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5.2 Quality Policy ISO 9001

Internal Audit Procedure - How can it help me?

What Is An Internal Audit Procedure?

An internal audit procedure documents all of the necessary processes performed before, during, and after an audit. It also documents who is responsible for audits as well as the purpose and objectives of audits.

Your Internal Audit Procedure goes hand-in-hand with your Internal Audit Checklist.

How Can An Internal Audit Procedure Help You?

A well written internal audit procedure is a useful guide for all audits from start to finish. It keeps everything you need for internal audits in one place and ensures your audits are always done consistantly and correctly.

internal audit

Benefits of an Internal Audit Procedure

An internal audit procedure is a comprehensive tool that aids in an efficient auditing process. Taking the time to ensure your internal audit procedure is detailed and thoughtfully written can help you achieve better audits.

It will also detail who is responsible for audits as well as the purpose and objectives of audits.

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Our Internal Audit Procedure is proven to work.
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Principles of Internal Auditing

Auditing relies on a number of principles whose intent is to make the audit become an effective and reliable tool that supports your company’s management policies and policies whilst providing suitable objective information that your company can act upon to continually improve its performance.

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.

The following principles relate to auditors:

  1. Ethical conduct: Trust, integrity, confidentiality and discretion are essential to auditing
  2. Fair presentation: Audit findings, conclusions and reports reflect truthfully and accurately the audit activities
  3. Professional care: Auditors must exercise care in accordance with the importance of the task they perform
  4. Independence: Auditors must be independent of the activity being audited and be objective
  5. Evidence-based approach: Evidence must be verifiable and be based on samples of the information available.

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.

Guidance Through Internal Audits

At its core, an internal audit procedure is a manual. It spells out everything anyone needs to know about internal audits within your business from start to finish. Having this set of instructions means performing internal audits will be an easy process for anyone that is placed in the auditor position.

Not only does your procedure outline how to perform an audit, but it also provides instructions for planning and reporting audits. These guidelines ensure internal audits are done correctly and the collected data is handled the right way.

An internal audit procedure keeps everyone on task and leads to success.

Everything Is in One Place

An internal audit procedure is an all-in-one document for everything pertaining to internal audits. There is no need to go searching for everything separately when you have an all-encompassing manual to reference.

Guidelines aren't the only thing an internal audit procedure includes. You will also find schedules, audit checklists, process flow diagrams, and all other related documentation in your procedure.

Having all of this information in one place makes it incredibly easy for anyone that needs it to find it.

Consistent Approach to Internal Audits

Internal audits are generally performed by many different people or teams of people. Having a procedure that outlines how audits are to be performed and handled makes certain that it is done the same way every single time.

It's essential to overseeing the success of your business to have a consistent approach to all parts of the internal audit process. If everyone is doing it their own way, you won't be able to compare data and find areas for improvement as easily. Having a framework for auditors to use means the resulting information from internal audits will be consistent.

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Make Internal Audit Scheduling Simple

While it's not a requirement, having a set of instructions for scheduling audits within your internal audit procedure is a big help in making sure it gets done. Along with guidelines for creating a schedule, you can include the most recent version of your audit schedule for everyone to reference.

Creating an audit schedule depends on reviews and knowing what processes need the most attention. If you keep up with the procedure of scheduling your audits, it will be much easier to create a workable and customizable schedule for all future audits.

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What Is Included in an Internal Audit Procedure?

Scope - The scope of any document tells what its purpose is. In the case of an internal audit procedure, the purpose is to outline the process of an internal audit as it applies to your business. This includes guidelines for the stages of planning, fieldwork, reporting, assessment, and follow-up.

Objectives - This section lists the objectives you are hoping to reach by performing an internal audit. It will usually talk about evaluating and finding evidence of success within a system. It could also include an objective about pointing out areas that require change. Whatever you are hoping to accomplish through an internal audit will go here.

Responsibilities - You should always include who is responsible for internal audits in your procedure. Don't put a specific name because then you have to revise the document every time there is a position change. It's much better to put a job title, so you don't have to worry about any updates to it in the future. Along with who is in charge, this section should list what exactly they are responsible for.

Planning - Every step that is relevant to the internal audit process in the lead up to it should be detailed in this section. This will usually include a specific way to plan each internal audit. It talks about meetings, reviews of previous audits, drawing up plans, scheduling, what needs to be addressed, etc. Internal audit planning should walk auditors through the process of getting everything ready to actually perform the audit.

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Our Internal Audit Procedure is proven to work.
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Controlling Internal Audits

  • Selecting Internal Auditors
  • Developing the Audit Programme
  • Preparing for the Audit
  • Conducting the Audit
  • Data Review & Initial Reporting
  • Monitoring
  • Final Reporting
  • Review

Conducting Audits

  • System Audits
  • Process Audits
  • Supplier Audits
  • Legislation Audits

Fieldwork - This is where the internal audit is put into action. Here the procedure will guide auditors through what needs to be done throughout an internal audit and how to document the entire thing. Any necessary checklists may be included in this section as well. These are perhaps the most important guidelines and should be written thoroughly so that they are easy to follow.

