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Writing a good qms internal audit report.
In ISO 9001 , the process for internal audits is one of the most important ways for you to ensure that your quality management system (QMS) is functioning properly and efficiently, but what is the role of the audit report in this process? Many people who are not well versed in audits or the overall quality management system may not fully understand how important an audit report can be. Here is the information you need to know.
What is the importance of an audit report?
An audit report is the official record of an audit – the only official record. All of the notes taken by the auditors, all of the comments made by employees during the audit, all of the information taken by the process owners during the audit, and all of the statements made at the closing meeting really don’t amount to anything official. If something is not recorded in the audit report, it doesn’t really count. Remember that it will not only be the people who were audited or were at the closing meeting that will read the audit report; these are also used in management review by people who were not part of the audit.
This is why the audit report from, e.g., a third-party certification body is so detailed; the report needs to record all the information necessary to detail any corrective actions needed and justify why your company is compliant with the ISO 9001 standard. The audit report needs to be the complete recorded evidence of all aspects of the audit. In many ways, an audit without a good report is not really an audit.
What should be in an audit report?
So, this brings up the question of what makes a good audit report. What needs to be included, and what should be eliminated? When looking at this, it is important to remember again that the audit report is the one official report of the audit, and therefore must stand on its own. The best practice for audit report content is included in ISO 19011, guidelines for quality and/or environmental management systems auditing. This may be overkill for a small company, and can be reduced if required, but it is a good start when considering what you want to include in your audit reports.
Here is a list from ISO 19011 of the seven items that should be included in an audit report:
- Audit Objective – What was the purpose of the audit? Was this a regular audit of a process, or a follow-up on a corrective action? All audits are done to demonstrate compliance with the requirements, but was there anything else that was being done?
- Audit Scope – What were the boundaries of the audit? If there is more than one manufacturing line using the process, how many were audited? Was a night shift or evening shift excluded?
- Audit Client – Who was the process owner or owners that the audit was performed for?
- Audit Dates and Places – It is important to be able to demonstrate the timeframe when all of your audits of the system take place. Also, for management review, it might be important to know the chronology of the audits that are being reviewed.
- Audit Criteria – What were the processes audited against? For instance, this could be the ISO 9001 standard, internal company procedures & policies, or customer requirements.
- Audit Findings – What are the results of the evidence found? Some companies discriminate between major findings (where there is a systemic failure) and minor findings (such as one or two mistakes that were made, but that were not universal), but this is not necessarily the case. Some companies include positive findings and best practices that can be shared throughout the organization in this section as well. It is important to include the audit evidence for these findings, such as the contract numbers that were reviewed, but leave out the names of people who were audited. The findings are about identifying corrective action, not assigning blame.
- Audit Conclusions – What is the summary of the outcome of the audit? Were there too many findings to determine if the process was properly implemented? What is the assessment of the effectiveness of the QMS from this audit? For some busy executives who just want the summary of the audit, this might be the one and only thing they read in the report, leaving the details to the process specialists.
Additionally, ISO 19011 includes some optional items; the following could be applicable to an internal audit if deemed to be useful:
- Audit Plan – This is the plan of who is auditing what processes, and when. For a large audit with multiple auditors, this can be useful.
- Summary of Audit Process & Obstacles – This is especially important to include if there were some obstacles, such as scheduling for an absent process expert, which hindered the audit.
- Any Areas not Covered – If you needed to exclude something you intended to cover, like a second shift, this should be noted for future reference.
- Disagreement between Auditor and Auditee – If the process owner does not agree that the audit evidence presented is non-conforming, as specified by the auditor, then this should probably be noted in the report.
- Opportunities for Improvement – Like the positive finding mentioned above, many companies will use recommendations for improvement as a way to document the cases when an auditor has identified something that is not non-conforming, but could be improved.
- Agreed Follow-up Plans – If an agreement was made on how to address a non-conformance, recording it in the report can be helpful.
