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Step 1 - Memorandum from the Co-ordinator, Quality
Systems
The Manager of the Department / Unit will receive
a Memorandum from the Co-ordinator, Quality Systems
advising when your Unit / Department is to be audited,
the activities and/or procedures to be reviewed, and
any outstanding Corrective / Preventive Action Requests
to be verified. The Memo will be based on this template:
Notification
of Internal Audit
Step 2 - Memorandum from the Auditor
As the auditee, you will receive a Memorandum
from the auditor (Internal Audit Team Leader) which
will outline:
· the purpose and scope of the audit
· the date and time of the audit
· activities / procedures to be audited
· reference documents / records are to be checked
The Memo will be based on this template: Notification
to Auditee of Internal Review
Work through the Checklist, making the necessary
arrangements for staff to be available at the appropriate
times / dates, and documents and records to be provided.
Confirm the review arrangements with the auditor.
Step 3 - Being Audited
Before commencing, the auditor will introduce
themselves & team members, and outline how long
they expect the review to take. They will outline
the purpose and scope of the review, and explain the
process they will be following. If you are unsure
of anything, ask questions or request clarification
from the auditor.
Remember, the auditor is not reviewing your performance,
they are reviewing whether the activity / process
meets the required standard (as set out in your procedures
and the ISO 9001:2000 standard).
Answer the questions you are asked as fully as possible.
If the auditor asks to view records or documents,
do your best to meet their requests (within reason).
If for some reason you are unable at the time to provide
something the auditor wishes to check, make a note
and arrange to provide it at a later date.
Step 4 - Informal Feedback
The auditor will make notes and provide informal feedback
as the review proceeds. You should be aware of exactly
what is being noted, including any Corrective / Preventive
Action Requests or Opportunities for Improvement.
At the end of the audit process, the auditor will
informally sum up. The auditor will then organise
a date for the formal feedback meeting with your Unit
/ Department Manager.
Step 5 - Formal Feedback Meeting / Sign Off the
Internal Audit Report
The purpose of the formal feedback meeting is
to present the findings of the audit via the Internal
Audit Report. Your Manager will advise you if you
are required to attend the formal feedback meeting.
An Internal Audit Report will be based on this template:
Internal
Audit Report
The auditor will meet with the Department / Unit
Manager to discuss the findings of the audit. If a
Corrective / Preventive Action Request has been identified
in the Report, a Corrective / Preventive Action Request
Form will also be completed and attached.
It will be based on this template: Corrective
/ Preventive Action Request Form
After presenting the findings, the Internal Audit
Report is "signed off" by the Department
/ Unit Manager and the auditor. The original report
is provided to the Co-ordinator, Quality Systems,
and copies are retained by the Department / Unit Manager
and the auditor.
Step 6 - Follow Up a Corrective / Preventive Action
Request
Your Department / Unit Manager is responsible
for ensuring that immediate action is taken to address
a Corrective / Preventive Action Request arising from
an Internal Audit.
An agreed time frame for implementation will be on
the CAR / PAR form. The auditor will schedule a meeting
with the Department / Unit Manager to follow up an
outstanding Corrective / Preventive Action Request.
Once the auditor verifies that the action required
to address the issue has been successfully completed,
they will "sign off" the CAR/PAR and forward
it to the Co-ordinator, Quality Systems for closure.
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