Reporting - Once the audit is done, an auditor must create a report of their findings. This section of the internal audit procedure outlines what needs to be included in the report and how to go about filing it. If you use a template for audit reports, it can be included in the procedure as well. Having these instructions on reporting will ensure that they are done consistently each time.

Corrective Action - The corrective actions are identified on the Internal Audit, Non-conformity & Correct Action Tracker along with the person responsible and the timescales for completion.

The process or procedure is re-audited and the issue closed out when all corrective actions are completed. A member of the audit team will then sign off the audit report. An audit summary is prepared for management review.

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An Internal Audit Procedure Keeps You on Track

It can be hard to see the necessity of some documentation when it comes to running a business. However, an internal audit procedure is a goldmine of information that is incredibly valuable to you and every other employee. It ensures that performing internal audits is as easy as possible and that they are done correctly.

Jump Start Your Documentation

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An internal audit procedure provides plenty of benefits to anyone that has one on-hand. It is a rulebook for performing internal audits that is full of useful information for auditors. Having all of that information in one place makes everyone's lives a lot easier.

An internal audit procedure supports the consistency that is essential to improving any business.

Don’t Try to Manage It All Alone!

Our ISO Auditors and Quality Manager Trainers have been in this industry for years, and since 2002 we’ve been providing thousands of small businesses and large corporations with the tools they need to get certified.

Instead of trying to create everything you need to follow this process from scratch, use ours. We have procedures, templates, checklists, process maps, forms and gap analysis tools to help you control your documented information without missing a single input or output.

Before you invest all the hours reinventing the wheel, before you spend countless dollars outsourcing the task — try our templates.

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iso 9001
ISO 9001

ISO 9001 Internal Audit ToolkitISO 9001 Internal Audit Toolkit

Everything you need to perform and manage internal audits for ISO 9001:2015.

Contents

The documents are used together as a cohesive system or available separately below.

All these templates are included in our Quality Manual Template.

chartChecklists

Procedures

  • Internal Auditing Procedure - view sample
  • Corrective Action Procedure

processProcess Maps

  • Internal Auditing Process Overview (turtle diagram)
  • Internal Auditing Process Map - view sample
  • Corrective Action Process Overview (turtle diagram)
  • Corrective Action Process Map

Internal Audit ProgrammeInternal Audit Program

  • Process Matrix
  • Long-range Audit Program
  • Short-range Audit Program

Corrective Action TrackerCorrective Action Tool

  • MS Excel
  • Predefined data–entry fields to describe the issue
  • Categorize all issues, assign responsibility, initiate tasks
  • Root Cause Analysis (RCA) actions
  • Determine problem-solving methods based on risk
  • Track progress and close-out with the Corrective Action Plan

reportReports & Forms

  • Internal Audit Plan
  • Internal Audit Report - view sample
  • Corrective Action Report
  • Internal Audit Process Report
  • Internal Audit Action Report

chartCharts

  • Automated Charts & Graphs - view sample
  • Monitor status in real-time
  • Make issues highly visible

guidanceGuidance

  • Internal Audit Guidance - view sample
  • Internal Audit Programme Guidance
  • Corrective Action Guidance
  • Management System Guidance - view sample

Control of Internal Audits ProcedureISO 9001 Internal Auditing Procedure

The purpose of the Internal Audit Procedure is to define your organization’s process for undertaking QMS audits, process audits, and supplier and legislation audits in order to assess the effectiveness of the application of the quality management system and its compliance to ISO 9001:2015.

This procedure also defines the responsibilities for planning and conducting audits, reporting results and retaining associated records.

- view sample

Process MapsProcess Maps

  • Internal Auditing Process Overview (turtle diagram)
  • Internal Auditing Process Map

Reports & FormsReports & Forms

  • Internal Audit Plan
  • Internal Audit Report

ISO 9001 Internal Audit Checklist v2ISO 9001 Internal Audit Checklist

Use this audit checklist to determine the extent to which your quality management system conforms to ISO 9001 requirements by determining whether those requirements have been effectively implemented and maintained.

This template will help you assess the state of your existing management system and identify process weaknesses. It will also allow you to prioritize corrective action based on a targeted approach.

Contents

All ISO 9001 Checklists are included in our Internal Audit Toolkit and Quality Manual Template.

Master Internal Audit ChecklistMaster Internal Audit Checklist

This audit checklist comprises tables of the certifiable (‘shall’) requirements, from Section 4.0 to Section 10.0 of ISO 9001:2015, each required is phrased as a question.

305 Audit Questions - view sample

MS Excel

  • Context of the organization
  • Leadership
  • Planning
  • Support
  • Operation
  • Performance Evaluation
  • Improvement

Easily evaluate process performance. Use the drop-menus to input audit findings, create interactive trend charts and develop improvement plans.