For more on using ISO 19011 to improve your internal audit process, see ISO 9001 internal audit in 13 steps using ISO 19011 .
An audit report should not include surprises
One final thing to note is that nothing in the report should come as a surprise to the auditees who read it. If information was not presented at the closing meeting, it should not find its way into the audit report. Use your audit report to document what happened in the audit, make it easy to understand, and you will find that your audit information will benefit your efforts to improve your QMS.
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How to write an internal audit report for ISO 27001
As part of the management system requirements, Clause 9.2 details what must be done regarding internal audits. This includes a requirement for retaining documented evidence of the audit results, and this is done by way of an audit report.
What is an ISO 27001 internal audit?
An ISO 27001 internal audit involves a competent and objective auditor reviewing the ISMS or elements of it and testing that:
- The requirements of the standard are met,
- The organisation’s own information requirements and objectives for the ISMS are met,
- The policies, processes, and other controls are effective and efficient.
In addition to the overall compliance and effectiveness of the ISMS, as ISO 27001 is designed to enable an organisation to manage it’s information security risks to a tolerable level, it will be necessary to check that the implemented controls do indeed reduce risk to a point where the risk owner(s) are happy to tolerate the residual risk.
Internal Audit For ISO 27001 Requirement 9.2
Clause 9.2 Internal audit mandates:
“The organization shall conduct internal audits at planned intervals to provide information on whether the information security management system:
a) conforms to
- the organization’s own requirements for its information security management system; and
- the requirements of this International Standard;
b) is effectively implemented and maintained.
The organization shall:
c) plan, establish, implement and maintain an audit programme(s), including the frequency, methods, responsibilities, planning requirements and reporting. The audit programme(s) shall take into consideration the importance of the processes concerned and the results of previous audits;
d) define the audit criteria and scope for each audit;
e) select auditors and conduct audits that ensure objectivity and the impartiality of the audit process;
f) ensure that the results of the audits are reported to relevant management; and
g) retain documented information as evidence of the audit programme(s) and the audit results.”
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How do ISO 27001 internal audits work?
Internal audits for ISO 27001 work by following an audit programme that identifies the audits to be carried out before certification and during each certification period.
They require the selection of a competent and objective auditor to undertake each internal audit verifying compliance with the requirements of the standard, the organisation’s own information requirements and objectives for the ISMS, and that the policies, processes, and other controls are effective and efficient.
Activities included within an internal audit:
Documentation review
- Evidential sampling
- Interviewing staff with key information security responsibilities
- Interviewing other staff (and possibly contractors)
- Assessing the findings
- Writing the audit report.
How often do I need to conduct an audit?
Whilst it is not clear within ISO 27001 itself as to how often you must perform internal audits. It is expected that the audit programme follows the same requirements as those placed upon the certification bodies for conducting their audits following ISO/IEC 27006:2015 – Requirements for bodies providing audit and certification of ISMSs.
Within ISO 27006 requirement 9.1.5.2 e, states that the audit programme “covers representative samples of the scope of the ISMS certification within the three year period.”
Therefore, you need to conduct internal audits covering the entire standard, at minimum, over the certification period (3 years for UKAS accredited certificates).
You could do this as a single audit, but it is more commonly broken down into smaller audits over the 3-year period.
It is also important to audit some areas more frequently if the risk levels are high or the area is subject to frequent changes.
It’s recommended that you audit the management system requirements (Clauses 4-10) annually. This can be tied into your ISMS management review, which also has to be conducted annually.
Within ISMS.online, we provide a pre-built Audit Programme work area which includes:
- Activities for 2 recommended audits before certification
- A plan of internal audits for the first 3-year certification period
- Placeholders for your external certification and periodic audits
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Why do I need to create a report for an internal audit?
The standard requires you to document the audit results – Clause 9.2 of ISO 27001 includes the requirement to “retain documented information as evidence of the ……… audit results”.
