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: COM-DPR-03
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INPUT / OUTPUT DIAGRAM

Controls:
Preparation and approval
of audit plan

Procedure manual
Audit reports

Internal audit
Annual Plan schedule

Internal Auditors score

Audit sheet
Audit checklist

NCR formats

Procedure for
corrective and Corrective and
preventive actions preventive actions

Resources:
 Systems
 Telephone
 Manpower
 Papers

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PROCESS FLOW CHART FOR INTERNAL AUDITS

Start

Preparation & approval of

Annual plan

Selection of Auditors and

release the audit schedule

Conducting the audits as per

schedule

Report the non –conformities

in E -Audit

Take Corrective and

Selection of best auditor as preventive actions for non-
per the guidelines & criteria conformities

Close the NCRs

Present the NCR analysis

report & NCR summary in the
MR meetings

End

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1.0 PURPOSE:
To verify whether quality activities and related results comply with planned arrangements and
to determine the effectiveness of the quality system.
2.0 SCOPE:
This procedure is applicable to all Internal Audits conducted at Ltd.

3.0 INPUTS:
3.1 Procedure for Corrective and Preventive Action COM-DPR-04
3.2 Procedure manual
3.3 Annual plan
3.4 Audit check list

4.0 PROCEDURAL STEPS:

4.1 Audit Plan:
4.1.1 Internal audits in all areas are conducted once in 6 months. However additional
audits may be conducted in specific areas depending on the status and
importance of the area and results of the previous audits. MR decides the need
for such additional audits.
4.1.2 Annual Plan (COM-SFS-06) is prepared by QMD coordinator and approved by
MR. Annual plan is communicated to all HODs by end of March for the coming
financial year.
4.1.3 This plan gives details of planning about other activities like internal audits, MR
meetings, Surveillance Audits etc.
4.1.4 If any of the activities in annual plan are delayed/ not carried out as per the
annual plan, the necessary information will be conveyed to all concerned.
4.1.5 Further, half-yearly Audit schedules (COM-SFS-15) are also prepared by QMD
coordinator and approved by MR. Audit schedules include details like area under
audit, auditee, audit scope, auditors and audit dates.
4.1.6 Audit schedules cover all shifts (where applicable) as detailed in shift details of
Dept./areas. Production areas are split (if required) into sections, which are
scheduled separately, for carrying out internal audits. Section names, Shift
number(s) and audit timings are reflected in audit schedules.

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4.1.7 M.R. organizes additional audits whenever the quality system requirements /
standard undergo any changes. These audits are carried out after all documents
are updated to meet the revised standard / Quality system requirements. MR may
also organize additional audits depending upon the status and importance of the
activity and results of the previous audit.

4.2 Audit Team:

4.2.1 Internal Audit team is selected by M.R. Audit team constitutes either one or two
members. QMD Coordinator takes over complete charge of the activities of
auditing the Quality System. M.R may use services of external auditors for
conducting internal Audits if necessary.
4.2.2 M.R. ensures that the auditors are adequately trained. Training records are
maintained in personnel files at HR department. List of auditors and their
details are available for information with QMD Coordinator.
4.2.3 Auditors are selected in such a way that they are independent of the area being
audited.
4.3 Audit Criteria and checklist:
4.3.1 Audits are conducted to cover all clauses of ISO/TS 16949:2009, all functional
areas / departments, Quality Manual, Departmental Procedures and applicable
work Instructions.

4.4 Conducting audit:

4.4.1 All internal audits are process approach audits. Before start of the audit M.R/
QMD Coordinator briefs auditors about how to conduct audit. Activities to be
carried out are indicated in the form of check list
4.4.2 The auditors follow the following guidelines for conducting the audit.
 Interviewing the personnel of the audited area.
 Scrutiny and verification of forms, Previous Audit reports and documents for
objective evidence of compliance as per departmental procedural manual.
 Observing activities and conditions
 Recording observations and audit findings
4.4.3 The auditor identifies and record observed non-conformance (s) during
an audit. Auditor obtains acceptance of observation by the concerned Auditee.

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4.5 Reporting:

4.5.1 Non Conformance Report (NCR) as per the format Ref. is filled in with the
details of proposed corrective actions indicated with time frame “Expected date of
completion” (EDC) .Filled in Checklist for Auditors and Checklist for communication
is used.

