A Comprehensive ISO 9001 Internal Audit Ensures you Meet the Standard

What is an Internal Audit?

Internal audit is a mandatory requirement of ISO 9001. 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.

Audits improve the efficiency and effectiveness of your quality management system  The results of an audit provide management with factual information for decision making.

Internal Audit Before Certification

After your system has been developed and before proceeding to certification, you must have an internal audit conducted on your management system. This will ensure that everything is adhering to the correct standards and is compliant with any associated regulations.

Our consultant will identify any actions required to ensure that your certification audit does not result in corrective actions.

Your consultant will use this as an opportunity to:

• Review the implementation of the system within your business
• Identify issues that must be addressed before certification
• Ensure that there have been no significant changes to business which need to be reflected in the Management System
• Ensure that you and your staff are ready for the certification audit
• Ensure that you will successfully pass the certification audit.

On-going Internal Audits

Audits are also required internally at planned intervals after your business has been certified. The standard requires that the organization will establish an internal audit schedule that will cover all aspects of the system.

ISO Global can assist you in determining an internal audit schedule and conducting your internal audits for you.

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.

ISO Internal Audit Procedure

The ISO standard requires that the organisation will establish an internal audit procedure.

The Internal Audit Procedure must include the following aspects

1. The internal audit schedule – who is responsible to established the schedule, what frequency and what is the scope of each audit.
2. The auditor – who is responsible to conduct the internal audits, how do we ensure the impartiality and objectivity of the audit process.
3. Audit report – how are findings being reported
4. Audit review – management is responsible to review the internal audit report.
5. How reports and relevant evidence are being retained

How to Conduct an Internal Audit

To become an internal audit you mush have an understanding of the ISO Standard requirements. It is recommended that you undertake Internal Auditor Training.  Our experienced and qualified management consultants can conduct the audit for you or train your staff to conduct Internal Audits.

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?

Carrying out the audit

1. Have the auditee explain the process and how records are kept to demonstrate compliance.
2. Look for objective evidence of compliance with requirements – this is usually in some form of
   record.
3. If you uncover an issue, make sure the auditee knows and understands.
   Do not look for faults. Auditing is about fact finding not fault finding.
4. Be objective – your opinion doesn’t matter

Writing the audit report

1. Record details of the objective evidence sighted
2. Record non-conformances and potential improvements
3. Never discuss individual’s roles in the system, only the system itself.

What is ISO Internal Audit Checklist?

Internal audit checklists identifies the following:

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

Can I fail the Internal Audit?

There is no pass or fail in the internal audit. The purpose of the audit is to provide management with factual information on how wel the systems is oeprating. issues t that are identified can be addressed.

For any queries, contact us today

We understand that such topics can be overwhelming, which is why we recommend you call our team today on 1300 88 96 49 to discuss your needs. Whether to learn more about our ISO audits to ensure they meet the correct standard, our Quality Management systems environment management systems, or OH&S systems, we’re here to help. We look forward to hearing from you.

Author: Jennifer Chiplin

Jennifer Chiplin

Jennifer has over 20 years extensive experience and skills as a Work Health & Safety consultant in Work Health & Safety Management Systems…

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