This is done within an Audit Report.
What needs to be done when preparing the report?
Obviously, before you can document the audit report, you have to plan and carry out the audit. You can then document the findings in the report.
Get started with your ISO 27001 audit plan
For each audit, you will need to plan:
- What the audit is going to cover – which section(s) of the standard, locations, business processes etc
- Who the auditor will be – must be competent and objective.
- When the audit is conducted, it must not have a significant, adverse impact on the organisation’s operation.
- The method(s) of audit – documentation review, sampling, interviews etc
- Who will need to be involved in the audit?
Every audit will require the review of relevant documentation, including policies, procedures, standards, and guidance relevant to the area(s) of the standard being audited. It is good practice to advise those being audited of the areas to be covered to ensure easy and timely access to the relevant documentation.
In ISMS.online, this is made easy by either having the documentation within the system or linking it within the standard’s relevant section.
Evidential sampling & interviews
Most audits will require the sampling of evidence to a lesser or greater degree. This may include interviewing relevant key staff, end users, and sometimes even temporary staff and contractors.
Sources for sampling may include, for example:
- Interviews with employees and other persons
- Observations of activities and the surrounding work environment and conditions
- Documents, such as policies, objectives, plans, procedures, standards, instructions, licenses and permits, specifications, drawings, contracts and orders
- Records, such as inspection records, minutes of meetings, audit reports, records of the monitoring programme and the results of measurements
- Data summaries, analyses, and performance indicators
- Information on the auditee’s sampling plans and the procedures for the control of sampling and measurement processes
- Reports from other sources, e.g. customer feedback, external surveys and measurements, additional relevant information from external parties and supplier ratings
- Databases and websites
- Simulation and modelling
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Once the data gathering for the audit has been done, it will be necessary for the auditor to assess and analyse the findings to determine any nonconformities or opportunities for improvement.
Findings are normally categorised as one of the following:
- Major nonconformity
- Minor nonconformity
- Opportunity for improvement
Some certification bodies also use:
- Observation – where there are early indications a minor nonconformity may exist or may develop if no action is taken.
- Positive point – awarded either where an organisation has gone beyond recognised good practice or where there has been significant improvement in an area since the previous audit.
Having analysed the findings, the audit report can now be prepared and presented to the person or team responsible for the ISMS for review and follow-up.
How is an internal audit report prepared?
The audit report must be prepared as documented information , but this doesn’t mean it has to be a separate Word or PDF document. Within the ISMS.online platform , we try to encourage the avoidance of creating such documents but instead provide a work area in which the report can be directly documented. This area offers additional functionality including the ability to easily link to other work areas, policies, controls, risks, corrective action and improvement “tickets”, and more.
Create an executive summary
The executive summary is useful so that senior management can quickly and easily see an overview of the findings, including any possible critical issues, trends, and opportunities for improvement. This can then be easily linked to the ISMS management review following Clause 9.3 .
This will usually include:
- A general overview of the operation of the areas of the ISMS covered in the audit.
- A numerical summary of the categories of findings.
- The highlighting of any urgent/critical findings.
- A brief description of the next steps to be taken to address any findings.
Introduce terminology used
To ensure a common understanding of the report’s findings, it is necessary to include the definitions of some terminology used that is either specific to the organisation, the audit process, or the standard. Remember, not all who may need to read, assess and understand the report, will necessarily understand all of the terminology used.
Describe the Audit Plan
This will include:
- The scope of the audit – area(s) to be covered, locations, staff, business processes etc
- The name of the auditor(s)
- The dates, times and locations of the audit
Describe facts found
For each section of the audit, you should document the findings, including notes of any evidential samples taken.*
It is good practice to record compliance and positive points and document any nonconformities or opportunities for improvement.
The findings should record the facts found relevant to the ISMS and the standard and should not include opinion or conjecture beyond reasonable extrapolation.
