In the journey towards achieving certification—be it ISO 9001 for Quality Management Systems, ISO 14001 for Environmental Management Systems, or any other standard—conducting an internal audit is a critical step. An internal audit not only prepares your organisation for the external certification process but also enhances operational efficiency and compliance. This article explores what an internal audit entails and provides guidance on how to effectively conduct one before seeking certification.
Understanding Internal Audit
An internal audit is a systematic, independent, and documented process for gathering evidence and evaluating it objectively to determine the extent to which the organisation's management system meets the required standards. Essentially, it's your organisation's self-assessment tool to ensure that policies, processes, and procedures are functioning correctly and efficiently.
Purpose of Internal Audits:
- Compliance Verification: Ensuring that organisational processes comply with the relevant international standards and internal policies.
- Performance Improvement: Identifying areas where efficiency can be enhanced and processes streamlined.
- Risk Management: Detecting potential risks and implementing preventive measures.
- Readiness Assessment: Preparing the organisation for external audits by identifying and addressing non-conformities in advance.
How to Conduct an Internal Audit Before Certification
Conducting an internal audit involves several key steps, each crucial for a thorough and effective evaluation. Here's how to approach the process:
1. Establish an Audit Programme
Begin by developing an audit schedule that covers all areas of the management system over a defined period. The schedule should be risk-based—focusing more frequently on critical processes—and should ensure that all clauses of the standard are audited before the certification audit.
2. Select and Train Internal Auditors
Choose auditors who are independent of the processes they will audit to maintain objectivity. They should be adequately trained in audit principles, techniques, and the specific requirements of the standard you're aiming to achieve. Training can be internal or provided by external specialists.
3. Plan the Audit
For each audit, prepare an audit plan that outlines the scope, objectives, criteria, and timing. Inform relevant departments in advance to ensure availability and cooperation. Gather relevant documents such as procedures, process maps, and previous audit reports.
4. Conduct the Audit
- Opening Meeting: Start with a brief meeting to introduce the audit team, explain the audit's purpose, and confirm the schedule.
- Collect Evidence: Use interviews, observations, and document reviews to gather evidence. Ask open-ended questions to gain insights into how processes are implemented.
- Assess Compliance: Compare collected evidence against the requirements of the standard and internal procedures. Look for conformity, non-conformity, and opportunities for improvement.
5. Record Findings
Document all findings clearly and objectively. Non-conformities should be detailed with specific references to the standard's clauses and evidence collected. Also, note any positive practices observed.
6. Conduct an Audit Closing Meeting
At the end of the audit, hold a closing meeting with relevant personnel to present the findings. This is an opportunity to clarify any misunderstandings and ensure that the auditees understand the non-conformities and the next steps.
7. Prepare the Audit Report
Produce a comprehensive report summarising the audit activities, findings, conclusions, and recommendations. The report should be circulated to top management and those responsible for corrective actions.
8. Implement Corrective Actions
Assign responsibilities and deadlines for addressing non-conformities. The corrective action process should include identifying the root cause, implementing solutions, and reviewing the effectiveness of the actions taken.
9. Monitor and Review
Keep track of the progress of corrective actions and verify their effectiveness. This may involve follow-up audits or reviews. Management should be kept informed through regular reports.
10. Continual Improvement
Use the insights gained from the audit to drive continual improvement. Update procedures, provide additional training, or invest in new resources as necessary. The goal is not just to fix issues but to enhance the overall performance of the management system.
Benefits of Conducting Internal Audits Before Certification
- Enhanced Preparedness: Identifying and addressing issues before the external audit increases the likelihood of a successful certification outcome.
- Cost Efficiency: Preventing non-conformities reduces the costs associated with corrective actions and re-audits.
- Improved Processes: Regular audits help streamline operations and eliminate inefficiencies.
- Employee Engagement: Involving staff in the audit process raises awareness and encourages adherence to best practices.
- Risk Reduction: Early detection of potential problems minimises risks to the organisation's operations and reputation.
Conclusion
An internal audit is more than a preparatory step for certification; it's a powerful tool for organisational improvement. By systematically examining your processes, you ensure that your organisation not only meets but exceeds the required standards. This proactive approach fosters a culture of excellence and positions your business for long-term success.