Procedure

Internal audits

1. PURPOSE

The purpose of the internal audit process is to evaluate and improve Eltek’s governance, risk
management and management controls by providing insight and recommendations based on analyses
and assessments of processes.

2. SCOPE

This procedure describes the execution of internal audits of processes that are described in Eltek’s
management system.

3. PROCESS OVERVIEW

Input (trigger) -Management request for audit

-ISO requirement
Output -Improved processes
-Input to future audit planning
Customer (receiver) Eltek management
Metric -Number of completed audits vs number of planned audits
-Total number of non-conformances
-Number of days from audit to closing of report
-Number of overdue actions
Owner This procedure is under the responsibility of the quality manager, the
management nominee and the auditor, and should be followed by all
employees.

4. PRINCIPLES

Processes in the QMS should be audited as a minimum:

 Core processes; annually
 Non-core processes; within the 3 year certification period.

Focus areas and departments should preferably be varied each year to ensure that improvement
possibilities within the whole organization are detected.

Prioritization of focus areas and departments shall be based on:

 KPIs (customer complaints, internal deviations, fault statistics etc.)
 Strategy changes
 Input from department leaders
 Experience from previous audits.

Non-conformities and lack of compliance to defined processes and/ or certified standards that are
discovered in normal operations may lead to additional audits to the scheduled audits. An additional
audit should be necessary only when a serious issue or risk to the business is identified.

Doc.no: GPRO_002
Prepared by: hehvno Security level:
Approved by: frvano
Version: 23 This document is valid on date of print only.
Modified: 2018-02-15 2020-06-09 Page 1 of 4
 Procedure
Internal audits

5. DESCRIPTION

Responsible Step Tasks, Conditions, Deliverables Timing

Quality manager/ 1 Plan Before the start
Management  Prepare an annual internal audit plan of the year
nominee according to Section 4 Principles.
 Select and assign responsible auditors
for each audit.
 Present the plan to top management.
Result: Audit plan draft in place
Management 2 Approve plan Before the start
 Approves the audit plan or decides of the year
changes
Result: plan approved (including changes)
Quality manager/ 3 Adjust plan Continuous
Management  Adjust if changes are required based on
nominee management priorities (ref. Section 4
Principles).
Result: plan continuously updated
Auditor/ Lead 4 Plan each audit Minimum one
auditor  Plan each internal audit (time and date, week before the
kick-off meeting, audit and closing audit
meeting)
 Define audit criteria and scope for the
audit.
 Identify process areas / project steps
carrying risk that can affect product
conformity or customer satisfaction
 Identify risk assessment records to be
reviewed under audit
 Choose method for auditing (interview,
documentation review and/or
demonstration)
 Discuss with audit team and
communicate to responsible managers.
 Prepare audit agenda and send to
responsible manager (minimum one
week before the audit).
Result: each audit planned
Auditor/ Lead 5 Prepare each audit Before the audit
auditor  Prepare the audit by reviewing all
relevant documents (standards,
procedures, checklists, results from
previous audits, complaints etc.)
Result: each audit prepared by auditor

Doc.no: GPRO_002
Prepared by: hehvno Security level:
Approved by: frvano
Version: 23 This document is valid on date of print only.
Modified: 2018-02-15 2020-06-09 Page 2 of 4
 Procedure
Internal audits

