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QMS Internal Audit Plan

The internal audit plan outlines the audit of the Quality Management System of the National Audit Office. The audit will evaluate compliance with ISO 9001:2015 requirements and identify areas for improvement. It will be conducted over 30 days by 5 teams reviewing all office processes. The audit methods will include document review, interviews, observations, and testing to evaluate conformance and opportunities for enhancing effectiveness and efficiency of operations.

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788 views5 pages

QMS Internal Audit Plan

The internal audit plan outlines the audit of the Quality Management System of the National Audit Office. The audit will evaluate compliance with ISO 9001:2015 requirements and identify areas for improvement. It will be conducted over 30 days by 5 teams reviewing all office processes. The audit methods will include document review, interviews, observations, and testing to evaluate conformance and opportunities for enhancing effectiveness and efficiency of operations.

Uploaded by

Mohamed
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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ISO 9001:2015: QMS INTERNAL AUDIT PLAN

Prepared By Quality Assurance Unit


(QMS Representative)
Plan of Internal Audit

The Internal Audit Plan is a critical component of the overall internal audit process and helps
ensure that audits are conducted in a structured, systematic, and consistent manner. It also
helps to ensure that the audit process is focused on identifying areas for improvement and
promoting continuous improvement within the office.

1. Audit Objective: Is to evaluate the extent to which the Quality Management System (QMS)
of the National Audit Office (NAOT) complies with the audit criteria.

The primary aim of the audit is to identify any non-conformities or areas of potential
improvement in the NAOT's QMS. The audit should also help to identify opportunities to
enhance the effectiveness, efficiency, and performance of the QMS.

By identifying areas of improvement, the audit can assist the NAOT in enhancing the
quality of its services, improving customer satisfaction, and promoting continuous
improvement in its operations. Additionally, the audit can help the NAOT to identify and
manage risks, reduce errors, and waste, and enhance the reliability and accuracy of its
processes and outputs.

2. Audit Criteria: Audit criteria that will be used includes ISO 9001:2015 Standard
requirements, NAOT internal policies, procedures, and guidelines, as well as any
applicable legal or regulatory requirements.

3. Audit Scope: The scope of the audit includes all processes of each division /unit which are
applied at the NAOT Headquarters.

