completion of surveillance audits

Internal Auditor Training www.topcertifier.com

Internal Auditor Training www.topcertifier.com

Internal Auditor Training www.topcertifier.com

Internal Auditor Training www.topcertifier.com

Planning Auditing & Corrective Action Closure

Internal Auditor Training www.isocatalyst.com

1. Maintaining the audit schedule

Internal Auditor Training www.isocatalyst.com

procedures applicable to the area.

4. Auditors assigned must be independent of the area being audited.

Internal Auditor Training www.isocatalyst.com

Complete the schedule and prepare for

Prepare the audit plan based on the

processes and procedures identified

Internal Auditor Training www.isocatalyst.com

Internal Auditor Training www.isocatalyst.com

1. Create audit schedule

KEY AUDITOR ATTRIBUTES

Internal Auditor Training www.topcertifier.com

Auditee may be stressed, so

1. Smile and relax

2. Point out good things you see

3. Summarize with ‘everything looks good here’ when you can

Internal Auditor Training www.topcertifier.com

Use open ended questions, they provide more information. Ask

1. What, Where, Why, Who and When

Ask for clarification or more information if you do not understand

Internal Auditor Training www.topcertifier.com

1. Keep people informed of what you are finding

2. Point out Nonconformance and good practices as you go

3. Make sure the auditee understands what you see as conformities

Internal Auditor Training www.topcertifier.com

Internal Auditor Training www.topcertifier.com

After opening meeting you will start your audit.

1. Using your checklists (talk to people, observe process)

2. Look out for evidence that the QMS is working effectively