A PowerPoint course that takes internal auditors through planning, preparing and carrying out an audit, then recording findings and following them up, with audit principles and question techniques.

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Further Reading

Further guidance on internal auditing:

• Conducting an Internal Audit
• Auditor Competence and Independence
• Audit Findings and Reporting
• Internal Auditing knowledge base

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How to Download

This file is included in the alphaZ subscription. This presentation is also included in the ISO 9001, ISO 14001, ISO 45001, ISO 27001, ISO 22301, ISO 37001 and ISO 42001 toolkits, including the integrated toolkits that combine them, so the toolkit route gives you this file plus everything else you need in one download.

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Internal Audit Training Presentation

The Internal Audit Training Presentation is a PowerPoint course for training staff to carry out internal audits of the Integrated Management System (IMS). It explains what an internal audit is and why audits are carried out, then works through planning, preparing for and conducting an audit, gathering evidence, recording and reporting findings and audit follow-up, and closes with a link to a video tutorial.

It supports the internal audit requirements of the ISO management system standards (clause 9.2), including the audit programme, objective and impartial auditors, and the records kept as evidence of audits. It refers to a blank audit checklist for preparing each audit, and to IMS1-5-2 Control of Nonconforming Outputs, Problems and Complaints for dealing with findings.

What the Presentation Covers

• What an Internal Audit Is - the purpose of internal audits, the ISO definition of an audit, adequacy and compliance audits, and why audits are carried out
• Types of Audits - horizontal and vertical audits, first, second and third party audits, management system and process audits, and scheduled and unscheduled audits
• The Auditor - who can carry out internal audits, the knowledge and qualities an auditor needs, the skills to develop and the principles of auditing
• Audit Planning and Preparation - objectives, criteria and scope, audit frequency based on risk, document review, and preparing and developing audit checklists
• Performing the Audit - the opening meeting, conducting the audit, interviewing and question techniques, examining documented information, observing activities and establishing objective evidence
• Recording and Reporting - audit findings, audit records, raising issues and non-conformances, and sharing the completed checklist or audit report
• Audit Follow-up - verifying corrective action, follow-up audits and closing out issues

Built for Internal Audit Training

• Covers the audit process from planning to follow-up, in the order an auditor works through it
• Includes practical question techniques for interviews, such as hypothetical, inverse and comparison questions
• Explains how to report findings diplomatically, keeping non-conformance for significant findings
• Shows how findings are logged on the issues and actions register, the significant problem form and the improvement request form
• Editable in PowerPoint, so slides can be adapted to the organisation's own procedures

Who Needs an Internal Audit Training Presentation?

The presentation is for managers and IMS Leads training staff to become internal auditors, and for anyone new to auditing who needs to understand how an audit is planned and carried out. It suits small and medium-sized businesses that train their auditors in-house, and can be used for group sessions or self-study.

Included in the ISO 9001, ISO 14001, ISO 45001, ISO 27001, ISO 22301, ISO 37001 and ISO 42001 Toolkits

This presentation is part of the ISO 9001, ISO 14001, ISO 45001, ISO 27001, ISO 22301, ISO 37001 and ISO 42001 toolkits, including the integrated toolkits that combine them.

Using the Presentation

Run the presentation as a training session for new internal auditors, using the organisation's own audit schedule and checklists as examples. Follow it with a practice audit using the blank audit checklist, and keep a record of the training as evidence of auditor competence.

Pairs with Audit Forms and Registers

Plan audits on ER11 Audit Schedule and record them on F-Q2 Audit Checklist, with F-Q31 Audit Report where a separate report is needed. Findings are logged on F-Q10 Significant Problem / Incident / Complaint Form and F-Q16 Improvement Request, as the presentation explains, and Internal Auditing Certificate Template can be given to staff who complete the training.