The answers will automatically populate and update the Results Carts, Process Report & Action Report.

Audit Results SummaryResult Charts

More than just a static checklist, we offer a practical and versatile solution for reporting and analyzing data and generating actionable insights.

  • Automated Charts - view sample
  • Conformity of the QMS to Requirements
  • Top 10 Root-causes
  • Pareto Chart of the Most Frequent Root-causes
  • Compliance Summary
  • Nonconformances
  • Entry Errors to Correct
  • Issues to Correct
  • Conformity to Requirements
  • Summary of Audit Results by Process
  • Requirements to Audit per Process
  • Improvement Action Summary

processProcess Report

Using filters and buttons, the Process Report allows you to summarize the processes and their audit results from the data collected in your audit checklist into a table for reporting or analysis purposes.

Action ReportAction Report

Allows you to summarize the root-causes and the corrective actions required for each process.

guidanceQuestion Guidance

  • Guidance and suggestions for each audit question - view sample

Supplier audit checklistSupplier Audit Checklist

The Supplier Audit Checklist evaluates the quality of a current or prospective supplier/vendor's processes, ensuring that key risks to your organization’s objectives are being controlled.

Use this checklist to streamline your supplier evaluation process, enhance risk management, and ensure high-quality standards across your supply chain.

Contents

  • Supplier Audit Checklist - view sample
  • Audit Finds Summary (automated charts) - view sample
  • Process Turtle Diagram
  • Instructions

Benefits

  • Enhanced Risk Management: Focuses on key risks, ensuring that major threats to your organization’s objectives are identified and controlled
  • Improved Supplier Quality: Provides a detailed evaluation of supplier processes, helping to ensure high-quality standards
  • Clear Communication: Uses a 'traffic light' system to visually communicate risk levels, making audit findings easy to understand
  • Data-Driven Decisions: Automated charts and summaries provide a clear overview of audit results, supporting informed decision-making
  • Streamlined Reporting: Simplifies the process of generating audit reports and management review documentation
  • Objective Scoring: Provides a consistent and objective method for scoring audit findings, ensuring fairness and transparency

This template is included in our Internal Audit Toolkit and Quality Manual Template.

chartSupplier Audit Checklist

  • 89 Questions - view sample
  • Evidence Required
  • What to look for
  • Score
  • Observations

  • Operational Control
  • Process Approach
  • Performance
  • Internal Auditing
  • Receiving Inspection
  • Improvement
  • Quality Planning
  • Design
  • Training and Competence
  • Control of Nonconforming Product
  • Part Approval
  • Management Responsibility

The answers will automatically populate and update the Audit Finding Summary and charts.

chartAudit Finding Summary

  • Automated Charts - view sample
  • Compliance Summary
  • OFIs by Section
  • Recommendations

processProcess Maps

  • Process Turtle Diagram

Supplier Self-Evaluation AuditSupplier Self-Evaluation Audit

The Supplier Self-Evaluation Audit is a comprehensive questionnaire designed for current or prospective suppliers to complete. It helps you evaluate their quality assurance capabilities.

This self-evaluation tool ensures that suppliers meet your organization’s standards before procurement decisions are made.

Contents

  • Self-evaluation Questionnaire - view sample
  • Self-evaluation Summary (automated charts) - view sample
  • Instructions

Benefits

  • Enhanced Risk Management: Identifies potential risks in supplier processes, allowing for proactive issue resolution before procurement decisions are made
  • Improved Compliance: Ensures suppliers meet ISO standards, reducing the risk of non-compliance and associated penalties
  • Informed Decision-Making: Supports procurement decisions with detailed data and automated summaries, ensuring you select suppliers that meet your quality standards
  • Stakeholder Assurance: Demonstrates a rigorous and consistent approach to supplier evaluation, building trust and confidence among stakeholders

This template is included in our Internal Audit Toolkit and Quality Manual Template.

checklistSelf-Evaluation Questionnaire

64 Questions - view sample

  • Manufacturing
  • Receiving Inspection
  • Quality System
  • Measuring and Test Equipment
  • Nonconforming Product
  • Production Process
  • Inspections

The answers will automatically populate and update the Self-Evaluation Summary and charts.

chartSelf-Evaluation Summary

  • Automated Charts - view sample
  • Compliance Summary
  • Recommendations
  • OFIs by Element

Internal Audit ChecklistISO 9001 Internal Audit Checklist v1

This is the 'Master Internal Audit Checklist' (see above) in MS Word format.

Contents

Master Internal Audit ChecklistInternal Audit Checklist

305 Audit Questions - view sample

MS Word

  • Context of the organization
  • Leadership
  • Planning
  • Support
  • Operation
  • Performance Evaluation
  • Improvement
Written in International English
Fully-editable MS Word or Excel files, compatible with Google Docs and Apple Pages
All the templates use styles – making reformatting and rebranding a breeze
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