EHQMS Integrated Internal Audit Procedure Sample

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uk
EHQMS
Procedure
Internal Auditing
www.iso-9001-checklist.co.uk
EHQMS Procedure
Internal Auditing
Table of Contents
1 INTERNAL AUDITS ....................................................................................................................................... 3
1.1 INTRODUCTION & PURPOSE ....................................................................................................................... 3

1.1.1 Process Turtle Diagram ................................................................................................................................................ 3
1.1.2 References ......................................................................................................................................................................... 3
1.1.3 Terms & Definitions ....................................................................................................................................................... 3
1.2 APPLICATION & SCOPE .............................................................................................................................. 4
1.3 SELECTING INTERNAL AUDITORS ................................................................................................................. 4
1.4 INTERNAL AUDIT PROGRAMME................................................................................................................... 4
1.4.1 Long-range Audit Programme .................................................................................................................................. 4
1.4.2 Short-range Audit Programme ................................................................................................................................. 4
1.4.3 Reporting Progress ........................................................................................................................................................ 4
1.5 INTERNAL AUDIT CHECKLISTS ..................................................................................................................... 4
1.5.1 Integrated Audit Checklist .......................................................................................................................................... 4
1.5.2 Process Audits.................................................................................................................................................................. 5
1.5.3 Supplier Audits ................................................................................................................................................................ 6
1.5.4 Legislation Audits ........................................................................................................................................................... 6
1.6 CORRECTIVE ACTION .................................................................................................................................. 6
1.7 FORMS & RECORDS ................................................................................................................................... 7
1.8 INTERNAL AUDIT PROCESS MAP ................................................................................................................. 8
Document Ref. Page 2 of 8

EHQMS Procedure
Internal Auditing
1 Internal Audits
1.1 Introduction & Purpose
The purpose of this procedure is to define your organization’s process for undertaking internal audits, process
audits, and supplier and legislation audits in order to assess the effectiveness of the application of our QEHS
management system and its compliance to ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018. This procedure
also defines the process for programming and conducting internal audits, reporting results and retaining
associated records.
1.1.1 Process Turtle Diagram
With what With who
• Internal audit programme • Audit team

• Internal audit checklists • QEHS Manager
• Previous audit findings • Top management
Input Output
Activity
• Process criticality • Process improvement
• Status and importance • QEHS improvement
• Customer requirements Systematic, independent • Conforming processes
• Compliance obligations and documented process to • Process corrective actions
• Legal requirements obtain objective evidence • System corrective actions
• Aspects and impacts and to evaluate it to • Final audit reports
• Areas of concern determine the extent to • Updated audit programme
• Audit considerations which audit criteria are met • Monitoring of critical
• Risks and opportunities processes
How With what measure
• Independent auditors • No. of audits conducted

• Audit reports • No. of open audit actions
• ISO 9001, ISO 14001 & ISO • Repeated NCs
45001 • Audit scores
1.1.2 References
Standard Title ISO Clauses Manual Sections
BS EN ISO 9001:2015 Quality management systems 9.2 9.2
BS EN ISO 14001:2015 Environmental management systems 9.2 9.2
BS EN ISO 45001:2018 OH&S management systems 9.2 9.2
1.1.3 Terms & Definitions

Term Definition
Audit A documented process for obtaining and evaluating evidence
Conformity Fulfilment of a requirement (3.6.4)
Corrective action Action to eliminate the cause of a non-conformity (3.6.9) and to prevent recurrence

EHQMS Procedure
Internal Auditing
1.2 Application & Scope

The scope of this procedure is focused on assessing the effectiveness of your organization’s integrated
management system. By applying the principles of auditing, outlined by ISO 19011:2011, your organization
ensures that all internal audits are conducted with due professional care, integrity and independence. All
conclusions derived from the audit are based upon objective and traceable evidence.
1.3 Selecting Internal Auditors

To ensure impartiality and objectivity, the audit team will include personnel from departments not directly
associated with the area, process or department being audited. The Internal Auditors are selected on the basis
of their:
1. Impartiality;
2. Education: secondary or higher;
3. Work Experience: more than 5 years;
4. Relevant Training: provided in-house or externally;
5. Audit Experience: demonstrable knowledge/skills.
All internal auditors have undergone training and their competency has been assessed and recorded. All
internal auditors are regularly trained and further qualified as required. It is intended that the audit team is
made up of employees from different areas of the business.
1.4 Internal Audit Programme

1.4.1 Long-range Audit Programme
Using the Internal Audit Programme, the QEHS Manager ensures that the ‘process names’ identified in the
Process Matrix & Application form are copied into the internal audit programme. In conjunction with Top
management, the QEHS Manager devise the 10-year internal audit programme.
The frequency of audits depends on the criticality of each process and the perceived need to audit, but all
processes and areas are audited at least once every two years. Critical processes generally interact with the
customer directly and are therefore audited annually, or more regularly as required.
1.4.2 Short-range Audit Programme

The QEHS Manager then develops the 2-year internal audit programme with specific dates and durations of
each planned audit. Top management review and approve the internal audit programme and communicate it
to all Process Owners. All internal and external non-conformances that are attributable to system or process
failures may result in the audit programme being updated to include additional audits in the area concerned.
1.4.3 Reporting Progress

The QEHS Manager compiles audit progress summaries (planned versus achieved) for quarterly QEHS reports
and a full audit summary report for Top management, as part of the management review process.
1.5 Internal Audit Checklists

1.5.1 Integrated Audit Checklist
Using the Integrated Audit Checklist, the QEHS Manager undertakes a clause-by-clause audit when preparing
for implementation, gap analysis or certification audits. Each audit question in the checklist phrases the ISO

EHQMS Procedure
Internal Auditing
actions are completed. A member of the audit team will then sign off the audit report. An audit summary is
prepared for management review.
All internal audit results and any corrective actions are discussed at management review meetings to evaluate
their effectiveness and implementation. Following implementation, the audit programme is systematically
reviewed in order to assess the effectiveness of the audit programme and whether to modify it, where required,
for continued implementation.
Where the assessment of the effectiveness of the Internal Audit Programme reveals deficiencies, corrective
action may include modifying future audit programmes or the performance of additional audits to ensure
compliance.
1.7 Forms & Records

All documentation and records generated by the internal audit process are retained and managed in
accordance with the Documented Information Procedure.
Title & Description

Internal Audit Report
Process Audit Report
Audit Feedback Form
Supplier Audit Checklist
Integrated Audit Checklist
Internal Audit Programme
Process Matrix & Application

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1.1 INTRODUCTION & PURPOSE ....................................................................................................................... 3

Document Ref. Page 2 of 8

With what With who

• Internal audit programme • Audit team

How With what measure

• Independent auditors • No. of audits conducted

1.1.3 Terms & Definitions

Document Ref. Page 3 of 8

1.2 Application & Scope

1.3 Selecting Internal Auditors

1.4 Internal Audit Programme

1.4.2 Short-range Audit Programme

1.4.3 Reporting Progress

1.5 Internal Audit Checklists

Document Ref. Page 4 of 8

1.7 Forms & Records

Title & Description

Document Ref. Page 7 of 8

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