Internal Audit Program Process Review

Official Service Provider QACD Liaison

Planning Phase

Step 1. Select your

Internal Audit Team

Assign audit

lead and

unbiased team

members for

criterion

review

Ensure all

assigned team

members

receive the

required

training

Step 2. Design and

Plan your Audit

Select a

representative

sample of the

USGSA and/or

AMA regulations

and instructions

Both designated

and delegated?

Have multiple

locations?

Both must be

included in the

internal audit

Each location

must be

reviewed for

the associated

requirements

that are

included in

their operation

Build your own

checklist(s) or use

the QACD

recommended

checklist(s)

Step 3. Schedule the

audit (full cycle audit

must be completed

by the halfway point

of the designation

period).

Get

management’s

approval of

proposed

schedule

Notify internal offices

of proposed schedule.

Step 4. Supporting

Materials

Gather necessary

materials to confirm

compliance with

requirements

Review and approve

checklist(s).

Recommend use of

QACD provided

checklist.

For routine tasks, pull supporting

materials from the date of the

last internal audit to the date of

the current internal audit

Issue requests for

materials with a deadline

that will allow your team

ample time to review and

prepare for onsite audit

Assign auditors to

each audit criteria

Review

supporting

materials

and build

list of

questions

based on

review

Step 5. Plan Onsite

Review for all

Associated Locations

Ensure audit team has

training on all safety

risks and personnel

have required PPE

Ensure all checklists,

requirements documents, and/or

other supporting materials are

accessible during the audit

To Audit Phase

Use different

approach?

Receive approval of

proposed

methodology

Review Non‐

Compliance (NC)

findings from

prior audit

Yes

Yes

Share

checklist(s)

with QACD

compliance

office

Execute

approved

methodology

Yes

No

Use QACD’s

recommended

checklist(s)?

No

Yes
       

   

     

     

     

   

   

       

   

   

   

       

   

     

       

   

     

       

   

     

   

Internal Audit Process Review (cont.) Audit Phase

Official Service Provider QACD Liaison

Step 6. Conduct

Audit

Record which areas

were reviewed, and

which timespan

supporting

documents were

reviewed

Include the

documents or

supporting material For each area, record that was used to finding classifications determine the

finding outcome in

your records

Write up findings to

include the

appropriate level of

detail to help team

determine root

cause during the

post‐audit phase

To Post‐Audit Phase
       

   

   

   

     

   

       

     

         

        

     

   

     

     

       

       

     

   

     

   

     

     

     

       

       

       

   

       

       

       

     

         

           

     

     

   

   

   

   

   

   

     

     

     

        

   

     

   

     

       

       

         

   

     

     

     

     

Internal Audit Process Review (cont.)

Official Service Provider QACD Liaison

Post‐Audit Phase

Work with

leadership to

confirm

consensus of root

cause analysis

Document Corrective

Action Plan (CAP) to

identify actions designed

to correct and prevent the

NC from happening again.

Add preventive actions

when applicable.

Ensure audit team,

leadership, and people

who will be responsible

for implementing

correct action agree on

root cause and

associated corrective

actions

Send CAP to

QACD liaison

Review and approve

‐ If questions or

concerns, QACD will

work with OSP to

assist

Follow up to ensure

all CAPs are fully

implemented and

the NC no longer

exists

Conduct (RCA) for each

NC to document and

determine how to

correct the NC and how

to prevent the NC or a

similar issue from

happening again

Step 8. Address

Corrective and

Preventive Actions

Step 9.

Implementation and

Control

Step 10. Closure

Document and

provide supporting

materials of proof

of action that

finding has been

closed to the QACD

liaison

Review and approve

Was there any

repeat findings

from the previous

audit?

Retain all audit records

(checklists, audit results, RCA,

CAP, etc.) in compliance with

record retention requirements

Step 7. Conduct

Root Cause Analysis

(RCA)

,

Yes Notify QACD

No

File Non‐Compliance

(NCs) to discuss

during next audit

cycle