OM00016 – Internal Audit

Internal Audits Policy

Purpose:

The purpose of this policy is to define the process for undertaking internal audits of the defined OMS. This process will define the responsibilities for planning and conducting audits, reporting the results of audits, and retention of audit records.

Policy:

A2Z Services is committed to assessing compliance with the OMS By doing so we are ensuring that the system itself is effectively implemented and maintained. In order to assess compliance, regular internal audits will be undertaken.

Audit plans identifying criteria, scope, frequency, and methods will be developed and administered by the Quality Manager (or delegate). Audits will be scheduled, organised, performed and recorded in accordance with detailed procedures and work instructions. Suitably competent persons who are not accountable for quality outcomes in the area being audited will perform audits.

All audit findings and results will be maintained and where corrective actions are identified, a report created accordingly, and management responsible for the non-conforming result ensure the necessary correction actions are taken without undue delay. All follow-up actions will be verified and signed off as complete by the Quality Manager (or delegate).

Auditing Requirements

Management is required to:

• Implement an Annual Audit Schedule (OF0018) to determine whether the OMS conforms to the documented policies and procedures;
• Allocate sufficient resources to ensure the OMS is properly effected and maintained;
• Nominate a Quality System Audit Manager to develop and lead the audit process;
• Provide audit findings to the directors
• Conduct all audits in a professional manner.

All employees are required to:

• Participate and assist in internal audits as required;
• Bring it to the attention of their supervisor / manager immediately any issue that may affect a current audit.

The WHS System Audit Manager will:

• Develop an internal audit plan;
• Ensure an internal audit of the WHSMS is undertaken annually (At minimum);
• Select an audit team (ensuring the auditor team has appropriate audit training);
• Appoint an audit team leader (if not themselves);
• Establish and implement an Internal Audit Plan; (considering breadth and depth of audit);
• Communicate the audit schedule to the organisation;
• Select an audit team.

Audit Process

The Quality System Audit Manager will:

• Ensure an internal audit of the QMS is undertaken annually (At minimum);
• Select an audit team (ensuring the auditor team has appropriate audit training);
• Appoint an audit team leader (if not themselves);
• Establish and implement an Internal Audit Plan; (OF0019) considering breadth and depth of audit);
• Communicate the audit schedule to the organisation;
• Select an audit team.

Audit Team Selection

One or more auditors may comprise an audit team:

• If the team is made up of more than one auditor, a Lead Auditor will be nominated;
• The Lead Auditor will be responsible for coordinating the audit process, and preparation of the final audit report;
• The Lead Auditor will ensure that the team understands the scope of the audit;
• The Lead Auditor will ensure that relevant organisational QMS policies, procedures and other documents are made available before the audit commences (ensuring a reasonable notification time for audited departments prior to the audit).

Audit Plan

The Lead Auditor is responsible for ensuring the preparation of a written audit plan (See Internal Audit Checklist. (OF0017)

The audit plan will consider:

• Relevant system documents and records;
• Internal audit criteria and components of the OMS

Conducting the Audit:

1. A pre-audit meeting is held with appropriate personnel to confer on the scope, plan and timing for the audit;
2. The Lead Auditor may modify the audit scope and plan if necessary;
3. All audit findings must be documented;
4. Corrective actions from previous audits must be considered and documented;
5. A post-audit meeting will be held to present preliminary audit findings, clarify any misinterpretations, and summarise the audit outcomes.

Reporting Audit outcomes:

1. The Team Leader will prepare an audit report;
2. The audit report will state the scope of the audit, identify the audit team, define the evidence used, and summarise the results of the audit;
3. Audit findings indicating that corrective actions are required must be entered into the Corrective / Preventative Action Register
4. The Quality System Audit Manager is responsible for distributing the audit results to directors

The Audit Manager is responsible to ensure audit reports are tabled for review at next Management Review (see next section).

Audit Follow-up:

• Non-conformances identified as a result of the audit will be listed in the Non-conformance Form and the Corrective / Preventative Action Register (OR0004)
• The Quality System Audit Manager will be responsible for the completion and effectiveness of corrective actions.

Record keeping:

• All Internal Audit Reports (OF0019) will be retained for at least two years from the date of the Audit;
• The Quality System Audit manager is responsible for assigning audit records to the Quality System Manager for storage (including any records relating to the training of auditors).

Note: Should any evidence collected during the internal audit suggest an extreme risk exists, this information must be communicated directly to WHSMS Manager/CEO immediately. Work tasks involving the identified extreme risk must stop and implement effective control measures

Forms and Registers

Document Number	Document Name
OF0017	Internal Audit Checklist
OF0018	Annual Audit Schedule
OF0019	Internal Audit Report
OR0004	Corrective and Preventative action Register
OF0007	Non Conformance Form

Amendment Record

Issue#: 1 Issue Date: 13/7/2022

Rev#	Date	Section#	Para.#	Description of Change	Prepared By	Approved By
1
2
3

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Disclaimer: This documentcontains material to assist in meeting environmental management, Work Health and Safety and Quality obligations under the International Standard ISO AS/NZS ISO 9001:2016,14001:2016 and other legislative bodies. This document contains material sourced from Safe Work Australia. Any such material remains subject to copyright © Commonwealth of Australia. https://www.safeworkaustralia.gov.au/copyright. Although every effort has been made to ensure the accuracy of this information at the time of publication, it is provided as guidance only and does not provide legal advice on meeting your obligations. This document and its contents are © A2Z services 2018 and or the originating source authors and no permission is given for its duplication or copying, in part or in its entirety, for use outside its original purposes as stated within the company.