Internalaudit

Internal Audit

When to Activate This Skill

• "Plan internal audit programme"
• "Create audit checklist for [process/area]"
• "Conduct process/product/QMS audit"
• "Document audit findings"
• "Write nonconformance report"
• "Plan layered process audit (LPA)"
• "Prepare for IATF 16949 certification audit"

IATF 16949 Audit Requirements

Clause 9.2.2.1 - Internal Audit Programme

The organization shall:

• Maintain documented internal audit programme
• Cover all QMS processes over audit cycle (typically 3 years)
• Include customer-specific requirements (CSRs)
• Consider process risk and previous audit results
• Define audit criteria, scope, frequency, methods

Types of Internal Audits

IATF 16949 requires three types of internal audit (clauses 9.2.2.2–9.2.2.4):

Audit Type	Focus	Frequency	Reference
QMS Audit	Management system conformance to IATF 16949/ISO 9001	Annual minimum per clause	9.2.2.2
Process Audit	Manufacturing process effectiveness (process approach)	Based on risk, min annual	9.2.2.3
Product Audit	Product conformance at production/delivery stages	Per control plan, min annual	9.2.2.4

Note: Layered Process Audits (LPA) are not a standalone IATF 16949 requirement. They are a customer-specific requirement (CSR) from certain OEMs (e.g., GM, Ford, Stellantis). They must be implemented when required by customer CSRs but are separate from the three IATF-mandated audit types above.

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QMS Audit (9.2.2.2)

Purpose

Verify conformance to IATF 16949/ISO 9001 requirements and organization's QMS.

Scope

All clauses of IATF 16949 over the audit cycle:

• Context of organization (4)
• Leadership (5)
• Planning (6)
• Support (7)
• Operation (8)
• Performance evaluation (9)
• Improvement (10)

Approach

• Clause-based checklist
• Interview management and staff
• Review documented information
• Verify implementation and effectiveness

Output

• Completed checklist
• Finding report (NCRs, OFIs)
• Audit report

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Process Audit (9.2.2.3)

Purpose

Evaluate effectiveness of manufacturing processes using process approach.

Scope

Each manufacturing process including:

• Inputs and outputs
• Process controls
• Operator competence
• Equipment capability
• Work instructions compliance

Approach - Turtle Diagram Method

         INPUTS                    OUTPUTS
            ↓                         ↑
    Materials, specs           Products, data
            ↓                         ↑
       ┌─────────────────────────────┐
       │                             │
WITH → │      PROCESS BEING          │ → METRICS
WHAT?  │        AUDITED              │   KPIs met?
       │                             │
       └─────────────────────────────┘
            ↑                         ↑
      WHO?                        HOW?
    Competent?                  Per procedure?

Key Questions

• Are inputs conforming?
• Are process parameters controlled?
• Are operators competent and trained?
• Is equipment maintained and capable?
• Are work instructions followed?
• Are outputs conforming?
• Are KPIs being met?

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Product Audit (9.2.2.4)

Purpose

Verify product conformance at appropriate stages of production and delivery.

Scope

• Dimensional verification vs. drawing
• Functional testing vs. specification
• Appearance vs. standards
• Packaging and labeling
• Documentation/traceability

Approach

• Select sample per Control Plan
• Measure against all drawing requirements
• Verify special characteristics
• Check packaging and identification
• Document all measurements

Frequency

• At defined stages (per Control Plan)
• All special characteristics covered annually
• After process changes

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Layered Process Audit (LPA)

Purpose

Standardized process verification at multiple organizational levels.

Structure

Level	Auditor	Frequency	Scope
Level 1	Team Leader	Daily	Key process steps
Level 2	Supervisor	Weekly	Process area
Level 3	Manager	Monthly	Department
Level 4	Plant Manager	Monthly	Multiple areas

Key Characteristics

• Same checklist at all levels
• Focus on standardized work
• Quick (10-15 minutes)
• Immediate corrective action
• Trend tracking

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Audit Planning

Annual Audit Schedule

Consider:

• All QMS processes over cycle (max 3 years)
• All manufacturing processes annually
• Risk-based frequency (high risk = more frequent)
• Previous audit results
• Customer complaints
• Internal quality performance
• Changes to processes

Audit Plan Elements

Element	Description
Audit number	Unique identifier
Date	Scheduled date
Scope	What will be audited
Criteria	Requirements to audit against
Auditor(s)	Qualified auditor assignment
Auditee	Process owner/department
Duration	Expected time

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Auditor Qualification

Requirements (per 9.2.2.2)

• Understanding of automotive process approach
• Customer-specific requirements knowledge
• ISO 19011 audit principles
• Core tools knowledge (FMEA, SPC, MSA)
• IATF 16949 requirements knowledge

Independence

• Auditors shall not audit their own work
• Cross-functional audit teams encouraged
• External auditor for sensitive areas

Training Path

1. Internal training on QMS and IATF 16949
2. Core tools training
3. Audit technique training
4. Shadow audits (observe experienced auditor)
5. Supervised audits
6. Independent auditor status

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Conducting the Audit

Opening Meeting

• Confirm scope and schedule
• Explain audit method
• Confirm resources and access
• Answer questions

Evidence Collection

• Interview personnel
• Review documents and records
• Observe processes
• Take notes with objective evidence

Audit Techniques

• Open-ended questions (How? What? Why?)
• Request evidence for claims
• Follow the trail (traceability)
• Verify vs. specification
• Compare to procedure

Closing Meeting

• Present findings
• Confirm accuracy with auditee
• Agree on corrective action timelines
• Thank participants

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Finding Classification

Major Nonconformance

Definition: Absence or complete breakdown of system to meet requirement, or situation likely to result in shipping nonconforming product.

