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Internal Audit

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Mahendra Nandanwar
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17 views9 pages

Internal Audit

Uploaded by

Mahendra Nandanwar
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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What are the documents requires for IATF

Internal Audit?
Following documents required for IATF Internal Audits

 IATF 16949:2016 Standard: This is a core document of


automotive QMS requirements.
 Internal Audit Procedure: Documented procedures shows
how internal audits are planned, conducted, reported, and
followed up.
 Audit Checklist: A detailed checklist aligned with IATF
16949:2016 requirements.
 Audit Plan and Schedule: Scope, objectives, criteria, and
schedule of internal audits.
 Audit Reports: Reports summarizing audit findings,
conclusions, and recommendations for corrective actions
and improvements.
 Non-conformity Reports: Documentation of non-
conformities, including root cause analysis and corrective
actions.
Why we do Internal Audit?
1. Compliance: Ensure the organization fulfill IATF 16949:2016
standard requirement, which are mandatory for
automotive quality management systems.

2. Continuous Improvement: This audit finds out the area of


improvement for our processes, products, and system. This will
overall improves our efficiency and quality.

3. Risk Management: Internal audit verifies our production


processes and supply chain activities for risk assessment and
measures. It will help to reduce those risks.

4. Customer Requirements: IATF standards focus on to meet


customer-specific requirements and their expectations. Therefore,
IATF internal audit will helps to find out the gaps in our
organization.

How to do IATF Internal Audit?


Step #1: IATF Internal Audit Planning:
Prepare an internal audit plan which includes when we are going
to do the internal audit. This considers the frequency of audit.

Decide the frequency of audit. It should be the documented file


that includes all the QMS related processes/department
requirements. Some organization plans the IATF internal audit
Yearly once and some plan Half-yearly.

QMS standards basic requirement is to do at least once in a year.


Depending on issues and non-conformities organization decides
their own frequency.

Define Audit scope: Define the scope of the audit. The Audit
scope considers what processes, which departments, and which
locations need to be audited. It should cover all the
functions/departments relevant to QMS scope.

Additional audit can be planned depending on certain conditions


with the discussion of a responsible person. the conditions are

 If there are many non-conformities in a particular


function/process.
 Change in manufacturing process
 frequently customer claim for any function/process
Mention in the plan that if the audit is not performed as per
schedule due to any critical situation, then the audit will be re-
schedule within a month or ASAP.

Step #2: Internal Audit Schedule

After making plan once the audit time closer then prepare audit
schedule.
Internal Auditor’s List: Consider the skilled internal auditors for
the audit program. The list of certified internal auditor will give
you the name of auditors who have undergone the training of
IATF 16949:2016 auditing techniques and become a IATF Certified
Internal Auditor.

There must be a qualified internal auditor in the list. Make sure


auditor should not audit their own work. This one is Mention in the
standard, which Auditor you should refer.

Audit Scheduling: This audit scheduling consist of list of


processes or departments along with their audit scope. Then who
will be the auditor of respective process and who will face the
audit (Auditee/process owner). Also includes the scope, date and
time of the audit.

In short audit schedule means when audits will be performed and


who and how will take the audit.

It is mandatory, that all working shifts must be audited. It must


include in the Audit schedule.
Audit Communication: Notify and Communicate all the
departments, functions and process owners this audit schedule. It
should be our common courtesy to inform about upcoming audits.
It will help the Auditee to prepare required documents and pieces
of evidences.

Basically, best way of communication made through mail


communication or any other suitable channel whatever you
choose.

Refer below email template of how to communicate audit


schedule in organization.

Step #3: Internal Audit Preparation

The auditor conducts audit as per clause requirements of


respective function/Scope as scheduled.

Document Review: Collect all relevant documents such as the


IATF 16949:2016 standard, internal procedures, process maps,
and previous audit reports. This will have clarity on baseline for
audit.

Internal Audit Checklist: Prepare an audit checklist based on


the IATF standard’s requirements and any other organizational
criteria. This checklist gives the outline of audit scope. And helps
auditor to do audit in systematic way.
Step #4: Conduct IATF Internal Audit

Opening Meeting: Introduce the audit team, explaining the audit


objectives, audit scope, and method to auditees.

Conduct IATF Internal Audit: Perform actual audit by knowing


processes and ask for evidences as per audit checklist. Review all
documentation and check for compliance and standards.

Auditor shall use any or combination of auditing techniques like


observing, questioning, interviewing the auditee for verification,
and recording the objective evidence of conformance or non-
conformance in the audit report.

It is very important to ask the right question to the right people at


the right time. You must have a good Auditor quality for
successfully completing the audit.

Record Internal Audit Findings: Document all your


observations in the audit finding sheet or observation sheet.
Kindly fill the audit finding sheet with all evidence verified and
what is the conclusion on this point.

Blank Report

Filled Internal Audit finding for


example
Internal Audit NC Reporting: All the non-conformities are
report in the Audit report. During an audit, the auditor may find
some deviations, or some requirements are not meet to
standards, this should be report as non-conformity.

Record all non-conformities in audit finding sheet. The type of


non-conformity (NC) includes Major NC or Minor NC or Opportunity
for Improvement/area for improvement.

Auditor shall investigate customer, government management &


standard requirements while auditing. Auditor shall also identify
the areas of improvement and report them as observation.

A closing meeting should be plan by auditors to summarize all


audit findings.

Audit Closing Report & Internal Audit NC


communication: Discuss audit findings with auditees and team,
have clarification on any misunderstandings, and confirm actions
to be taken. This process is important because after audit
everyone agree to all observations and NC’s. All Non-conformities
discussed and communicated through NC report along with audit
closing report.

Step #5: Internal Audit Reporting and Follow-Up

Audit Report: Prepare a detailed audit report with all audit


summary of findings, conclusions which includes non-conformity
and best practices, and recommendations such as area for
improvement.

Non-conformity Management: Non-conformities identification,


classify them based on severity, and ensure corrective actions are
proposed and implemented within timelines.
Follow-up Audits

Plan and schedule follow-up audit to verify effectiveness


of corrective actions and improvement points.

Follow-up audits are perform on the non-confirming audit findings.


But it depends on the auditor that he just wants to audit only NC
points or complete function again.

Preferably, the same auditor shall carry out the follow-up audit of
the department after the commitment date or during subsequent
audit day and shall record the findings on NC copy.
Step #6: NC closure and Audit Closing summary

Depending on the NC type and their action plan, after doing the
follow-up and checking effectiveness auditor can close the NC.
Once all NC are closed the audit closing summary need to be
done.

Step #7: Continuous Improvement

Finally, do audit analysis to evaluate the continuity, stability and


effectiveness of the Quality Management System (QMS).

Do detail analysis of audits and prepare for management review.

Management Review: Present audit results to top management


in management review meetings (MRM). Usually in this meeting
management will take decision to improve quality system. And
sometimes dedicated responsible and resources can be allocated
do this improvement initiative.

Process Optimization: Use this audit findings and results to


improve processes, increase product quality and achieve
operational excellence.

Conclusion
By following these perform internal audit steps and ensuring the
availability of necessary documents, organizations can effectively
conduct IATF internal audits to fulfill legal & compliance, initiate
continual improvement, and meet automotive industry standards
and customer expectations.

The next step is to follow the roadmap so that you will learn the
concept in the actual sequence that every Quality engineer
should go through.

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