Internal Audit Process 9001 2015
Internal Audit Process 9001 2015
Internal Audit Process 9001 2015
Your internal audits demonstrate compliance with your planned arrangements, e.g. the QMS and how its
processes are implemented and maintained.
Your organization will likely conduct internal audits for one or more of the following reasons:
1. Ensuring compliance to the requirements of internal, international and industry standards & regulations, and
customer requirements
2. To determine the effectiveness of the implemented system in meeting specified objectives (quality,
environmental, financial)
3. To explore opportunities for improvement
4. To meet statutory and regulatory requirements
5. To provide feedback to Top management
Adherence to the following principles are considered to be a prerequisite for ensuring that the conclusions derived
from the audit are accurate, objective and sufficient. It also allows auditors working independently from one
another to reach similar conclusions when auditing in similar circumstances.
Selection of Auditors
Competence level may be measured by training, participation in previous audits and experience in conducting
audits. Auditors may be external or internal personnel; however, they should be in a position to be impartial and
objective.
When internal personnel are selected to perform an audit, a mechanism needs to be established to ensure
objectivity, for instance, a representative from another department may be selected to do the audit.
Audits are demanding and require various forms of expertise. The size of the audit team will vary pending the size
of the organization, size and type of operations and the scope of the audit.
Before the audit, prepare thoroughly! Spending time in preparation will make you much more effective during the
audit - you will become a better auditor. Auditors should not skip this step as it provides much needed value to
the audit. Taking the time to prepare and organize actually saves time during the audit.
You should have an up-to-date audit schedule and a well defined audit plan for each process. Be sure to
communicate the audit schedule to all parties involved as well as to top management as this will help reinforce
your mandate.
Gather together all the relevant documented information that relates to the process you will be auditing. Look at
process metrics, work instructions, turtle diagrams, process maps and flowcharts, etc. If applicable, collect and
review any control plans and failure mode effects analysis work sheets too. Review these thoroughly and highlight
the aspects that you plan to audit. Using the documented information in this way ensures they become audit
records.
Your organizations documented information may not cover all of the requirements that may be relevant to the
process. If certain information is not available, it may become your first audit finding, not bad for the pre-audit
review!
Certain information and linkages should be audited. Some are required and some are simply good audit practice.
Putting these sections into a worksheet format gives auditors a guide to follow, to ensure the relevant links are
audited.
Good auditors realise very early on that they are dealing with personalities as much as processes and systems.
Whilst the intent of the audit a serious one, often light humour, politeness and diplomacy are the best ways to
build rapport. It is vital every effort is made to reassure those being audited that the audits primary function is to
drive improvement, not to name and shame.
If you are new to auditing, acknowledge this fact, be open and honest. It is also important to explain to the
auditees that they are free to express their views during the audit. Remember that you, the auditor, are also there
to learn.
Always discuss the issues you have identified with the auditees and always provide guidance on what is expected
in terms rectifying any non-conformances or closing out observations you raised. Let the auditees know they are
welcome to read your notes and findings; the audit is not a secret.
Try not to be drawn into arguments concerning your observations. It is never appropriate to directly name people
in the audit report as this may lead to defensiveness which is ultimately counter productive.
Source: International Professional Practices Framework (IPPF), The Institute of Internal Auditors Research
Foundation. Florida, USA, January 2011
There are four common methods of internal auditing that may be used to determine compliance:
1. System Audits
2. Process Audits
3. Product Audits
System Audits
The system audits are best undertaken using the internal audit checklist. This type of audit focuses on the
organizations quality management system as a whole, and compares the planning activities and broad system
requirements to ensure that each clause or requirement has been implemented.
Process Audits
The process audit is an in-depth analysis which verifies that the processes comprising the management system are
performing and producing in accordance with desired outcomes. The process audit also identifies any opportunities
for improvement and possible corrective actions. Process audits are used to concentrate on any special,
vulnerable, new or high-risk processes.
Product Audits
The product audit may be a series of audits, at appropriate stages of design, production and delivery to verify
conformity to any specified product requirements, such as dimensions, functionality, packaging and labelling, at a
defined frequency.
The internal audit checklist is just one of the many tools which are available from the auditors toolbox that helps
to ensure each internal audit addresses the necessary requirements. It stands as a reference point before, during
and after the audit process and if developed for a specific audit and used correctly will provide the following
benefits:
The unique knowledge obtained about the status your existing quality management system will be a key driver of
the subsequent implementation approach. Armed with this knowledge, it allows you to establish accurate budgets,
timelines and expectations which are proportional to the state of your current management system when directly
compared to the requirements of the standards.
Your organization may already have in place an ISO 9001:2008 compliant quality management system or you
might be running an uncertified system. If this is the case, you will want to determine how closely your system
conforms to the requirements ISO 9001:2015.
The results of a gap analysis exercise will help to determine the differences, or gaps, between your existing
management system and the new requirements. Not only will the analysis template help you to identify the gaps,
it will also allow you to recommend how those gaps should be filled.
The gap analysis output also provides a valuable baseline for the implementation process as a whole and for
measuring progress. Try to understand each business process in the context of each of the requirements by
comparing different activities and processes with what the standard requires. At the end of this activity you will
have a list of activities and processes that comply and ones that do not comply. The latter list now becomes the
target of your implementation plan.
These findings and conclusions should be formally documented as part of the summary report. Too often, the audit
report only recites back facts and data the managers already know. The value is in identifying issues and
opportunities they do not know! This summary should be reviewed first with the lead auditor, then the Process
Owner and Management Team. Make final revisions and file the audit report and all supporting audit materials and
notes.
Gather the whole audit package together, in an organized manner. The rest of the work instructions, flowcharts,
notes and relevant papers should be gathered into the audit package as supporting records. All findings should
also be documented on your corrective action forms. The audit summary and the corrective action forms should be
attached to the audit package, which now becomes the audit record. Only the summary report and corrective
actions need be given to the process owner.
These basic audit questions will help guide the audit in the right direction since the answers they provide often
unlock the doors to information the auditor requires in order to accurately assess the particulars of a process.