*Note – if evidential samples contain personally identifiable information , it is usual practice to pseudonymise or anonymise the data in line with privacy legislation requirements such as GDPR.
Document nonconformities and opportunities for improvement
Where nonconformities and opportunities for improvement are identified, these must be clearly documented so that corrective actions and improvement items can be recorded and managed through the organisation’s recognised processes as documented in accordance with Clause 10.1 Nonconformity and corrective action; and 10.2 Continual improvements.
Describe recommendations
As this is an internal audit report, it is allowable for an auditor to make recommendations about how an organisation might address findings. Ultimately the decisions relating to corrective actions and improvements must be made by the relevant individuals or teams responsible for the ISMS and information security.
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How ISMS.online makes reporting easy
The ISMS.online platform dispenses with the need for creating Word documents, PDFs and spreadsheets by providing an all-in-one-place solution for easily documenting and linking all aspects of the ISMS, including the documentation of audit reports.
ISMS.online includes a pre-built audit programme project that covers both internal and external audits.
The pre-built audit programme includes:
Each internal audit activity contains a template for a combined audit plan and report.
Prior to conducting the audit, the template acts as the audit plan – including which areas are to be audited and providing prompts for recording when the audit will be conducted and by whom.
During or after conducting the audit, the auditor can write notes directly into the templated audit activity.
As well as simply providing the audit activity templates, ISMS.online provides the ability to quickly link to other work areas within the platform which means that linking audit findings to controls, corrective actions and improvements, and even to risks is made easy and accessible. This will enable you to easily demonstrate to your external auditor the joined-up management of identified findings.
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How to Write an Internal Audit Report for ISO 27001
Internal audits are essential for maintaining ISO 27001 compliance. The requirements for writing an internal audit report are outlined in Clause 9.2 of the Standard.
But how do ISO 27001 audits work, and why do you need to document the results? We explain everything you need to know in this blog, including our top tips for writing an ISO 27001 internal audit report.
What is an ISO 27001 internal audit?
An ISO 27001 internal audit is a thorough examination of an organisation’s ISMS (information security management system) to ensure that:
- It meets the requirements of ISO 27001;
- It meets the organisation’s aims and objectives; and
- The policies, processes and other controls work as intended.
An internal audit is one of two assessments that organisations must complete to achieve ISO 27001 compliance – the other being the certification audit.
Each type of audit is conducted in a different manner and for a different purpose. The certification audit is carried out by a third party, who assesses the ISMS to determine whether the organisation should be certified.
By contrast, the internal audit is conducted by an organisation’s staff, who use the results to inform future decisions regarding the ISMS.
The internal audit report is therefore a crucial part of the process. It helps the organisation identify weaknesses that could jeopardise the organisation’s compliance status and the security of its data.
The organisation should use the results of the audit to make improvements before the certification audit.
Internal audits should be repeated at regular intervals to ensure that the ISMS remains compliant and effective.
Why do I need to create a report for an internal audit?
Organisations are required to document their ISO 27001 internal audits so that they can:
- Uncover nonconformities before malicious actors discover them;
- Ensure a strong security stance by identifying areas that require attention before a security event;
- Demonstrate and inform management commitment;
- Assist staff understanding and awareness; and
- Inform continual improvement.
Preparing your ISO 27001 internal audit report
An ISO 27001 internal audit report is typically split into four sections.
1. Executive summary
The executive summary gives decision makers an overview of the organisation’s compliance status and any nonconformities that must be addressed. It might also contain:
- A summary of the findings;
- Critical issues; and
- Corrective actions and opportunities for improvement.
2. Describe the audit
The report audit should contain relevant information about how the audit was conducted. This should include the audit criteria, but might also specificy details of the audit’s scope, such as areas that were covered, locations and relevant staff, as well as the key findings of the assessment.
Findings shouldn’t be limited to areas of non-compliance; you should also describe areas of strength and other positive notes.
