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Management systems such as ISO 9001, ISO 14001 and OHSAS 18001 require that internal audits are scheduled at planned intervals; they do not establish a specific frequency nor do they establish that all processes need to have an annual internal audit. Therefore, organizations must establish a frequency which is right for their business. But how often should you be having internal audits for compliance? Audits can be performed monthly, quarterly, twice a year, or once a year. It is important to understand the criteria which should be considered before defining an internal audit frequency, as not all processes should be considered on the same timeline.



Complexity of the Processes

  • Crucial or high-risk processes should be audited on a more frequent basis, perhaps quarterly or twice a year
  • Low-risk processes can be audited just once a year or every other year

Internal Audit Frequency - How Complex is your Process? - ISOUpdate.com

Maturity of the Processes

  • Well established processes that run efficiently can be audited once a year or every other year
  • Newly developed processes should be audited more frequently, for example, quarterly, until they are stable

Internal Audit Frequency - How Mature is your Process? - ISOUpdate.com

Past Experience

  • Processes that have a history of frequent deficiencies or non-conformities, should be audited on a more frequent basis, such as quarterly or twice a year
  • Processes with troubles achieving targets and objectives should also be audited on a more frequent basis, such as quarterly or twice per year

Internal Audit Frequency - What is your Processes History? - ISOUpdate.com
Other factors that may influence the frequency of auditing:

  • Budget for the execution of internal audits
  • Regulatory or customer requirements

There is no need to audit every process all at once; consider spreading out internal audits throughout the year by auditing different processes at different times. Auditing many processes all at once can be exhausting and process deficiencies or areas for improvement may be overlooked.

Internal Audit Frequency - Establish a Rational Schedule - ISOUpdate.com

 

Although most standards do not require that all processes be audited every year, it is a common practice in many organizations. Some organizations with mature and well-established management systems may wish to schedule their audits over a 3-year time plan instead of annually. Every organization needs to take a close look at each of their processes, their management systems, and other applicable requirements to establish a rational schedule which fits their needs and is right for them.


This article was written by The Registrar Company and published with permission.

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Internal Auditor Training - ISOUpdate.com

Internal Auditors require 3 types of training; formal, theoretical and practical auditor training. 

Auditor Formal Training

Formal auditor training must consist of the following:

  • Audit principles
  • Objectives of an audit.
  • Types of audits.
  • Benefits of implementing internal audits.
  • Different auditing approaches.
  • Competences of an auditor.
  • Responsibilities of an auditor
  • How to Prepare for an audit
  • How to Conduct an audit
  • Reports and Follow-up
  • Evaluations

How to prepare for the audit: Establishing the audit program, defining the elements of the management system to be audited, preparation of checklists, selecting the audit team.

How to conduct an audit: How to contact the auditee, developing the audit plan, carrying out the opening meeting, how to gather evidences, defining findings, conducting the closing meeting.

Reports and Follow-up: Categorization of findings, preparing the report, approval and distribution of the report, monitoring.

Competence and evaluation of auditors: General, personal attributes, knowledge and skills, training and work experience, maintenance and enhancement of skills, auditor evaluation.

Auditor Theoretical Training

In addition to this basic auditor training regarding the skills, knowledge and competences of auditors and how to prepare, conduct and monitor audits, it is essential for internal auditors to fully know and understand the standard that they will be auditing against. Here an additional training session will be required. The most frequent standards that organizations use that require the execution of internal audits are ISO 9001, ISO 14001 and OHSAS 18001; however, the standards use will depend on the needs and objectives of each organization.

Auditor Practical Training

After an auditor has received this theoretical auditor training, they can now begin their practical training by participating in an internal audit. This practical auditor training usually is done following these steps:

  1. Participate in at least 2 audits as an observer or auditor in training. Here they usually participate in the planning stage of the audit but when the audit is being conducted they only observe; they do not take any actions in any of the activities during the audit.
  2. Participate in at least 2 internal audits with supervision of a lead auditor. Here they take a more active role in the preparation and in the conducting of the audit.
  3. After having successfully carried out a number of internal audits and having sufficient skills, knowledge and experience as an internal auditor, he or she may start to conduct audits as an internal auditor leader. This leader takes full action in all of the stages of the audit.

Note: Training can vary. Each organization may decide to train their auditors in a way that is best for them. It is important for auditors to receive a constant and progressive auditor training that allows them to acquired the necessary skills and knowledge to conduct objective and impartial audits that meet the objectives for which they audits are carried out for.


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