Why Conduct an ISO Internal Audit?

In today’s competitive landscape, businesses are striving for excellence to enhance customer satisfaction and reduce operational costs. Achieving ISO certification has become a priority for many companies, as it instills confidence in customers and strengthens internal processes.

But how can we assess the effectiveness of our management systems and identify areas for improvement? The answer lies in conducting internal audits. These audits provide valuable insights into the effectiveness of management systems and highlight opportunities for enhancement.

What is an ISO Internal Audit

According to ISO 19011, an audit is a systematic, independent, and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled. The primary purposes of an internal audit include:

1. Determining conformity
2. Assessing effectiveness
3. Identifying opportunities for improvement
4. Meeting regulatory requirements
5. Supporting certification efforts

Remember, the goal of an audit is to uncover facts, not to assign blame.

ISO internal audits can be applied to ISO 9001, ISO 27001, ISO 14001, ISO 45001, or other management systems.

Principles of auditing

1. **Integrity**: The foundation of professionalism; auditors must act with honesty and responsibility.
2. **Fair Presentation**: The obligation to report truthfully and accurately.
3. **Due Professional Care**: Applying diligence and judgment in the auditing process.
4. **Confidentiality**: Protecting sensitive information and using it responsibly.
5. **Independence**: Ensuring impartiality and objectivity in audit conclusions.
6. **Evidence-Based Approach**: Relying on systematic methods to reach reliable audit conclusions.

Auditor competence and training

Auditors should receive proper training and have at least a high school diploma.

Four Stages of Internal Audit

The internal audit process consists of four key stages:

1. Preparation of ISO Audit

   – Develop an audit plan outlining criteria, scope, and location.

   – Review relevant documents, including company policies, procedures, and previous audit reports.

   – Create an internal audit checklist.

   – Communicate with the auditee to agree on the date and time.

2. Onsite ISO Audit

   – Chair the Opening Meeting : The audit team leader introduces the team and explains the audit plan and criteria.

   – Collect Audit Evidence: Gather information through observation and interviews with the auditee.

   – Tips for Interviews:

     – Introduce yourself and clarify the audit’s purpose.

     – Ask open-ended questions.

     – Maintain eye contact and stay calm and objective.

   – Verify Record Integrity: Sample records such as quotations, purchase orders, delivery notes, and training records.

3. ISO Audit Reporting

   – Audit team members discuss observations and minor nonconformities.

   – The audit team leader compiles findings and presents them in a closing meeting with top management and department representatives.

   – Audit Findings:

     – Observation: Minor deviations from policies or procedures.

     – Minor Nonconformity: Lapses in ISO requirements that don’t significantly impact the management system.

     – Major Nonconformity: Significant breakdowns in the management system.

4. ISO Audit Follow-Up

   – After the department representative implements corrective actions for identified nonconformities, the auditor verifies and closes the corrective actions on-site.

Business success is a lifelong journey, and continual improvement is an ongoing process.