Internal Audit Flashcards
How are audits carried out?
Through :
1. Interviews of employees ( sometimes both past and present , some interested parties in some case)
2. Observation ( taking an observational tour )
3. Documents ( requesting and reviewing of documents some beforehand to prepare and some on site)
True or false: you must always audit according to something ( be it ISO14001, EMAS , Global compact )
True
There are two types of audits , what are they?
Internal audits and third party audits(external audits)
What can you say about internal audits?
Flexible frequency about 1-2 times in a year .
Internal auditor with a couple of days of education
What can you say about external audits ?
1-2 times a year but a mandatory 3 year cycle.
Year 0 : certification audit
Years 1+2 : surveillance audits
Year 3 : comprehensive recertification audit
What are he characteristics of a good audit ?
- Have a well defined scope
- Have a specific objective
- Be carried out by a sufficient and competent audit team
- Be well planned
- Be prepared for in advance
- Must lead to a report
- Must be followed up on
- Must be done according to ISO19011 /EMAS
What can you say about the planning in an audit ?
There should be an overall plan for a year or longer if necessary. This plan should include :
When
By whom
Specific objectives
The scope of each audit
What can you say about the objectives of an audit ?
The objective must comply with ISO14001/EMAS chap 4-10
Must comply with decided procedure and processes
Must comply with legislation and other requirements (compliance obligations)
Must test the efficiency of the system
Must have Enough resources
What can you say about the scope of an audit ?
This is where you define the boundaries of an audit . Like which parts of the company’s activities will be audited ? What are the conditions of the audit ? How long of a time will be spent on the audit
What can you say about forming a team for an Audit?
The auditors in the team are dependent on the C/O site-specific competences needed ( do you need someone with expertise in biochemistry..etc…). The number of auditors also has to be determined . Who does what
What can you say about preparing for an on-site audit ?
Always ask the C/O for all some relevant documents to read beforehand . Examples of these documents are :
1. A good description of the activities and personnel
2. All documentation of the EMS .
3. All permits /control programs and all other correspondence with legal documents.
4. Yearly environmental reports if available.
After receiving the relevant documents from C/O what next
You form an appropriate team
Go through received documents
Prepare checklist for observation tour
Prepare questions for each interview
Have forms/templates to fill in non conformities
Have an audit time schedule (which can be edited or fine tuned )
What are some on-site audit activities that are conducted ?
- Opening meeting
- Interviews
- Observation tour
- Document check
- Preparing audit conclusions
- Closing meeting
What are some good audit practices?
Follow tracks and loops
Sample
Keep on track with audit object and scope
Be ethical
Take notes
Listen
Try to be on good speaking terms with C/O and employees
Be clear with nonconformities ( reformulate if necessary )
What are some tips for conducting good interview’s?
- Interviews should be held with individuals within the appropriate levels and functions in the C/O as required within the scope of the audit .
- Interview should be conducted during normal working hours and if possible at the place of work of the person being interviewed
- Reason for interview and any not taken should be well communicated and explained to the interviewee
- Type of questions should be carefully selected ( closed , open etc.)
- Make attempts to put interviewee at ease before interview begins
- Interview may begin by asking the individual to describe their activities
- Interview notes and point should be summarized to the interviewee at the end of the interview
- Always thank the interviewed individual for their cooperation
