How to Conduct an Internal Audit

What is an Internal Audit?

Internal audit is a mandatory requirement of ISO 9001 Quality, ISO 45001 safety and ISO 14001 Environment. Internal Audits are conducted internally by the organization. That means the organization initiates and plans this audit. This is a self-assessment of the processes implemented in the organization. Audit results should be documented. This should be done at least once a year or as per the frequency defined by the organization.

What is the Purpose of the Internal Audit

Internal audits are intended to determine to what extent your Quality Management System:

• Has been properly implemented and maintained
• Achieves its objectives
• Conforms to management requirements
• Complies with regulatory requirements
• Meets customers’ contractual requirements
• Conforms to a recognized standard
• Is up to date with business changes.

Internal audits also intended to:

• Assess the effectiveness of processes
• Identify opportunities for improving and streamline your processes.
• Improve the efficiency and effectiveness of your quality management system
• Provide management with factual information for decision making.

Who Can Conduct an Internal Audit

Internal audits can be conducted by either with personnel from its own organization or by hiring a qualified internal auditor.

The person conducting the internal audit should be

• independent of the function/area being audited
• have an understanding of ISO 9001 requirements
• have an understanding on the processes being audited.

Planning the audit

1. Review the scope of the audit and identified the relevant procedures and documents
2. Identify the staff and stakeholders that will need to be present and invite them to the audit
3. Review the procedures and other documents relevant to the scope
4. Identify the evidence required to demonstrate compliances with procedures and with the standard.
5. Prepare an internal audit checklist of the questions you will ask and the evidence that intend to view
6. Review previous internal and external audit reports. Are there any corrective actions?

What Should be Included in the Internal Audit Checklist?

Internal audit checklists identifies the following:

1. The steps of the process.
2. The evidence required to demonstrate conformance with each step.
3. The question you need to ask if you interview staff about their tasks.

Carrying out the audit

1. Have the auditee explain the process.
2. Ask the auditee to present evidence that requirements are being met.
3. Use your checklist and record the evidence you sighted this is usually in some form of a record.
4. If you uncover an issue, make sure the auditee knows and understands.
5. Remember that any issue is an opportunity for improvement.
6. Be objective – your opinion doesn’t matter.

When you Uncover a Non-Conformance

When you find non-conformances, try to assess the reason for the non-conformance. Understanding the source of the non-compliance will assist you in formulating a corrective action.

Potential reasons for non-compliance:

1. Lack of training or awareness
2. The process is not efficient.

What to Avoid

• Questions that focus of people rather than the process.
• Looking for faults. Auditing is about fact finding not fault finding.
• Being judgmental.
• Don’t harp on minor things.

The Audit Report

1. Record the scope of the audit. The scope covers:
   • The offices in which the audit was carried out (if your business has more than one office)
   • procedures which were audited
   • standard against which you are auditing (i.e. ISO 9001 Quality Management)
2. Record details of the objective evidence sighted
3. Record non-conformances identified
4. Suggest corrective actions
5. Never discuss individual’s roles in the system, only the system itself