ROOM 2 - Internal Audit Checklist 17020 (1) (146424)

Internal Audit Checklist
Part 1: General Information
This section should contain the detailed information about the auditee as well as the type & date of the audit(s) and any attachments included such as the audit
plan, the NCRs and ORs.
Audit Reference No.: Room 2

Auditee (identification of the
Ms. Lina Qudah, LMQ
organizational Unit Audited
and key staff interviewed):
Auditor:
Lead Auditor (if the auditor
Ethyl
was no the lead auditor):
Audit Location(s): Virtual
Internal Audit criteria: ISO/IEC 17020, Cl.8.3, 7.6, 8.7, 6.1
Internal Audit Date(s):
Part 2: Internal Audit Details
2.1 Scope Audited:
 Methods and Procedures Audited and Witnessed
This section should detail or reference (e.g. by reference to the detailed audit plan, the scope or other document) the scope of the audit with respect to the
activities, departments, processes etc.
Page (1) of (14)

Any deviations from the audit plan should be recorded with an explanation for the reasons for deviating including any impact on the audit due to such
deviations.
The scope should also indicate the level of sampling (with respect to, the scope of activities and the size of the organization) so that the auditee is able to
understand the audit conclusions in context.
Where applicable and if not covered on the coversheet, the names and addresses of all sites covered by the audit should be stated in the report.
 Areas Sampled at the Audit
The areas sampled at the audit should be mentioned as bullet points under this section and described in details under in the Internal Audit Summary report.
 Staff Interviewed
A list of all staff interviewed during the audit with their job titles should be described under this section.
2.2 Internal Audit Findings:
Comments:
Ref. Compliant Not Not Procedure/Sample records
Element /Chapter Reason(s) for not complying, Good practices,
clause Compliant Applicable checked
opportunities for improvement, ref. to NCR/OR
4. General requirements
Impartiality and
4.1 ☐ ☐ ☐
independence
4.2 Confidentiality ☐ ☐ ☐
5. Structural requirements
5.1 Administrative requirements ☐ ☐ ☐
Page (2) of (14)

Comments:
Organisation chart
Reporting structure was not

Organization and clear from the Chart
5.2 ☐ ☐ ☐
management
JD was not seen for Deputy
Gen. Manager, requested
send by email
6. Resource Requirements
Procedure: LMQ IB QP-04
/Personnel training and
6.1 Personnel ☐ ☐ ☐
competency evaluation
a) Have LMQ defined &

documented competence LMQ IB QP-04
requirements for all personnel
involved in inspection
activities including:
6.1.1  Education, ☒ ☐ ☐
 Training,
 Technical knowledge,
 Skills,
 Experience.
6.1.2 a) Sufficient number of ☐ ☐ ☐ a) Not evident
competent persons, for type,
range and volume of work
available?
b) Competency & training
Page (3) of (14)

Comments:
needs of staff being identified
during recruitment?
6.1.3 a) Do the personnel ☐ ☒ ☐
responsible for Inspection As per LMQ IB QP-04:
have relevant qualifications -review the competence of
or assessed as competent? any staff upon joining.
(Verify Qualification records - primary assessment done
of Inspectors) at the end of Induction
Training.
b) Are the personnel given Technical Manager evaluate
relevant in- house training; the competence of the
experience; and candidate at the end of
relevant technical knowledge,
probation period.
how process operated,
technology, Any defects
-The training plan shall
which may occur.
include :
c) Are the inspection  Induction Training
personnel familiar with  Quality Management
principles & practices of Training
inspections performed/  Technical Training
supervised, &equipment  On job training
used?
 Technical Seminars
d) Do they understand the
significance of deviations
found with regard to the
normal use of the products,
operation of the processes d) not evident (need more evidence for ensuring
Page (4) of (14)

Comments:
and the delivery of services? compliance )
6.1.4 Does the Inspection Body
make clear to each person
☐ ☐ ☐
their duties, responsibilities
and authorities?
6.1.5 1) Procedure for selection,
Procedure for training,
authorizing, & monitoring of
inspectors & Other personnel
☐ ☐ ☐
activities maintained?
2) Criteria for selection

defined?
6.1.6 1) Does the documented As per procedure ;Training

procedures for training plan include :
(6.1.4) address the following  Induction Training
stages:  On job training
a. An induction period;  Technical Seminars
b. A mentored working  Quality Management
period with experienced ☒ ☐ ☐
Training
inspectors;
 Technical Training
c. Continuing training to keep
pace with developing
technology and inspection
methods.
6.1.7 Does the training required ☐ ☐

☐
Page (5) of (14)

Comments:
depend upon the ability,
qualifications and experience
of each inspector and other
personnel involved in
inspection activities and upon
the results of monitoring
(6.1.8)?
6.1.8 a) Do personnel familiar with
the inspection methods and
procedures monitor all
inspectors and other
personnel involved in
inspection activities for
satisfactory performance? ☐ ☐ ☐
b) How training needs are
identified
c) Is results of monitoring
being used as an
identification for training
need? 6.1 7
Page (6) of (14)

Comments:
6.1.9 a) Are the inspectors
monitored for continuous
competent performance?
b) Is each inspector observed

☐ ☐ ☐
on-site unless there is
sufficient supporting
evidence that the inspector is
continuing to perform
competently?
6.1.10
a) Are records of monitoring/

training & skills evaluation
 Induction Training
maintained?
 Training Plan
b) Records of education,  Training Records such as
training, technical knowledge training & skills
and experience of each evaluation Training
member of its personnel ☒ ☐ recommendations.
☐
involved in inspection  Updated authorizations
activities maintained? records
c) List of authorized
Inspectors & Authorization
record of each inspector
maintained?
Page (7) of (14)