This can be listed either as its own section or as an addition to the executive summary.
3. Document nonconformities and opportunities for improvement
One of the main objectives of the internal audit is to identify areas where the organisation’s practices fail to meet the requirements of the Standard or the organisation’s needs.
These should be documented in the audit report so that corrective actions and improvements can be recorded and managed.
4. Define corrective actions
Because the internal audit is intended to bolster the organisation’s compliance posture, the internal auditor must conclude with a list of corrective actions.
These actions will follow on from the identified nonconformities, stating the steps that the organisation must take to close compliance gaps.
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How to Write a Good Audit Report: 4 Key Resources to Follow
Want to learn how to write a good audit report that is digestible and effective at motivating stakeholder action? Elevate your next audit report with our reporting resources package, with proven tactics to boost clarity and business impact.
What Is Considered a Good Audit Report?
A good internal audit report is one that clearly communicates the objectives, scope, and findings of an audit engagement, and in doing so, motivates its readers to take internal audit’s recommended actions.
What Should Be in an Audit Report?
Content matters when learning how to write a good audit report. Our understanding of audit report contents is based on The IIA Standard 2410 - Criteria for Communications. In the internal auditing standards, we are told what the report must and should contain. Since we are all working from the same auditing standards, audit reports have a basic structure that most internal auditors follow. The audit report generally includes the following elements:
- Scope and objectives (must).
- Results (must).
- Recommendations and action plans (must).
- Conclusions (must).
- Opinion (should).
- Acknowledgment of satisfactory performance (encouraged).
The report typically starts with a description of the scope and objectives. This section of the report establishes what the audit was about, why the audit risk areas mattered to management, and what the team included in the audit.
Next, the report details the issues that were found in the results section. For most audit departments, the issues, recommendations, and action plans are combined for each of the issues noted.
The conclusions section of the report allows the audit team a chance to make comments that extend beyond the individual issues in the results section. The conclusion section is also where most reports include the internal auditor’s opinion. The end of the report is a good opportunity to include a positive note acknowledging areas where management did well.
How Do You Write a Good Audit Report?
A good internal audit report conveys a clear message to the reader. Looking back at The IIA Standard 2410, the guidance is written about communication, not reporting. If we are writing a report as a communication tool, then the report should be free of judgment, written in a tone that appeals to the reader instead of making accusations. Audit reports should be brief and to the point. Norman Marks once said, “The length of the audit report, if one is even needed, should be just enough to tell the consumers of the report what they need to know – and no more.” The report should also steer clear of any jargon since the report may go to external parties. As long as the focus remains on communicating with management about the risks and control environment in the area that was audited, you will write a good report.
We’ve collected four of our top resources on how to write a good audit report from our Audit Management Playbook , including Tips for Writing an Effective Executive Summary, 10 Best Practices for Writing a Digestible Audit Report, and the Audit Reporting Checklist — and you can download the full Audit Management Playbook below.
4 Tips for Writing an Effective Executive Summary
The first step to writing a great audit report is ensuring its contributors understand the desired outcome of the report. For an audit report to make an impact on the business, it must motivate leadership to act upon internal audit’s recommendations.
1. Know Your Readers
Understand who will receive the report. The executive summary should give an overview of the detailed report that resonates with every executive officer who reads it, so it is important to understand your organization’s culture. Some organizations may be more cross-functionally collaborative, while others will be more compliance-oriented. Not every stakeholder will be a technical subject matter expert. For example, if your report is going to the CFO and you have IT audit findings, make sure that you don’t have to be an IT expert to understand what the issue is.
2. Cut the Fluff
The executive summary should be 1-2 pages. Aim for brevity as much as possible. Consider the best way to summarize each point, as there will be more takeaways in the detailed report. Wherever possible, use numbers and percentages to help drive points home. Eliminate any unnecessary descriptive adjectives and adverbs.