4.6 Corrective Actions & follow-up:

4.6.1 The HOD of the audited area initiates necessary correction, corrective actions and
Implements within the stipulated period.
4.6.2 On completion of implementation of corrections, corrective action (s) the auditee
conveys to M.R.
4.6.3 Every NCR is verified, for effective implementation of corrections
corrective actions, by a follow-up audit before closing.
4.6.4 The assigned auditor conducts follow-up audit and submits the findings to M.R..
4.6.5 M.R closes the NCR if the results of follow-up audit are satisfactory.
4.6.6 In case, Auditee is not able to close the NCR as per agreed EDC, the concerned
Auditee has to justify the delay caused in taking corrective action for NCRs and
a revised EDC to be obtained from MR
4.6.7 Once NCR is raised, it remains open till it gets closed satisfactorily. No further
NCR(s) may be made on open NCRs of previous audit (s).
4.6.8 Once NCR is raised, root cause analysis, correction, corrective action to be
identified with in 10 days, recommended to close NCR within 15 days, if more
time is required that should get approved by MR.
4.6.9 Weekly and monthly review meetings will be conducted and NCR’s Summary
will be presented in the monthly BRM meetings.
4.7 Analysis of Audit Non Conformances:
4.7.1 QMD coordinator prepares Pending NCR Summary and conveys the same to all
concerned HODs on Monthly basis for necessary action from auditees end.

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4.7.2 QMD coordinator analyses and summarizes the NCRs clause wise/ department
wise.
4.7.3 Management Representative presents the above details (Health of Quality
System) in the Management Review meeting
4.7.4 Any suggestions/ decisions coming out of Surveillance Audits and Management
Review Meetings are monitored through Action Plan.

4.8 Performance of Auditors:

4.8.1 Auditors’ Performance is evaluated twice in a year i.e., at the end of each
Internal Audit
4.8.2 Best Auditor is selected at the end of each of IAs based on the rank obtained in
Best internal auditor score sheet The criteria for selection of best Internal
Auditor is enclosed as Annexure-I
4.8.3 Annual award for the best internal auditor is selected based on the performance in
each of two IA’S performance.

5. OUTPUT RECORDS:

Retention
Sl. no Description Format Responsibility
period

01 Audit report Plan Coordinator 3 Years

Best Internal Auditor

02 Coordinator 3 Years
selection score sheet

03 NCR Format Coordinator 3 Years

04 Internal Audit Schedule Coordinator 3 Years

Corrective &
05 Preventive actions - Coordinator -
summary

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ANNEXURE-I

GUIDELINES FOR RATING THE AUDITORS

01. If the Audit was carried out within the stipulated week then award 10 points.

 Deduct one point for every working day delay after the stipulated week.

 If the delay is more than 9 working days give only 1 point

02. If the Audit Report (NCRs + Summary Report) was submitted within 48 working hrs. of

audit (with corrective actions) then award 10 points.

 For every working day delay after the grace margin of 48 hrs. deduct one point (If HOD

is not in station do not make any deduction for that day)

 For a delay of more than nine days give 1 point.

03. If any system inadequacies are brought out (through NCRs) for the first time, (take into

account the length of time they have been remaining unnoticed) the credit must be given for

such findings give full rating of 10 for minimum of two inadequate NCRs. If there are no

such findings, you can give a rating of 1 (the minimum).

04. If any non-conformances of non-conforming nature were brought out for the first time even

though they have been occurring for a long time and have not been pointed out in previous

IAs, the credit must be given for such findings. Give full rating of 10 for minimum of two

such NCRs. If no such NCRs are there you can give a rating of 1 (the minimum).

05. If the audit report is complete with all the columns of NCR form duly filled (precise

observation with objective evidence and explanation) and Summary Reports are completed,

give 10 points for a minimum of 5 good cases (NCRs) (two points for each NCR). Deduct

one point if NCR grid is not filled (This refers to only observation and explanation.

Attributions are covered separately in point ‘9’)

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06. If the NCR’ belongs to other interacting processes, give two marks for each NCR, subject to a

maximum of ten points for five NCRs. If no such NCRs are there you can give a rating of one

point (minimum).

07 If the NCRs belong to various applicable clauses, it is an indication that the audit has been

thorough; otherwise, it can be construed as cursory and rated accordingly. Give full rating of

10 for a minimum of five different clauses covered. Correct clause attributions only to be

considered. Otherwise, give minimum score of one point

08. Rate the areas of improvements suggested in summary Audit Report. Rate them on their

merit. Give full rating of 10 for a minimum of five (5) implementable / usable suggestions, at

the rate of two for each, otherwise give one point.

09. If the audit report is complete with all the columns of NCR forms duly filled with all

attributions to ISO 9001:2008 clause/sub-clause and document references, path of the NCRs,

give 10 points and make suitable deductions for things missing. Give two points for every

complete NCR (with no columns remaining unfilled). Maximum points that can be allotted is

10 marks.

Prepared By: Verified By:

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