Comments:
6.1.11 Is the way which personnel
activities are remunerated ☐ ☐ ☐
such that it influences the
results of inspections?
6.1.12 Do all personnel of the
Inspection Body, either
internal or external, that ☐ ☐ ☐
could influence the inspection
activities act impartially?
6.1.13
Is confidentiality ensured
from all personnel
( including sub-contractors,
personnel of external ☐ ☐ ☐
bodies, or individuals
acting on the inspection
body’s behalf)? How?
6.2 Facilities and Equipment ☐ ☐ ☐
6.3 Subcontracting ☐ ☐ ☐
7. Process Requirements
Inspection methods and
7.1 ☐ ☐ ☐
procedures
Handling inspection items
7.2 ☐ ☐ ☐
and samples
Page (8) of (14)

Comments:
7.3 Technical records ☐ ☐ ☐
Inspection Reports and
7.4 ☐ ☐ ☐
Inspection Certificates
7.5 Complaints and Appeals ☐ ☐ ☐
7.6
Complaints and Appeals LMQ IB QP-03 * Request of Feedback Form the company
☐ ☐ ☐
Process which maintaining
7.6.1 Are the handling process * Document method on which shows the LMQ
for complaints and Procedures for Customer complaints that
appeals include at least follows the Clause 7.6.1 to 7.6.5.
the following elements
and methods:

a) a description of the
process for receiving,
validating, investigating
the complaint or appeal,
and deciding what
actions are to be taken in
response to it;

b) tracking and recording
complaints and appeals,
including actions
undertaken to resolve
them;
Page (9) of (14)

Comments:

c) ensuring that any
appropriate action is
taken.
Is the inspection body
receiving the complaint
or appeal responsible for
7.6.2 gathering and verifying
all necessary information
to validate the complaint
or appeal?
Whenever possible, does
the inspection body
acknowledge receipt of
the complaint or appeal,
7.6.3
and does provide the
complainant or appellant
with progress reports and
the outcome?
Is the decision to be
communicated to the
complainant or appellant
made by, or reviewed and
7.6.4
approved by,
individual(s) not involved
in the original inspection
activities in question.
Page (10) of (14)

Comments:
Whenever possible, does
the inspection body give
formal notice of the end
7.6.5 of the complaint and
appeals handling process
to the complainant or
appellant?
8. Management system requirements

8.1 Options ☐ ☐ ☐
Management system
8.2 ☐ ☐ ☐
documentation (Option A)
8.3 Control of documents ☐ ☐ ☐
(Option A) LMQ IB -QP-02
Need Master list of

 Where does the documents which was not
procedure say about seen during the audit.
review, Distribution requested send by email
and issuance
responsibility of Issue date and revision date
manual, qsp, forms? was not available in the
(5.4.1,5.2.1, 5.2.3) procedure (Cl. 8.3.2 c,d)
 Who does the
Approval for
procedures and
Page (11) of (14)

Comments:
forms?
 For the procedure
under review(LMQ-
IB-QP-02) revision
and date of issue was
not Evident as
specified in the same
procedure. Recent
changes made in the
procedure is not
identifiable
 5.1.5 why ‘issue
date’ is not given in
the documents along
with incremented
revision numbers?
 5.1.8 is it required to
distribute the
documents for all
employees or for
concerned employees
only?
Why deputy gen manager
was given the task of
removing obsolete ext
documents? As the org chart
show departments, its
difficult to understand his
involvement in this process.
Page (12) of (14)

Comments:
Control of records (Option A)
8.4 ☐ ☐ ☐
Management review (Option

8.5 ☐ ☐ ☐
A)
8.6 Internal audits (Option A) ☐ ☐ ☐
8.7 Corrective actions (Option A) ☐ ☐ ☐

Did the Inspection Body
establish procedures for
identification and
8.7.1
management of
nonconformities in
its operation?
Does the Inspection Body
also, where necessary, take
8.7.2 actions to eliminate the
causes of nonconformities in
order to prevent recurrence?
Are corrective actions
8.7.3 appropriate to the impact of
the problem encountered?
8.7.4 Do the procedures define
requirements for:
a) Identifying
nonconformities; b)
Page (13) of (14)

Comments:
Determining the causes of
non-conformities;
c) Correcting
nonconformities; d)
Evaluating the need for
actions to ensure that
nonconformities do not
occur; e) Determining and
implementing in a timely
manner the actions needed;
f) Recording the results of
actions taken; and
g) Reviewing the
effectiveness of corrective
actions?
8.8 Preventive actions (Option A) ☐ ☐ ☐
Page (14) of (14)

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Internal Audit Checklist

Part 1: General Information

Audit Reference No.: Room 2

Part 2: Internal Audit Details

2.1 Scope Audited:

 Methods and Procedures Audited and Witnessed

Page (1) of (14)

 Areas Sampled at the Audit

2.2 Internal Audit Findings:

5.1 Administrative requirements ☐ ☐ ☐

Page (2) of (14)

Reporting structure was not

a) Have LMQ defined &

Page (3) of (14)

Page (4) of (14)

2) Criteria for selection

6.1.6 1) Does the documented As per procedure ;Training

6.1.7 Does the training required ☐ ☐

Page (5) of (14)

Page (6) of (14)

b) Is each inspector observed

a) Are records of monitoring/

Page (7) of (14)

Page (8) of (14)

7.5 Complaints and Appeals ☐ ☐ ☐

Page (9) of (14)

Page (10) of (14)

8. Management system requirements

Need Master list of

Page (11) of (14)

Page (12) of (14)

Management review (Option

8.6 Internal audits (Option A) ☐ ☐ ☐

8.7 Corrective actions (Option A) ☐ ☐ ☐

Page (13) of (14)

8.8 Preventive actions (Option A) ☐ ☐ ☐

Page (14) of (14)

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