Examples:

• No documented procedure when required
• Consistent failure to follow procedure
• Pattern of nonconforming product
• Missing required records

Action: Requires root cause analysis, corrective action, and verification before certification.

Minor Nonconformance

Definition: Single lapse in meeting a requirement; does not affect product quality or system integrity.

Examples:

• Isolated instance of missing signature
• Minor record-keeping gap
• Single deviation from procedure
• Incomplete training record

Action: Requires correction, may require root cause and corrective action.

Opportunity for Improvement (OFI)

Definition: Not a nonconformance, but improvement recommendation.

Examples:

• Better organization possible
• More efficient method available
• Good practice from other areas
• Proactive enhancement

Action: Optional implementation, tracked for consideration.

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Corrective Action Process

Timeline Requirements

Finding	Initial Response	Corrective Action	Verification
Major	24-48 hours	30 days max	Within 90 days
Minor	5 business days	60 days max	Within 90 days
OFI	30 days	As appropriate	As appropriate

Corrective Action Elements

1. Containment: Immediate action to contain impact
2. Root Cause: Analysis to determine true cause (5-Why, Fishbone)
3. Corrective Action: Action to eliminate root cause
4. Implementation: Execute corrective action
5. Verification: Confirm effectiveness
6. Prevent Recurrence: Systemic changes

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Output Format

Audit Report Structure

# Internal Audit Report

## Audit Information
| Field | Value |
|-------|-------|
| Audit Number | IA-[YYYY]-[SEQ] |
| Type | QMS / Process / Product |
| Date | [YYYY-MM-DD] |
| Auditor(s) | [Names] |
| Auditee | [Name/Department] |
| Scope | [Description] |

## Executive Summary
[Brief summary of audit results]

## Findings Summary
| Major NC | Minor NC | OFI | Positive Findings |
|----------|----------|-----|-------------------|
| [count] | [count] | [count] | [count] |

## Detailed Findings

### Finding 1: [Title]
**Classification:** Major / Minor / OFI
**Requirement:** [Reference]
**Evidence:** [Objective evidence]
**Finding:** [Description]
**Response Due:** [Date]

[Repeat for each finding]

## Positive Observations
[Good practices observed]

## Conclusions
[Overall assessment]

## Approvals
| Role | Name | Signature | Date |
|------|------|-----------|------|
| Lead Auditor | | | |
| Quality Manager | | | |

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Examples

Plan an audit programme:

"I need to create our annual internal audit schedule for IATF 16949 — what processes should I prioritise and how do I structure the programme?" → Generates risk-based audit schedule covering all QMS processes over the 3-year cycle with frequency guidance.

Create a process audit checklist:

"Create a turtle diagram-based process audit checklist for our CNC machining area" → Produces structured checklist with inputs, outputs, who, what, how, and KPI sections tailored to CNC machining.

Document an audit finding:

"I found that 3 operators have no training records for the revised work instruction WI-MS-023 — write up the nonconformance" → Generates a properly structured NCR with requirement reference, objective evidence, classification (Major/Minor), and corrective action timeline.

Set up an LPA programme:

"We have a Ford CSR requiring layered process audits — help me set up our LPA programme with 4 layers" → Creates LPA structure, sample checklist items, frequency matrix, and metrics tracking approach.

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Workflow Routing

User Intent	Audit Type	Key Outputs
"Audit the QMS / system audit"	QMS Audit (9.2.2.2)	Clause-based checklist, audit report
"Audit the machining/welding/assembly process"	Process Audit (9.2.2.3)	Turtle diagram checklist, process findings
"Check product conformance / product audit"	Product Audit (9.2.2.4)	Dimensional/functional checklist, sampling plan
"Daily/layered process audit / LPA"	Layered Process Audit (CSR)	LPA checklist, tier structure, trend metrics
"Plan audit schedule / audit programme"	Audit Planning	Annual schedule, coverage matrix, risk ranking
"Write up a finding / NCR"	Finding Documentation	NCR with evidence, classification, timeline
"Prepare for certification / IATF audit"	Cert Preparation	6/3/1 month checklists, common findings list

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Integration with Related Skills

AutomotiveManufacturing

Process audits verify work instruction compliance:

• Are documented procedures being followed?
• Are quality checkpoints being executed?
• Are records being maintained?

Load: read ~/.claude/skills/Automotivemanufacturing/SKILL.md

A3criticalthinking

For audit finding root cause analysis:

• Use 5-Why methodology
• Fishbone diagram for complex issues
• A3 format for corrective action plans

Load: read ~/.claude/skills/A3criticalthinking/SKILL.md

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Supplementary Resources

For detailed guidance: read ~/.claude/skills/Internalaudit/CLAUDE.md

For checklists: ls ~/.claude/skills/Internalaudit/templates/

For IATF clause questions: read ~/.claude/skills/Internalaudit/reference/iatf-clause-questions.md