How to prepare for an ISO internal audit

Preparing for an ISO internal audit, such as one for ISO 9001 (Quality Management System) or any other applicable standard, involves several steps to ensure that your organization's processes and procedures comply with the specified requirements. Here's a guide to help you prepare:

1. Understand the Standard:

   • Ensure that key personnel understand the requirements of the ISO standard you're auditing against. This could mean thoroughly reviewing the ISO 9001 clauses, for instance, if you're focusing on the QMS.

2. Select Competent Auditors:

   • Internal auditors should be trained in audit techniques and should understand the standard. Many organizations send their internal auditors to formal training.

3. Develop an Audit Schedule:

   • Determine the frequency of your internal audits. Some areas might need more frequent audits based on risk or previous non-conformities.
   • Communicate the audit schedule in advance so that all parties can prepare.

4. Review Previous Audit Results:

   • Familiarize yourself with previous audit findings, corrective actions taken, and any areas of concern to see if previously identified issues have been addressed.

5. Prepare Documentation:

   • Ensure that all processes, procedures, work instructions, and associated records are up-to-date and accessible.
   • Organize evidence that shows compliance with the standard, such as records of training, management reviews, or process performance.

6. Inform the Auditee:

   • Inform the departments or processes being audited about the date, scope, and objectives of the audit.
   • Ensure they are available and prepared to provide necessary information.

7. Plan the Audit:

   • Define the scope of the audit, including which processes or departments will be audited.
   • Create an audit checklist or set of questions based on the requirements of the standard.

8. Conduct a Pre-Audit Meeting:

   • A kick-off meeting can be helpful to set expectations, explain the audit process, and address any initial concerns.

9. Prepare Resources:

   • Ensure you have access to necessary resources like rooms for meetings, equipment to review electronic records, or any other tools needed.

10. Maintain Objectivity:

• Internal auditors should approach the audit with an open mind. The goal is to identify areas for improvement, not to assign blame.

11. Encourage Open Communication:

• Employees should feel comfortable discussing processes, potential issues, and suggesting improvements. Foster an environment of continuous improvement rather than one of fault-finding.

12. Prepare Physically:

• Ensure that workspaces are clean and organized. This not only aids in the audit process but also gives a positive impression to the auditors.

13. Address Concerns Promptly:

• If there are known issues or non-conformities that will come up during the audit, take proactive steps to address them or at least have a plan in place to address them.

14. Post-Audit Review:

• Once the audit is done, review the findings, and develop an action plan to address any non-conformities or areas of improvement.

15. Follow-up:

• Ensure that corrective actions are taken in response to audit findings and that these actions are effective in addressing the identified issues.

Remember, the objective of an internal audit isn't just to find faults but to ensure that the organization's management system is effective and to identify opportunities for improvement. It's a valuable tool in the continuous improvement journey.