3. Explain It to the Company
Whether the audit report is presented to members from operations or IT, the executive summary should be written so that every individual can easily understand the terminology and sophistication level of the writing. A good rule of thumb is to try to explain every point in a way that all levels of experience and expertise at your company would understand.
4. Make It Digestible
For any key point, whether it is a big, scary finding or a positive one, bring the reader’s attention to the information as concisely as possible. Decide on your most important takeaways or messages, then leverage visual formatting to draw your audience’s eyes to each message.
Writing the Detailed Report
Depending on the audit, the expectations set during the opening meeting, and the findings, the contents of the detailed report may vary. If there were more findings and complexity in the audit than anticipated, you might need to include more detail.
The contents of the detailed report are as follows:
- Background or Overview of the Audit Area Reviewed.
- Scope Approach (what we looked at).
- Audit Period (what period was included).
- Findings Summary (positive findings; issues or problems).
- Detailed Observations (include the 5C’s: Criteria, Condition, Cause, Consequence, and Corrective Action Plans/Recommendations)
10 Best Practices for Writing a Digestible Audit Report
1. Reference Everything.
Avoid unverifiable claims and make sure to bridge any gaps of information by referencing where you obtained key facts and figures.
2. Include a Reference Section.
Use indices, appendices, and tables in this section is very helpful.
3. Use Figures, Visuals, and Text Stylization.
If you can put a number behind a fact or use a percentage to describe it, do so. Circle or highlight the key points you want to convey, as well as bold, underline, italicize, or use color to draw attention to key facts and figures. Use tables or graphs to summarize and draw attention to key trends or important data, wherever possible.
4. Note Key Statistics about the Entity Audited.
Noting key statistics about the entity audited in the Background/ Overview, if applicable, puts things in perspective and gives context and relevance to your audit findings.
5. Make a “Findings Sandwich.”
Layer a positive finding, followed by an issue, followed by a positive, and so on. Try to end the Findings Summary on a positive note.
6. Ensure Every Issue Includes the 5 C’s of Observations.
Criteria, Condition, Cause, Consequence, and Corrective Action Plans/ Recommendations.
7. Include Detailed Observations.
Detailed Observations are also a good place to include any additional facts and figures
8. Always Perform a Quality Assurance Check.
Seek someone who does not have a direct connection to the audit so they can provide fresh eyes. If possible, ask someone from the department or function audited to review the report as well.
9. Avoid Blame – State the Facts.
Aim to preserve the relationship with audit clients by being as objective as possible and avoiding blame. Simply state issues and recommended actions.
10. Be as Direct as Possible.
Avoid soft statements when making recommendations (such as “Management should consider…”) and opt for solid recommendations and calls to action instead.
Audit Reporting Checklist
To elevate your next audit report, follow our audit checklist on how to write a good audit report to ensure that it clearly communicates the objectives, scope, and findings of an audit engagement, and in doing so, motivates its readers to take internal audit’s recommended actions.
Looking for more resources to take your internal audit team to the next level? Download the full in-depth Audit Management Playbook below and get more best practices, checklists, and tools for each stage of the audit lifecycle — planning, fieldwork, reporting, issue management , and scaling audit practices.
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How to Write an Audit Report
Last Updated: March 6, 2023 References Approved
This article was co-authored by Michael R. Lewis . Michael R. Lewis is a retired corporate executive, entrepreneur, and investment advisor in Texas. He has over 40 years of experience in business and finance, including as a Vice President for Blue Cross Blue Shield of Texas. He has a BBA in Industrial Management from the University of Texas at Austin. There are 9 references cited in this article, which can be found at the bottom of the page. wikiHow marks an article as reader-approved once it receives enough positive feedback. This article has 25 testimonials from our readers, earning it our reader-approved status. This article has been viewed 432,682 times.
An audit report is the formal opinion of audit findings. The audit report is the end result of an audit and can be used by the recipient person or organization as a tool for financial reporting, investing, altering operations, enforcing accountability, or making decisions. An effective audit report is essential to making sure the results of your audit are presented in a way that is useful to the party receiving the audit.
