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TOP-IAUDT: Internal Auditing
REV:10/26/07

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 it is immediately resolved by the audited manager, no further formal resolution is required. Where an audit identifies a minor TOP deficiency, typically a typo or an obsolete team position title, the Audit Manager addresses the finding by simply processing a TOP change per TOP-TOPSM. 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. A copy of TOP-IAUDT is also provided for management review of the methodology being used for internal auditing.

Types of Internal Audits

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

  • "Top-Down Audits" are principally based on the SAE AS9101B checklist which covers the requirements of ISO 9001:2000, SAE AS9100B and, by extension, the requirements of most business control systems. Any additional requirements imposed by other standards specified in Section 1 of the Trinity Forge Quality Manual and in Section I of the Trinity Forge Environmental Management System Manual or in a related or in related contract provisions or governmental regulations are addressed as an addendum to the checklist. In a top-down audit we are verifying that our systems effectively fulfill all of the requirements that we have agreed to meet.
  • "Procedural Audits" are performed on each individual TOP at least once every two years to ensure that all TOPs are effective, are being correctly executed and are fully covering their subject area. After procedural audits are completed to the Audit Manager’s satisfaction, the Audit Manager e-mails the audited TOP results to the "champion".
  • "Mini-Audits" are short audits performed to verify that selected activities are being performed and documented correctly. Mini-audits are used for randomly checking of the chemistry of an incoming batch of raw material to verify the accuracy of the supplier’s documents, for selecting a heat treat order to verify the subcontractor’s hardness test results and "in house testing", which includes magnaflux and hardness testing. They are also used to have the quality records of a specific job pulled and reviewed to ensure full procedural compliance, and for any other specific operational point the QA Manager may choose to focus on.
  • "Vendor Audits" are performed on suppliers and subcontractors. Details of the timing, scope and methodology of the audit for an individual vendor are specified by the QA Manager.
  • "Specification Library Audits" are preformed annually to ensure that it is orderly, complete, and suitable to the current needs of the company. "Library" is defined as any place we deem appropriate to store specifications and is listed on the Reference Specification Master List maintained in the QA Office.
  • "Flight Safety Program Audits" are performed and documented annually to assure adequate controls exist, Flight Safety Awareness Training is performed annually, and any corrective actions related to Flight Safety have been effectively addressed.

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 e-mail 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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