Internal Audits Internal Audits- FIX 'EM OR FARM 'EM OUT Complaints from ISO 9000 registered sites about internal quality audit programs are common in the first 6 to 18 months after registration. Most companies that prepare for ISO registration have never operated an internal audit program before. What looked good on paper when the program was designed and installed often turns out to be disappointing. "We've invested a lot in auditor training, now a number of them tell us they want out" "There is no payback - a lot of time and effort but no results" "Our auditors don't find anything, areas are trying to wriggle out of the audit schedule" Problems with internal audit programs should hardly come as a surprise if you look at the approach taken by most companies. Internal auditors are usually recruited from existing staff by asking for volunteers or requiring each functional area to appoint someone. There is no selection process established and no experience, knowledge or skills required. Auditing is not something that just anyone is going to enjoy doing, let alone be able to do it effectively. A volunteer's enthusiasm for auditing may be desperation for escaping their regular job. Someone who is appointed may also be expendable. Typically the auditor role is a work assignment added to the individual's normal workload and not a full-time job. The vast majority of internal auditors that help launch the program have absolutely no audit experience. A new auditor receives 4 to 12 hours training maximum (which may or may not include practice audits). Once "trained", an internal auditor may perform an audit once or twice a year. Companies are so concerned about their audits being judged "independent" by the registrar, they assign auditors areas to which they are totally unfamiliar. Even auditors who prepare thoroughly for their audits have difficulty since audits are so infrequent. Usually, no adjustments are made to the auditor's regular job workload to compensate for the time required for the audits; and their audit efforts are not addressed by the company's recognition of reward systems. Most companies adopt a uniform schedule (such as- audit each area twice a year) despite the fact that the standard requires that audits be scheduled based on status and importance. Companies grind out their audits against a schedule that is oblivious to the current problems and changes the operation is undergoing. OPTION A - Consider (1) using a selection process that will produce candidates with the skills and aptitude for auditing; (2) using audits to train auditors, not lectures or articles; (3) recognizing good auditors; (4) using audit teams as a means to address independence, technical expertise and auditor time constraints; (5) treating audits as a service and areas audited as customers; and (6) using internal audits a management tool for purposes other than determining compliance with documentation. OPTION B - Consider contracting out the internal audits. When you take into account all that goes into an audit program (time and resource demands, cost, inconvenience, value, return on investment, personnel issues, corporate politics, etc.), finding a vendor to perform some/all of the audits may have advantages: (1) experienced auditors; (2) no competing for critical resources; (3) audits done on schedule; (4) fresh eyes; (5) consistent quality. Click here for Internal Auditing Resources