Professional Documents
Culture Documents
Authorization
Code:
UoE/QMS/MP/003
Title:
Area:
CORPORATE
Version No.:
01
Revision No. :
00
Created by:
MANAGEMENT REPRESENTATIVE
Approved by:
VICE-CHANCELLOR
Date of version:
Signature:
Distribution list
Copy
Distributed to
No.
UoE/QMS/MP/003
Date
Signature
Returned
Date
Signature
Page 1 of 20
University of Eldoret
Change history
Date
Version
UoE/QMS/MP/003
Created by
Description of change
Page 2 of 20
University of Eldoret
UNIVERSITY OF ELDORET
REFERENCES
ISO 9001:2008 Quality Management Systems Requirements
UoE Quality Manual
Procedure for Corrective and Preventive Action
4.0
4.1
ABBREVIATIONS/ DEFINITIONS
Audit -Systematic, independent and documented process for obtaining audit
evidence and evaluating it objectively to determine the extent to which the audit
criteria is fulfilled
4.2 Internal Quality Audit- Audits conducted by UoE using internal QMS auditors who
are University Staff
4.3 Audit Schedule Information that forms the basis for conducting the audits it gives
the dates for audit
4.4 Audit Plan Information directing the conduct of the individual audits within
the
schedule.
4.5 Audit Finding result of the audit
4.6 Nonconformity failure to fulfill a requirement
4.7 Observation result of a finding that does not necessarily constitute a nonconformity
4.8 Audit report Documentation that provides details of an individual audit exercise
4.9 CAR Corrective Action Request
4.10 Auditee a unit of the university that is to be audited
5.0
5.1
RESPONSIBILITIES
The MR shall be responsible for the effective implementation of this procedure by
appointing an audit team to audit processes and forward audit results for discussion
to the Management Review Committee.
UoE/QMS/MP/003
Page 3 of 20
University of Eldoret
5.2
A Lead Auditor appointed by the QMR shall be responsible for leading the audit team
and reporting of the findings of the audit to the appointing authority.
6.0 METHOD
6.1 Internal Audit Planning
6.1.1 The MR approves an Annual program for internal audits, considering the status
and importance of the process and/or area (part of the organization) that is
audited, as well as results of previous audits.
6.1.2 One internal audit shall be conducted in the course of one year, ensuring
cumulative coverage of the entire QMS scope. Internal audits shall conducted
before management review.
6.1.3 Additional internal audits may be conducted in the case of:
significant reclamation from client (decision about whether the reclamation
is significant and requires additional audit is made by VC/MR)
significant non-conformity in process or repetition of the same nonconformity (decision about whether the conformity is significant and
requires additional audit is made by VC/MR)
significant change in system (decision about whether the change in system is
significant and demands additional audit is made by VC/MR)
6.1.4 The MR shall prepare an audit Plan that shall be communicated to the relevant
process owners or auditees prior to the auditing exercise.
6.1.5 The audit plan shall indicate the area to be audited the week of the audit and the
names of the auditors. A trained Lead Auditor(s) shall be appointed by the MR to
carry out the audits. Qualification for the auditor(s) shall be by certification from
credible institutions.
6.1.6 The auditor(s) shall be independent of the area being audited, but may at times
be accompanied by a representative of the audited process area as part of the
audit team.
6.1.7 The MR shall send a notification to all auditors indicating the audit number. The
same shall be communicated to Head of department or Dean of school who shall
make the necessary arrangements and communicate appropriately.
6.1.8 The Lead Auditor shall prepare an audit program for the area(s) to be audited,
and this shall be augmented by audit check lists and other forms and working
papers. The auditor shall obtain a copy of auditees documents for the area to be
audited from the MR before the audit.
6.1.9 The Director QA is responsible for coordinating planning the internal audit,
reporting about results of internal audits and maintaining records on behalf of
MR.
6.2 Appointing internal auditors
6.2.1 The MR shall appoint internal auditors and a leader of the auditor team (if there
are more internal auditors). The leader of the audit team shall be a trained Lead
Auditor from a recognized institution.
UoE/QMS/MP/003
Page 4 of 20
University of Eldoret
6.2.2 An internal auditor shall be someone from the UoE or a person outside the
organization. Criteria for appointing internal auditors shall be:
Document audit
UoE/QMS/MP/003
Page 5 of 20
University of Eldoret
Record name
Code
Retention
time
UoE/QMS/MP/003/1 2 years
UoE/QMS/MP/003/2 2 years
UoE/QMS/MP/003/3 2 years
Responsibility
Location
Office of
Director QA
Office of
Director QA
Office of
Director QA
MR
MR
MR
Only MR can grant other employees the right to access the Annual Internal Audit Program,
the Internal Audit Report and the Internal Audit Checklist.
