INTERNAL AUDIT PROCEDURE
This procedure can apply for ISO 9000, SA 8000, ISO 14000, HACCP, ISO 22000 etc
The purpose of this procedure is to evaluate the IMSs to ensure that they are accordant with relevant documentary management systems as well as their efficiency meets the goal and policy of the company.
This procedure applies to all the IMS activities including the process of setting the evaluation plan, program and process, making report and supervising.
3.1. The terms used in this procedure are suitable with the standards applied by the company.
• Internal Management System: IMS
• System management committee: SMC
Throughout the process, auditing the IMS is an independent task in order to collect objective information on how the current policies and procedures in the company are being done because it will evaluate the efficiency of the management system.
4.2.1. The auditing plan:
For at least twice a year (or by sudden request), the Board Rep or the SMC makes the auditing plan to consider:
a/ The arrangement is suitable with the standards and requirements of management systems regulated by the company or not.
b/ The systems are regularly and effectively functioned and managed.
This plan after being made will be submitted to the Board of Director (or the Board Rep) to examine, approve and decide to execute.
4.2.2. List of evaluators and the evaluation program:
The Board Rep will make a list of evaluators including the head of the auditing committee and outside experts (if needed). These selected evaluators must have participated in the internal training courses.
Meanwhile, at least 2 weeks before auditing, the Board rep makes a plan with specific timeline for auditing, the content includes:
• The effectiveness and result of each process.
• The stability and accordance.
• Ability to satisfy each process.
• Statistic analyzing tools
• Analyzing data about the cost of system management.
• The accuracy and enough of the result management.
• Using resources effectively.
• Advanced activities.
• The relation with other departments and concerning parties.
The general Director examines and approves on the list and the program. If not, the Rep will have to redo. If the Director agrees on the redoing, he will decide to carry out them.
4.2.3. Prepare to evaluate:
The internal auditing process is considered a management tool to independently examine all the expected functional processes.
To keep the auditing process go on continuously and smoothly, the evaluation committee and evaluated department must prepare a schedule as well as related documents and files such as:
• Documents and files made before
• The status and importance of each process
• Result of previous auditing processes
• Standard, scope and evaluation method
4.2.4. The opening meeting:
The evaluation committee and evaluated department will hold an opening meeting in order to reach agreement on the program content, time and the evaluation method as well as introduce the attendants.
4.2.5. Carry out the internal evaluation:
a/ To have a good evaluation result, the evaluation committee and evaluated department must ensure the following requirements:
• The evaluation must be carried out objectively and independently.
• The agreed time must not be late.
• Use prepared documents and files to operate effectively; the result is accordant with the standards regulated by law.
• Accurately Control the non-conformance, enough and effectiveness of the process and the products.
• Analyze the non-conformance to prevent from happening again.
b/ Base on the evaluation goals, the committee and department will analyze the non-conformance:
• If agree on the nonconformity, the committee and department will write a report on non-conformity product (or process).
• The committee recommends corrective actions and issues CAR note to the department to perform.
4.2.6. End the meeting:
The committee decides to end the meeting after agreeing on the non-conformity of the product or process, making a report on the evaluation result and recommending necessary actions in order to continue the corrective process.
4.2.7. Report on the evaluation result:
After receiving the results of auditing process for each specific goal, the committee will make a report on the result in which they clarify the evaluated goals:
• Conformance: meet all the requirements of the management system, law and society.
• Non-conformance: not meet all the above requirements.
Depend on considering the recommendation of tasks that need correcting, perform corrective actions as soon as possible, eliminate the causes and solve other non-conformities to prevent from happening again.
4.2.8. Performing corrective actions:
• Through the recommendation and CAR note issued by the committee, the department will perform the corrective actions.
• The assignee must have attended training course and must perform the actions effectively, find the causes, solve the non-conformance and prevent from happening.
• The evaluated department will record the non-conformity as well as the solving process in order to make it an experience for later use.
4.2.9. Evaluate the corrective actions:
The committee will evaluate the corrective actions performed by the department. This must be relevant with the impact level of the non-conformity and must consider the accuracy base on:
• The source of information for the actions
• The evaluation of non-conformity
• Identifying the cause to the non-conformity
• This process must examine all the impact to prevent the non-conformity from happening again.
After evaluating the actions:
a/ If find out the causes to the non-conformity, the committee issues new CAR note and request the department to perform the new corrective actions.
b/ If disagree that the corrective actions being done well and not find any causes, the committee reports the Board Rep about this problem and asks for direction to solve appropriately.
c/ If agree the actions being done well, the committee will finish the left internal evaluation work.
4.2.10. Finish the evaluation:
To finish the evaluation, the committee makes a record including all the related documents from beginning to end of the process. All the documents must have signature from the member of the committee and be reported to the BR after completing.
All the documents related to the process must be updated frequently and be collected, recorded and managed by the filing clerk.
4.3. Requirement toward the evaluators:
Evaluators are the ones who are trained about “auditing regulated by related standard system”. These people will be the recommended by the system management department and appointed by the Board rep for each evaluation process.
4.3.2. The head of evaluation committee:
This person must have certificate in “auditing regulated by related standard system”, be recommended by the SMD and appointed by the board Rep. He will be responsible for making plan, carrying out, reporting and supervising the performance of corrective actions from beginning to end. The auditing is finished when the heads of committee and division sign their name on the corrective action request form and make report to the BR.
5. REFERENCE DOCUMENT:
• Quality handbook
• Environment Handbook
• The internal management program No: 0016
• The evaluator’s note No: 0017
• Evaluation Schedule No: 0018
• Report on internal evaluation No: 0020
• Questionnaire No: 0117
Related ISO documents: