Planning internal audits is crucial for organizations for various reasons. For certified companies, proper planning and execution of audits are mandatory requirements to maintain certification. Without it, companies may face several issues, such as audit nonconformities or even loss of certification.
However, the internal audit process goes far beyond regulatory requirements. It is essential for assessing the company’s execution and daily routines, as well as ensuring everything is in line with pre-established standards. During audits, in addition to having the opportunity to proactively correct errors, we also identify improvement opportunities and understand the strengths of our organizations.
Therefore, planning internal audits is a real asset—it can not only facilitate the work but also improve the company as a whole! To achieve this, it is important to pay attention to some key details. Let’s dive deeper into this topic.
Step 1 – Develop an Appropriate Plan for the Internal Audit Procedure
The internal audit procedure is literally the description of “how” your organization intends to conduct the audit process. An initial, useful tip is to organize it in the PDCA format, ensuring a continuous process that constantly improves.
Additionally, some essential information should be included in this procedure, such as:
- Frequency of internal audits (regularity);
- Which company sites or locations will participate in each audit phase;
- Who the auditors will be;
- Objectives of the internal audit;
- Templates of forms to be used;
- Standards to be audited;
- And other relevant details.
The key here is to clearly outline how the internal audit process will take place and, in a way, model this process within your company. This is essential since the audit needs to occur at planned intervals, leading us to the second step.
Step 2 – Develop an Internal Audit Execution Schedule
Remember, internal audits are not about monitoring compliance; they are meant to assess whether processes are being carried out effectively and in accordance with company standards. So, don’t conduct surprise audits—your employees need to be informed in advance. Having an audit schedule is crucial!
In addition to the schedule with dates, your audit plan should be detailed enough for the internal auditors to know what to audit and when to audit it. This means knowing which departments to audit at each stage. This will not only ensure that the audit achieves its objectives but also minimize unnecessary disruptions for your employees and ensure that processes maintain productivity.
Step 3 – Train the Internal Auditors
Internal audits are a process, and as such, they require trained personnel to execute them! In most cases, auditors are internal employees of the company—people who perform other duties and are assigned to this task.
Having auditors who are already employees is great because they have a better systemic understanding of the processes and the company culture. However, they are not always trained to be auditors. Therefore, it is necessary to define the competencies required for auditors in the procedure from Step 1.
With predefined competencies, it becomes easier to train people and ensure that the auditors are able to perform a high-quality audit!
Step 4 – Conduct the Internal Audits
If all the previous steps have been followed, this one should not pose significant challenges. Properly planning internal audits makes execution much smoother. At this stage, auditors just need to follow everything that was planned, combined with the knowledge they gained during the training sessions.
Now, they should adhere to the “script” created in the procedure, use the forms, and conduct the interviews. It’s also essential to ensure autonomy and impartiality for the internal auditors, regardless of who they are, and to make sure that no one is auditing their own process.
Step 5 – Evaluate the Results of the Internal Audit
Planning internal audits is synonymous with planning for continuous improvement. Therefore, just like other processes, the results of internal audits need to be evaluated.
It’s important to conduct a critical analysis of the findings and nonconformities identified by the internal auditors and to address them appropriately. At this stage, involve top management and use the collected information strategically and thoughtfully.
It’s also crucial to share the audit results with the rest of the company’s employees. This helps create a greater sense of ownership, demonstrates progress to employees, and emphasizes the importance of the audit process and continuous improvement within your organization.
Read: Internal and External Audits of The Management System
Planning Is the Key to Good Results
By following these five steps, you can plan robust and effective internal audits, as well as better guide your auditors and the employees involved in this process. Now, it’s worthwhile to review your process and implement improvements based on the steps presented.
Poorly planned audits disengage people, fail to identify improvements or issues, and become mere bureaucracy. In addition to resulting in unnecessary expenses, they can have the opposite effect by discouraging quality and excellence. Therefore, auditing correctly is not just about maintaining certification, but also about fostering improvement and good practices.
Planning effectively and efficiently is an investment in your organization’s ongoing success. By conducting well-structured audits, you ensure that processes not only meet requirements but also continuously improve. Each well-executed audit is an opportunity to learn, identify new solutions, and strengthen the culture. Remember, auditing with excellence is not just about complying with a standard; it’s about driving your business’s evolution, involving everyone in a journey of continuous improvement.