Responsible Step Tasks, Conditions, Deliverables Timing

Auditee 6 Inform and prepare Before the audit
(responsible  Ensure that all affected employees are
manager) informed about the audit.
 Ensure that all relevant documents,
methods, procedures are available for
the audit.
Result: audit prepared and informed of by
auditee
Auditor/ Lead 7 Run audit During audit
auditor  Run Opening Meeting, introduce audit
agenda and review with responsible
manager (adjusting as necessary), and
present scope and criteria.
 Carry out interviews and necessary
investigation using questionnaires, check
lists and/ or other related documents.
 Review risk assessment and risk
mitigation actions, quality records, root
cause analysis, follow-up of KPIs,
corrective actions, and traceability
between deviations and actions.
 Collect evidences, record findings and
make non-conformity reports if needed.
 Run Closing Meeting with department
manager, auditees and other affected
people.
 Invite managers from other departments
if the findings are related to them.
Result: audit conducted and results recorded
Auditor/ Lead 8 Write and register audit report Maximum one
auditor  Write the audit report week after the
 Register the report in EPI (ref. How to audit
register audit inspection in EPI)
Result: audit result documented
Auditee / 9 Action According to
responsible  Handle the findings and evidences in agreed deadlines
manager /action EPI (ref. HOWTO_129, HOWTO_130)
responsible according to agreed deadlines.
Result: report actioned on
Auditor/ Lead 10 Review executed action When all actions
auditor  Review root cause analysis and are closed by
corrective and preventive actions by auditee and
performing a follow-up audit or within two weeks
evaluating evidence provided by (or longer if
responsible manager. necessary to
 Describe basis for verification. Evaluate evaluate effect)
effect of actions taken
 Close/approve the audit report in EPI if
all corrective and preventive actions are
closed; otherwise follow up with
responsible manager.
Result: Actions verified and approved

Doc.no: GPRO_002
Prepared by: hehvno Security level:
Approved by: frvano
Version: 23 This document is valid on date of print only.
Modified: 2018-02-15 2020-06-09 Page 3 of 4
 Procedure
Internal audits
6. REFERENCES

GPRO_004 Continuous improvement

HOWTO_129 How to handle and close a case or action in EPI
HOWTO_130 Register cases and add actions in EPI

7. ROLE AND TERMINOLOGY DEFINITIONS

N/A

8. VERSION HISTORY

# Date Approve Major/ Description

d by: minor
24 2018-05-28 frvano Major Section 5, step 7: removed “and observation” to reflect the changes in
the ISO standard.
23 2018-02-15 frvano Major Changed wording in bullet point 3 in step 7
22 2017-08-30 frvano Major Added bullet point 3 in step 7
21 2017-06-07 frvano Major Section 5, step 4: correction to grammar in bullet point 4.
Section 5, step 7: correction “run closing meeting with …, auditees,…”.
Section 5, step 10: ‘Responsible manager’ was listed as responsible
for this step by mistake. Changed to ‘Auditor/lead auditor’.
Section 5, step 11: step for additional approval removed from
procedure, responsibilities are now included in step 10.
Section 6: added references to HOWTO’s
20 2017-05-22 frvano Minor Section 5 Description, Step 4: correction to formatting (bullet point
error), and added word ‘identify’
19 2016-09-14 frvano Minor Changes cause new EPI procedures and documents and risk focus
18 2015-03-23 frvano Major Changed to new template. Changes in sections 1, 2 and 3. Changes in
Section 5 Description: split some of the actions in two, and minor text
changes throughout Section 5.. Text in Section 4 Principles moved
from Section 5 Description. Added timing column. Changed document
number from GPRO_02 to GPRO_002.
17 frvano Major Split step 1 in three parts, to clarify who is to approve the audit plan
(step 2). Changes all step numbers accordingly. Added “Indicate basis
for verification/approval.” in step 8.
16 frvano Major Added suggested methods of auditing in Step 2.
15 frvano Major Step 6: added “Reviews root cause analysis…”

14 2012-06-19 frvano Major Inserted comment about additional audits in step 1 in Section 3
Description.
13 2011-12-05 frvano Major Minor and major changes to most steps in Section 3, particularly to the
planning part in Step 1.
12 2011-06-29 frvano Major Changed from 'Management System' to 'Quality and Environmental
System' in Section 1 Purpose and Scope.
11 2010-10-04 Minor Minor date format correction
1-10 - Change history not kept

Doc.no: GPRO_002
Prepared by: hehvno Security level:
Approved by: frvano
Version: 23 This document is valid on date of print only.
Modified: 2018-02-15 2020-06-09 Page 4 of 4