7.0 APPENDICES
Internal Audit Checklist
Internal Audit Program
Internal Audit Report
UoE/QMS/MP/003
Page 6 of 20
University of Eldoret
4.2.1
4.2.2
4.2.3-01
4.2.3-02
4.2.3-03
4.2.4
5.1-01
5.1.-02
5.2
5.3
Compliant
Yes/No
Evidence
UoE/QMS/MP/003
Page 7 of 20
University of Eldoret
5.4.1
5.4.2-01
5.4.2-02
5.5.1
5.5.2
5.5.3
5.6.1
5.6.2
UoE/QMS/MP/003
Page 8 of 20
University of Eldoret
5.6.3
6.1
6.2.1
6.2.2-01
6.2.2-02
6.3
6.4
7.1-01
7.1-02
7.1-03
UoE/QMS/MP/003
Page 9 of 20
University of Eldoret
7.1-04
7.2.1
7.2.2-01
7.2.2-02
7.2.2-03
7.2.3
7.3.1-01
7.3.1-02
UoE/QMS/MP/003
Page 10 of 20
University of Eldoret
7.3.1-03
7.3.2-01
7.3.2-02
7.3.3-01
7.3.3-02
7.3.4-01
7.3.4-02
7.3.5
UoE/QMS/MP/003
Page 11 of 20
University of Eldoret
7.3.6-01
7.3.6-02
7.3.7-01
7.3.7-02
7.4.1
7.4.2
7.4.3-01
7.4.3-02
7.5.1-01
UoE/QMS/MP/003
Page 12 of 20
University of Eldoret
7.5.1-02
7.5.2-01
7.5.2-02
7.5.2-03
7.5.2-04
7.5.2-05
7.5.3-01
7.5.3-02
7.5.3-03
7.5.4-01
7.5.4-02
7.5.5
UoE/QMS/MP/003
Page 13 of 20
University of Eldoret
7.6-01
7.6-02
7.6-03
7.6-04
7.6-05
7.6-06
7.6-07
7.6-08
7.6-09
8.1-01
UoE/QMS/MP/003
Page 14 of 20
University of Eldoret
8.1-02
8.2.1-01
8.2.1-02
8.2.2-01
8.2.2-02
8.2.2-03
8.2.2-04
8.2.2-05
8.2.2-06
8.2.2-07
8.2.2-08
UoE/QMS/MP/003
Page 15 of 20
University of Eldoret
8.2.3-01
8.2.3-02
8.2.4-01
8.2.4-02
8.2.4-03
8.2.4-04
8.3-01
8.3-02
8.3-03
8.3-04
8.3-05
8.3-06
verification results?
Does the organization apply suitable methods
for monitoring and, where applicable,
measurement of the quality management
system processes?
Do methods of monitoring and measurement
demonstrate the ability of the processes to
achieve planned results?
Does the organization monitor and measure
the characteristics of the product to verify
that product requirements have been met?
Does the organization maintain evidence of
conformity with the acceptance criteria?
Do records indicate the person(s) authorizing
release of product for delivery to the
customer?
Is the release of product and service to the
customer prevented until the planned
arrangements have been satisfactorily
completed unless otherwise approved by a
relevant authority and, where applicable, by
the customer?
Does the organization ensure that product
that does not conform to product
requirements is identified and controlled to
prevent its unintended use or delivery?
Does the organization establish a
documented procedure to define the controls
and related responsibilities and authorities
for dealing with non-conforming product?
Does the organization, where applicable, deal
with non-conforming product by taking action
to eliminate the detected nonconformity?
Does the organization, where applicable, deal
with non-conforming product by authorizing
its use, release or acceptance under
concession by a relevant authority and, where
applicable, by the customer?
Does the organization, where applicable, deal
with non-conforming product by taking action
to preclude its original intended use or
application?
Does the organization, where applicable,
deal with non-conforming product by taking
action appropriate to the effects, or potential
effects, of the nonconformity when non-
UoE/QMS/MP/003
Page 16 of 20
University of Eldoret
8.3-07
8.3-08
8.4-01
8.4-02
8.5.1
8.5.2-01
8.5.2-02
8.5.2-03
8.5.2-04
8.5.2-05
8.5.2-06
8.5.2-07
UoE/QMS/MP/003
Page 17 of 20
University of Eldoret
8.5.2-08
8.5.3-01
8.5.3-02
8.5.3-03
8.5.3-04
8.5.3-05
8.5.3-06
8.5.3-07
UoE/QMS/MP/003
Page 18 of 20
UoE
Month
Organization unit/process
Jul
Aug
Sep
Oct
Nov
Dec
Jan
Feb
Mar
Apr
May
Jun
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Legend:
- Planned Audit
- Realized Audit
- Postponed Audit
_________________________
[signature]
[name]
[job title]
UoE/QMS/MP/003
Page 19 of 20
UoE
Date of audit:
Audit Summary:
General observations:
Non-conformities:
_________________________
[signature]
[name]
[job title]
UoE/QMS/MP/003
Page 20 of 20