SOP: Internal Audit

1.0 GENERAL
 

Scope:

• Compliance to clause  4.5.5 of OHSAS18001: Internal Audit
• Applied to all activity and operational running at <name of organization>

2.0 DEFINITION 

• Audit: systematic, independent and documented process for obtaining “audit evidence” and evaluating it objectively to determine the extent to which “audit criteria” are fulfilled (OHSAS 18001:2007 Clause 3.2)
• NC: Nonconformity raised reflected by lapse in the implementation of OHSAS 18001, applicable legal and/or company established procedures.
• OFI: Opportunity for improvement. Conformance has been displayed but may potential to be incompliance if control measure not taken.

3.0 RESPONSIBILITY AND AUTHORITY

Lead Auditor:

• Responsibility:
• Lead the audit team.
• Chairperson of audit session
• Accountability:
• To ensure audit execution will be carried out as per planned.
• To ensure internal audit objectives are met
• Authority:
• Decision maker of audit findings determination.
• Approve the closure of NCR. 

Auditor:

• Responsibility:
• Carry-out audit as per agenda.
• Accountability:
• Provide evidence of process conformance.
• Authority:
• To issue NCR Report.
• To close NCR Report once received countermeasure from respective department.

Auditee

• Responsibility:
• Provide objective evidence of conformity on their process.
• Accountability:
• To ensure the objectives of internal audit are met.
• Authority:
• NIL

4.0 CONTROL PROCEDURE 

• Selection of auditors
• <OHSMR> shall nominate Auditors to conduct internal audit.
• Auditor should be selected with fulfill either one of the following criteria;
• an internal auditor, who had attended audit training and having a basic knowledge of OHSAS 18001 standard requirement and relevant legal such as OSHA 1994 and FMA 1967. Lead auditor will be selected based from seniority. or,
• Third party appointed and recognized by the Top Management with proven of competency qualification. He/she will act as a Lead Auditor.
• Where necessary, training will be arranged for internal auditor to assure their competency. The process shall follow as per  SOP: Competence, training and awareness
• Pre-Audit
• Lead auditor will prepare the Audit Plan.
• The Audit Plan should define the audit criteria, scope and process need to be audited.
• Lead Auditor has to ensure the selection of auditors is meeting the objectivity and impartiality of the audit process.
• Lead auditor will organize the auditors which not audit their own work.
• Audit Plan will be distribute to the auditor prior assessment conducted.
• During Audit
• Auditor will conduct the audit as per Audit Plan
• Audit tools need to be used;
• Audit Checklist.
• OHSAS 18001 Standard Requirement (where necessary)
• Audit method:
• Based from records
• cross reference with the procedure and work instruction
• Observation of process
• Interview to the process owner
• All findings should be recorded down to the Audit Checklist.
• Classification of findings
• Comply and fulfill with the OHSAS 18001 Requirement, applicable legal and company procedures (OK)
• Observation or OFI
• NC: Non-compliance with the OHSAS 18001 standard, legal requirement and company procedures.
• Next to do for the findings;
• All OFI should be listed in the Audit Summary for Lead Auditor further action
• Any NC, Auditor should follow action determined in the SOP: Nonconformity, corrective action and preventive action and submit to Lead Auditor
• Post Audit
• Lead Auditor compile the OFI and keep as an input for management review.
• <CPAR> form will issue to the respective parties and should follow as SOP: Nonconformity, corrective action and preventive action.
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5.0 CROSSED REFERRENCE SECTION

• SOP: Nonconformity, corrective action and preventive action
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6.0 RECORDS

• CPAR
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