Conducting an Internal Audit 201

"Conducting an Internal Audit" provides an introduction to the steps involved in performing an internal audit on company processes. This class describes the purpose of internal audits and the role of the audit team, along with guidelines for conducting interviews and identifying nonconformances.

In order for a company to succeed, they must establish and follow practices that promote quality production. Internal auditing helps organizations review their daily activities, educate employees, and improve their quality management system. Many companies have regular internal audits in order to maintain ISO 9000 registration. Even if an organization is not seeking registration, auditing is a valuable tool for quality control and continuous improvement. Before beginning an audit, the group must understand the goals of the review and their role in the team. With this class, employees will be better prepared to conduct interviews, evaluate evidence, and contribute to corrective actions.

Class Details

Class Name:
Conducting an Internal Audit 201
Description:
"Conducting an Internal Audit" provides an introduction to the steps involved in performing an internal audit on company processes. This class describes the purpose of internal audits and the role of the audit team, along with guidelines for conducting interviews and identifying nonconformances.

In order for a company to succeed, they must establish and follow practices that promote quality production. Internal auditing helps organizations review their daily activities, educate employees, and improve their quality management system. Many companies have regular internal audits in order to maintain ISO 9000 registration. Even if an organization is not seeking registration, auditing is a valuable tool for quality control and continuous improvement. Before beginning an audit, the group must understand the goals of the review and their role in the team. With this class, employees will be better prepared to conduct interviews, evaluate evidence, and contribute to corrective actions.
Version:
2.0
Difficulty:
Intermediate
Number of Lessons:
16
Related 1.0 Class:
Conducting an Internal Audit 200

Class Outline

  • What Is an Internal Audit?
  • Process Audits and Product Audits
  • The Internal Audit Process
  • Internal Audit Steps Review
  • The Role of the Audit Team
  • Collecting Evidence
  • Types of Quality Documentation
  • Quality Records
  • Random Sampling
  • Conducting Audit Interviews
  • Sample Interviews
  • Internal Audit Process Review
  • Observations and Non-conformances
  • The Exit Meeting
  • The Formal Audit Report
  • Corrective Action

Objectives

  • Define internal audit.
  • Distinguish between process audits and product audits.
  • List the steps in the internal audit process.
  • Describe the role of the audit team.
  • Identify common types of evidence.
  • Identify the main types of quality documentation reviewed during an internal audit.
  • Describe the importance of quality records.
  • Define random sampling.
  • Describe the guidelines for conducting an interview during an internal audit.
  • Distinguish between effective and ineffective interview questions.
  • Distinguish between observations and non-conformances.
  • Describe the purpose of an exit meeting.
  • Describe the contents of a formal audit report.
  • Describe the importance of corrective action.

Job Roles

Certifications

Glossary

Vocabulary Term Definition
audit An examination of a company's activities or products to determine if the company is meeting standards or following policies as claimed. Audits can be conducted by outside parties or by employees within the company.
audit interview A method of collecting information through a series of questions and observations. The interview is the basis for collecting and interpreting information in the audit.
audit team A group of individuals selected to perform an internal audit. The audit team is responsible for auditing selected departments in their own company.
auditee An organization or department to be audited. During an internal audit, employees audit areas within their own company.
corrective action A plan created to address a non-conformance found during an audit. Corrective actions must be followed immediately following the audit.
corrective actions A plan created to address a non-conformance found during an audit. Corrective actions must be completed by the auditee.
evidence Information that pertains to the quality of an item, process, or element of a quality system. Evidence can be interview statements, mislabeled parts, records, and other forms of documentation.
exit meeting A meeting of the audit team and auditee to discuss the results of the audit. The exit meeting takes place after the information gathering stage.
follow-up audit An audit designed to evaluate the effectiveness of a corrective action. Follow up audits confirm that the corrective action was effective in resolving the non-conformance.
formal audit report The report containing the results of the audit. Formal audits include what corrective actions should be followed to fix non-conformances.
internal audit An examination of a company's activities or products conducted by the company's own staff. ISO 9000 requires internal audits.
ISO 9001:2015 The core standard of ISO 9000 that contains the requirements an auditor uses to verify conformity of a QMS. ISO 9001:2015 is titled "Quality Management Systems Requirements" and presents the actual material to which a company is certified.
lead auditor The individual responsible for leading the audit team. The lead auditor chooses the audit team, prepares the audit plan, conducts the meetings, and submits the formal audit report.
minutes A record that documents the topics and discussion of a meeting. Meeting minutes are considered quality records.
non-conformances A failure to comply with a requirement of a company's quality system. Non-conformances require immediate corrective action.
non-conformances A failure to comply with a requirement of a company's quality system. Each non-conformance is documented in the formal audit report.
observations A failure to comply with a requirement of a company's quality system. Observations may not require immediate corrective action.
observations An item of evidence found during an audit that relates to the quality of the product, process, or quality system. Observations may or may not require corrective action.
operating procedures Quality documents describing job responsibilities, job descriptions, and how different departments relate.
process audits An audit that focuses on processes and not a specific person or product. A process audit examines the effectiveness of company procedures.
product audits An audit that focuses on a product to determine if it meets specifications. Customers might request product audits if their products have had consistent problems.
quality policy manuals The overall objectives and direction of the organization. The quality policy manual describes existing practices, their interactions, their purpose, and how they affect the quality system.
quality records A document recording specific information that relates to a procedure or work instruction. Quality records are proof that an organization is complying with its procedures and policies.
quality system The objectives and processes of a company designed to focus on quality and customer satisfaction. Maintaining a quality system often involves documenting processes and conducting internal audits.
random sampling The process of collecting and analyzing only a small representative portion of a larger group. During random sampling, each item must have the same likelihood of being selected.
scope The range of activities that are the focus of an audit. The scope includes all areas of importance in an audit.
work instructions Quality documents that describe how to perform specific activities and tasks within the organization.