Operational Documented Processes

S/N Division /Unit DOCUMENT TITLE REFERENCE


1. Quality Assurance Quality Assurance NAOT-OP-QA-01
2. Administration Record Management NAOT-OP-ADM-01
Motor Vehicle Management NAOT-OP-ADM-02
Office Space Allocation NAOT-OP-ADM-03
Health, Safety and Environment NAOT-OP-ADM-04
Management
Ethics and Customer Complain NAOT-OP-ADM-05
Handling
Repair and Maintenance NAOT-OP-ADM-06
Emergency Response NAOT-OP-ADM-07
9. Audit Financial and Compliance Audit NAOT-OP-AUD-01
Process (Central Government)
Financial and Compliance Audit NAOT-OP-AUD-02
Process (LGA)
Financial and Compliance Audit NAOT-OP-AUD-03
Process (National Accounts)
Pre-Audit of Terminal Benefit NAOT-OP-AUD-04
Financial and Compliance Audit NAOT-OP-AUD-05
Process (Public Authorities)
S/N Division /Unit DOCUMENT TITLE REFERENCE
Performance and Specialized Audit NAOT-OP-AUD-06
Forensic Audit NAOT-OP-AUD-07
Information System Audit NAOT-OP-AUD-08
17. Legal Services Provision of legal advice NAOT-OP-LS-01
Legal representation NAOT-OP-LS-O2
Drafting of legislative proposal NAOT-OP-LS-03
18. Government Communication to NAOT NAOT-OP-GC-01
Communication Stakeholders
Distribution Of Citizen Reports NAOT-OP-GC-02
20. Human Resources Recruitment NAOT-OP-HRM-01
Staff Training and Development NAOT-OP-HRM-02
Staff Leave Management NAOT-OP-HRM-03
Performance Management NAOT-OP-HRM-04
Staff exit NAOT-OP-HRM-05
21. Finance Revenue collection NAOT-OP-FIN-01
Expenditure management (payments NAOT-OP-FIN-02
and payables)
Financial reporting (final accounts NAOT-OP-FIN-03
preparation)
Bank account reconciliation NAOT-OP-FIN-04
Budget control NAOT-OP-FIN-05
Fixed asset analysis and review NAOT-OP-FIN-06
Receivables and prepayments NAOT-OP-FIN-07
28. Information ICT Operation (Network NAOT-OP-ICT-01
Communication Administration)
Technology (ICT) ICT Operation (System NAOT-OP-ICT-02
Administration)
ICT Operations (Data Back Up and NAOT-OP-ICT-03
Data Security)
ICT Support (Systems and User NAOT-OP-ICT-04
Support)
ICT Support (Management of ICT NAOT-OP-ICT-05
Equipment)
ICT Support (Maintenance of ICT NAOT-OP-ICT-06
Equipment)
Information System Acquisition, NAOT-OP-ICT-07
Development and Implementation
ICT Operations (Disaster and NAOT-OP-ICT-08
Incident Management)
29. Internal Audit Internal Audit NAOT-OP-IA-01
30. Parliamentary Parliamentary Capacity Building NAOT-OP-PC-01
Coordination
Parliamentary Liaising NAOT-OP-PC-02
32. Planning, Strategic Planning NAOT-OP-PME-01
Monitoring and Annual Planning and Budgeting NAOT-OP-PME-02
Evaluation Monitoring, Evaluation and NAOT-OP-PME-03
Reporting
33. Procurement Annual Procurement Plan NAOT-OP-PM-01
S/N Division /Unit DOCUMENT TITLE REFERENCE
Management Procurement NAOT-OP-PM-02
Receiving of Goods NAOT-OP-PM-03
Assets and Inventory Management NAOT-OP-PM-04
Disposal of Assets NAOT-OP-PM-05
Issuing of Goods from Store NAOT-OP-PM-06
34. Risk Management Risk Management NAOT-OP-RSK-01
35. Technical Support Research and Development NAOT-OP-TSS-01
and Service Audit Support Service NAOT-OP-TSS-02
Innovation and Digitalization NAOT-OP-TSS-03

4. Audit Schedule: The audit schedule is planned to take one month (30 days from planning
to Reporting). The audit will start on xx March 2023 and end on xx April 2023.

5. Audit Team: Members of the audit team and their roles and responsibilities.
S/ Tea Team Member Role and Allocation Total No.
N m Responsibility of Process
1. Edna Mtili Overall, Team Review of the Report
Leader
2. A Rajabu Amas Team Leader QA, Planning &
Richard Sylivester Team Member Monitoring and Legal
13
Services and
Procurement
4. B Adam Mniko Team Leader QMS Requirements,
Mathew Kanza Team Member Information
Communication
Technology (ICT), 13
Kanuda Sendama Team Member Technical Support
Service and Risk
Management
7. C Mohamed Omary Team Leader Audit Process and
Ndyanao Mgweno Team Member Government
10
Alphonce Gozi Team Member Communication

10. D Tegemea Benson Team Leader Finance, Internal Audit


Deonisia Max Team Member and Parliamentary 10
Coordination
12. E Mujo Kasoga Team Leader Human Resource and
12
Emmanuel Butoto Team Member Administration

6. Audit Methods: Methods that will be used to conduct the audit are document review,
interviews, observations, and testing (if applicable).

7. Audit Reporting: The format for audit report should be referred to QMS INTERNAL AUDIT
REPORT TEMPLATE-To be submitted to Process owner.docx, INTERNAL AUDIT REPORT
TEMPLATE TO BE SUBMITTED TO MANAGEMENT.docx
8. Corrective Action: The template of corrective Action form should be referred to
Corrective Action Request.docx

9. Audit Checklist: The sample of the documented checklist attached in folder.

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