3.7.10 Internal audits

1 Aim and purpose

The audit program defines:

• Objectives for the audit program

Determination of the effectiveness of the management system of the organization to be audited. Proof that the processes in parts of the organization or the entire organization meet the requirements of one or more standards for QM systems.

Uncover hidden weaknesses, identify the need for correction, assess the reliability of the organization, evaluate the degree of penetration of the organization by the QM system.

If necessary, a process or product audit can also be combined with the internal audit.

• Selection of the audit team;

Assignment of one or more persons to manage and direct the audit program.

• resources, including travel time and accommodation;

Determine the information and resources needed to organize and conduct the audits effectively and economically within the specified time frame.

• Scope/number/types/duration/locations/schedule of audits;
• Application of audit criteria;
• Development of audit methods;
• Confidentiality. Information security. Occupational health and safety and other similar aspects.
• Implementation and monitoring of the audit program

2 Scope of application

The audit programs are applied to system, process, product and service audits carried out on behalf of the IQ-Institut.

2.1 General information

Audits can be carried out routinely or for special reasons, such as significant changes in management, in the quality management system, in the service, in the service delivery process or in the follow-up of corrective actions. With internal audits in particular, care must be taken to ensure that they do not lead to responsibility for achieving quality objectives being shifted from the operating personnel to the quality assurance unit.

2.2 Audit objectives

An audit can have the following objectives:

• Determining whether or not the elements of the QM system fulfill the specified requirements
• Determination of the effectiveness of the QM system with regard to the fulfillment of the defined quality objectives
• Fulfillment of requirements from regulations
• to show the audited organization ways of improving the QM system.

The standard gives the following examples:

• Improvement of a management system and its performance
• External requirements, e.g. certification according to a management system standard
• Verification of contractual requirements
• Confidence in the ability of a supplier
• Evaluation of the effectiveness of the management system
• Evaluation of the compatibility and alignment of these objectives with the policy of the management system and the overall corporate objectives

2.3 Reasons for an audit

An audit can be carried out in order to

• obtain an initial assessment of a supplier before concluding a contract
• to prove that the QM system of a supplier continuously fulfills the specified requirements and that it is implemented
• evaluate your own QM system
• demonstrate that its own QM system meets the specified requirements on an ongoing basis and that it has been implemented.

The DIN EN ISO 19011 standard lists further aspects that should be considered when defining an audit program:

a) Management priorities;
b) commercial and other business intentions;
c) characteristics of processes. products and projects and changes to these;
d) management system requirements;
e) legal and contractual requirements and other requirements to which the organization is committed;
f) Supplier assessment requirements:
(g) requirements and expectations of interested parties. including customers;
h) Performance level of the organization to be audited as reflected in the occurrence of nonconformities or incidents or customer complaints;
i) Risks to the organization being audited;
j) Results from previous audits;
k) Maturity level of the management system being audited.

Description

Documentation

Resources

Responsibility and qualification

Notes and comments

Applicable documents

Literature

Terms

9 Systems