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Internal Process Audit
- 1. Internal Process Audit Internal Process Audit Dr Kalpesh Parikh, Director
- 2. Internal Process Audit What is Management System? “Set of interrelated or interacting elements to establish policy and objectives and to achieve those objectives” H/W S/W Humanware MS IT Solution Infrastructure System
- 3. Internal Process Audit What is Standard ? A Written document detailing minimum features, specifications and requirement of product. These are required to (a) Prescribe the minimum requirements for Quality (b) Ensure safety of operations both for workmen and users (c ) Promote interchangeability of the product. (d) Achieve variation reduction
- 4. Internal Process Audit Effectiveness “producing or capable of producing desired effect” “extent to which planned activities are realized and planned results are achieved” Efficiency “Acting or Producing effectively with a minimum of waste, expense, or unnecessary effort” “Exhibiting high ratio of output to input” “relationship between the result achieved and the resources used” Effectiveness and Efficiency
- 5. Internal Process Audit •Creating Customer Value •Understanding Core Competence (profound knowledge of business) •Involvement of People •Total optimization of system •Process Approach •Factual Approach •Organization and Personal Learning (Knowledge) •Agility (To react Change) Management System Principles •Focus on Social Value •Visionary Leadership •Involvement of People •Collaboration with partners •Autonomy (Empowerment)
- 6. Internal Process Audit Management Commitment Planning of Product Realization Customer Focus Identify Customer Requirements Quality Policy Review Product Requirements Quality Objective Customer Communication Quality Planning Design/Development Planning Responsibility & Authority Purchasing Management Representative Product/Service Realization operations Internal Communication Customer Satisfaction/Dissatisfaction Quality Manual Internal Quality Audit Documents & Records Control Measure Process Conformance Management review Measure Product Conformance Providing Resources Control of Non-Conformity Assigning Skilled Personnel Analysis of Data Facilities Plan for continual Improvement Work Environment Corrective and Preventive Action Elements of QMS
- 7. Internal Process Audit PLAN: ESTABLISH THE OBJECTIVES AND PROCESSES NECESSARY T O DELIVER RESULTS IN ACCORDANCE WITH CUSTOMER REQUIREMENTS AND THEORGANIZATION’S POLICIES. DO: IMPLEMENTS THE PROCESSES. CHECK: MONITOR AND MEASURE PROCESSES AND PRODUCAT AGAINST POLICIES, OBJECTIVES AND REQUIREMENTS FOR THE PRODUCT AND REPORT THE RESULTS. ACT: TAKE ACTIONS TO CONTINUALLY IMPROVE PROCESS PERFORMANCE. Plan-Do-Check-Act (PDCA) Methodology
- 8. Internal Process Audit Quality and Information Security PDCA Interested Parties Q/S requirem ents & expectati ons Establish MS Monitor and review MS Maintain & Improve MSImplement & Operate MS Development, Maint. and Improvement Cycle Plan Do Check Act Interested Parties Managed Q/S
- 9. Internal Process Audit Management System Policy & Objective. Organisation Structure. Responsibility and Authority Matrix. Management Review. Reference to Procedures Level 2 – Procedure / Department Manual (Tactical) Refers to number of activities of each department. Inerface between departments (What to Do) Level 3 – Work Instruction (Operational) Detailed step by step activities taken up for each operation (How to do) Records are proof of activities carried out. It is used to analyze how good they are performed. Format helps to record the data in systematic and comprehensive manner. Level 4 – Record , Formats and Reports Level 1 - Apex Manual (Startegic)
- 10. Internal Process Audit AUDIT-Definition “systematic, independent and documented process of obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled” ISO 9000:2000
- 11. Internal Process Audit AUDIT-Purpose • To determine the conformity • to determine activity/results are as per plan • To determine the effectiveness • To provide opportunity to improve • To meet statutory regulatory requirements • For certification
- 12. Internal Process Audit AUDIT-Benefit • Give Confidence to Management • Give Confidence to Customer • Observe Operational Problems • Provide opportunity for Improvement • Provide feedback for CA/PA (Corrective Action /Preventive Action)
- 13. Internal Process Audit AUDIT-Who and Frequency Audit is done to find conformance to what you write and what you are doing is same or not. How Often : 2 Times a year : can be separate for different departments Who Should Do IA : Person can’t audit his own department : Needs IA Training SUGGESTED FORMAT
- 14. Internal Process Audit AUDIT-Types First Party Audit Internal Quality Audit done by staff members of company. Second Party Audit Company audits its supplier Third Party Audit Certifying body conducts audit Initial Audit By Certifying Body which leads to ISO certification Surveillance Audit By certifying body every six month after certificate is issued.
- 15. Internal Process Audit • ISO 9000 Standards • Quality Manual • Department Manual / Procedure • Earlier Audit notes/ Checklists • NCRs of last Audits • MRM Minutes Outcome : Questions / Points of the Audit i.e Audit Checklist AUDIT-Preparation SUGGESTED FORMAT
- 16. Internal Process Audit • Gathering the information • Document Review • Sample Records • Observations • Interview • Opening Meeting and Closing Meeting • Link to Apex/ Dept Apex, Operational Manual • Auditor’s word is final in case of observed facts • Write full details of observations • Write Suggestion to Improve the system more effective & Efficient (Value Addition) AUDIT-Perform
- 17. Internal Process Audit Major/Minor NC (Non Conformity) • Left out part of ISO 9000 requirements • Non Compliance with Legal/Statutory requirements • Safety Violation • Intention to Deceive customer • Discuss each NCR (Non Conformity Report) • Use only one Clause which is best fitted • Each NCR should have only one non conformity AUDIT-NCR (Non Conformity Report)
- 18. Internal Process Audit • Audit Report with observations (use Standard Format) • Write NCRs (use Standard Format) • Give it to Respective Dept Head and MR (management Representative) • Closing of NCRs after verification of the reply/action. AUDIT-Post Audit Activities
- 19. Internal Process Audit Time Allocation (1) Preparation 35% to 40% (2) Conducting 40% to 50% (3) Reporting 10% to 15% (4) Follow-up 5% to 10% AUDIT-Best Practices “5 S Method” 1. Seiri – “Sort, Systematize or Simplify” 2. Seiton – “Straighten, Standardize” 3. Seiso – “Shine” 4. Seiketsu – “Sanitize” 5. Shitsuke – “Sustain” Ps: “A fool with a tool is still a fool” Full Proof System Vs Fool Proof System
- 20. Internal Process Audit AUDIT-How to Face •Process Audit and not Person’s Capability Evaluation •No Need to Justify the Process (unless it is asked for) • Compliance to the process is sought by Auditor • Confidence and Ownership (No Fault Findings) • Records, Precise Info and Basics of What You Perform • Do not give anything more (something not asked for) • Always take help of Superior, Subordinate and colleagues Communication Protocols •Light & Polite to be elite •No Fight to offer Delight •Absorb all your insecurity and irritations •Harmonization •Confidence Level
- 21. Internal Process Audit SHANTIKRUPA ESTATES PVT LTD Icons Who Trusted us Hashmukh Shah Group Government Agencies UGC-AICTE-INFLIBNET-AMC Government Corporations GSFC-GIIC-GAIC-GIDC GHB Gujarat Housing Board
- 22. Internal Process Audit Think Techknowlogically MSWH-new Generation ERP Technology KnowledgeLogic ownership SolutionTechnique Techknowlogical Quality Seekers are Too BUSY to be SAD Too POSITIVE to be DOUBTFUL Too OPTIMISTIC to be FEARFUL Too DETERMINED to be DEFEATED