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TOP-IAUDT: Internal Auditing

REV: 12/14/15

SCOPE: This procedure covers internal auditing of the Trinity Forge quality and environmental systems, as opposed to external auditing which is performed by an independent outside registrar.

Administration of the Internal Audit Program

The Audit Manager is responsible for updating the Internal Quality Audit Schedule at least once each year to project the internal audit schedule out at least twenty-four months, and for administering all internal audits per this schedule. The Audit Manager may call for audits in addition to those scheduled. The Audit Manager is responsible for planning who will be involved in audit assignments for at least three months in the future and for coordinating with the HR Manager to ensure a diverse selection of team members are trained and qualified.

The QA Assistant makes all audit assignments via e-mail, with instructions from the Audit Manager. These e-mail assignments, with replies and forwards, provide the basic record of the internal audit program. Where a minor deficiency is identified in an audit and is immediately resolved by the audited manager, no further formal resolution is required. Where an audit identifies a minor TOP deficiency, the Audit Manager addresses the finding by simply processing a TOP change per TOP-TOPSM (Changes beyond correcting typos and updating obsolete team position titles require approval of the President to be considered "minor"). For other deficiencies, the Audit Manager formally requests corrective action per TOP-CARRR. A record of whatever action is taken is maintained as part of the audit’s e-mail file.

Preparing for Management Review (see TOP-MREVU), the Audit Manager is responsible for ensuring that a full top-down audit is performed and documented as well as preparing an overall report of the results of the internal audit program.

Types Of Internal Audits

Trinity Forge conducts five different types of internal audits, all under the oversight of the Audit Manager:

Audit due dates are tracked in the Calibration Control System.

What To Do If Assigned An Audit

Any team member whose Team Member Training File documents him/her as being qualified may be called on to assist the Audit Manager by acting in the role of Internal Auditor for an internal audit assignment. The Audit Manager provides the assignment that tells what is to be audited (typically a particular TOP, a portion of the top-down audit or a well-defined mini-audit). The team member acting as Internal Auditor has these responsibilities:

  • Verify that he/she has the time to complete the assignment by the due date and that he/she has no conflict of interest in the assignment (no one may audit an activity in which he/she works directly). Must immediately respond back to the Audit Manager if there is a problem.
  • Perform the audit to the best of his/her abilities exactly as assigned. Interestingly enough, it is not okay to try to personally solve a problem identified in the audit as doing so would constitute a conflict of interest.
  • Reply back to the assignment email with a full, clear response by the due date. If a time extension proves necessary, request it prior to the due date.

    For information on a document or record, including definition, primary responsibility and retention, refer to the Document and Record Master List.


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