INTERNAL AUDIT

MAHMOUD JAMIL KHADER

LEAD AUDITOR
MAHMOUD JAMIL KHADER

PRODUCTION SUPERVISOR IN VT-PLANT

LEAD AUDITOR

WHY ARE YOU HERE?

To be able to evaluate your own area and make improvement To understand audit process To be able to particulate audit process To help your organization improve their health and safety position
LEAD AUDITOR

MAHMOUD JAMIL KHADER

 Audit Systematic, independent and documented process for obtaining audit evidence and evaluating it to determine the extent to which the management system audit criteria set by the organization are fulfilled.

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Why Audit is Important?

To ensure conformance with requirements To determine the effectiveness of the MS To detect and correct non conformities To identify training needs To highlight strengths as well as weaknesses

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What Makes Meaningful Audit?

Good planning. Cooperation and honest answers. Full report of auditing. Competence of the auditor. Communicational skills. Time management. Follow up.
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First party audit

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Second party audit

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Third party/external audit

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Non conformity :

Non fulfillment of requirement

Corrective action:

action to eliminate the cause of detected nonconformity preventive action: action to eliminate the cause of potential nonconformity

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Audit Criteria :

Set of policies, procedures or requirements used as a reference against which audit evidence is compared.
Audit Evidence :

Records, statements of fact or other information, which are relevant to the audit criteria and verifiable. Audit findings :

results of the evaluation of the collected audit evidence against audit criteria
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Auditor :

person with competence to conduct an audit

Audit Scope : extent and boundaries of an audit; generally includes a description of the physical locations, organizational units, activities and processes, as well as the time period covered.

Audit Plan : description of the activities and arrangements for an audit

Auditee :

organization being audited

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Auditor Attributers:
Open minded. o Diplomacy. o Decisive. o Firm. o Fair. o Patient. o Cooperated. o Able to analyze complex situations.
o
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Auditor Responsibilities

Complying with the audit requirement (e.g. remaining in scope, time management). Planning and performing audit activities. Reporting audit findings.

Verifying the effectiveness of corrective action .

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Auditee Responsibilities

Informing employees about the objectives and scope of the audit. Providing facilities needed by the audit team. Appointing responsible staff to accompany members of the audit team to act as guides. Co-operating with the auditor. Ensuring auditors are aware of health and safety requirement.

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Plan an Audit

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Initiating The Audit

Define

the audit objectives, scope and criteria.

the time scale for the audit.

Determine

Initial

contact with the auditee- establish communication, timing, request access to any documentation, confirm PPE.
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Research
Particularly

if the site has not been visited before.

the processes associated with the site .

Review

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Information about audittee.

check list.

Audit plan.

Understanding of audit criteria.

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Guidance When Conducting an Audit

Auditing should be seen as a positive process not a fault finding. Audits need to be documented. Prior to the audit date, an auditor needs to review the system documentation, corrective and preventive actions, and develop a checklist. During an audit, an auditor need to see evidence that the processes are being done in accordance to procedures and policies .
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 Obtaining

information

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Interviewing people

Examining documents and record

Observing activities and conditions and using other sense
P.94
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Refer to check list

Take notes.

Ask open ended question (how, when, where, what, who).

Examine evidence.

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Why Check List?

Focus

the auditor. Ensure issues are not forgotten. Assist with reporting. Help with time keeping. Exercise
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Taking Notes

Record objective evidence for reporting. All necessary facts should be recorded. If there is a need to follow-up an another issue later during the audit. To record the details of the samples taken, including references to procedures. To record that an area has been covered.
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1. Audit Plan 2. Develop Checklists

3. Opening Meeting
4. Gather Evidence 5. Record Results

6. Closing Meeting
7. Audit Report

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Effective Communication
Effective

communication is vital in an audit scenario. Verbal and non-verbal communication must be considered (it is not logical- it is psychological- it is what we do to give and get understanding)
language, appearance/clothing, gesture, posture and expression
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Rapport:
Voice,

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 Active

listening: ( means showing you

are listening)
Keep

eye-contact, show open body language( the impact of the spoken message is 7%verbal, 30% vocal and 55% facial ) commenting words

Use

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Audit Reporting and Follow-up

Audit findings:

Nonconformities
Observations
Potential problem, ineffectiveness, inefficiencies

Noteworthy efforts
High level of commitment and motivation Adoption of best practice.

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For a nonconformity to exit there has to be a:

NC=R+F+E
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What key things to look for and where?

Task - work methods defined, efficiency People - training, skills, competence and motivation Equipment; Work Environment
identification, capability, condition, safety, sanitation

Documents / Records
identification, issue, content, correctness and distribution retention, preservation, legibility, accessibility

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Audit report

Objectives Audit scope Identification of audit team Date and place where the on-site audit activities were conducted Audit criteria as findings( NC, Obs. , NEW) Reference documents against which the audit performed conclusions
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Items shouldnt included in the report

Politically sensitive issues that bear no relevance to conclusions of the audit Items not in the scope of the audit Items not mentioned or discussed during the audit Audit report should be completed as soon as possible within agreed timescales
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Follow Up

FOLLOW UP is the term given the

actions of verifying and assessing the effectiveness of corrective , preventive actions resulting from an audit.

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THANK YOU FOR LISTINING

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