Preparing to Write an Audit Report
- Illustrating non-conformities: The main goal of any audit report is to illustrate where the organization does not conform with whatever standard, rule, regulation or objective that it is supposed to. It is important to clearly identify the non-conformity, as well as the standard it does not conform to. It is then important to demonstrate which evidence you used to confirm the non-conformity. The goal is that each non-conformity will contain enough information so that the receivers of the audit report can change it. [1] X Research source
- Outlining positives: An audit report should not just include negatives. This is especially true for compliance reports, and operational audits. This allows the organization to focus on areas that are working and apply these to other areas. For example, if you are conducting a compliance audit to ensure an organization meets training requirements, you may say, "The audit reveals the current training program has exceeded requirements on-time and on-budget".
- Opportunities for improvement: Beyond indicating things that are not conforming to requirements (non-conformities), it is important to also indicate high-risk areas, or areas that may be in compliance but are at risk of eventually not complying, or could be improved. [2] X Research source
Tip: Make sure to define all the terms and abbreviations you use, as the standard forms of communication have potential to change.
- Financial Audit: This is the most commonly known form of audit and refers to the systematic review of a company's financial reporting to ensure all information is valid and conforms to GAAP standards.
- Operational Audit: An operational audit is a review of an organization's usage of resources to ensure those resources are being utilized as efficiently and effectively as possible to accomplish the mission and goals of the organization.
- Compliance Audit: A compliance audit is performed to determine if an organization or program is operating in according with laws, policies, regulations, and procedures.
- Investigative Audit: These are typically commissioned when there is an assumed violation of rules, regulations, or laws, and may involve a blend of all the previously mentioned types of audit.
- A clean opinion is used if an entity's financial statements are a clear representation of an entity's financial opinion.
- A qualified opinion is used when there were scope limitations on the auditor's work. Scope limitations are restrictions on the audit caused by the client or other events that do not allow the auditor to complete all aspects of his or her audit procedures.
- An adverse opinion is used if financial information was misstated.
- A disclaimer opinion can be triggered by several different situations. For example, the auditor may not be independent or there are concerns with the auditee. [4] X Research source
Beginning Your Report
- Provide perspective for the reader, giving a fair balance of the positive and negative results of the audit.
- Be precise, and avoid redundant phrasing and inexact terminology. In interest of clarity, opt for shorter sentences over longer ones. A limit of 15 to 18 words is recommended in business writing. Also, avoid intensifiers like clearly, special, key, and reasonable as these lack precision.
- Do not use passive voice. Passive voice can be difficult to read. Instead of saying "No irregularity of operation was found" say "The audit team found no evidence of irregularity."
- Use bullet points, which break up difficult information and make it clearer for the reader.
- Use gender neutral terms.
- Do not use audit buzzwords. Buzzwords are ambiguous, overused phrases like "generally improved," "significant risk," and "tighten controls."
- For example, if you are auditing the processes for a particular department of an organization, you may consider breaking the department up into several key sections and reporting findings that way.
- Why was the audit conducted?
- What was included and not included in the audit?
- What was the time period audited?
- What were the audit objectives? [6] X Research source
- A brief description of what was audited, objectives, scopes, and time periods.
- Statements of significant action plans.
- Overall statements of concerns and conclusions.
- Overall audit report rating. [8] X Research source
Writing Your Results and Recommendations
- Criteria is an explanation of management goals and the standards use to evaluate the program, function, or activity audited.
- Condition is how effectively department management is meeting goals and/or achieving standards. Goals can either be fully achieved, partially achieved, or not achieved.
- Cause is a statement on the reason things have gone well or poorly. Possibilities include inadequate procedures, procedures not being followed, poor supervision, or unqualified employees.
- Effect states the result of the conditions, in quantifiable terms. Is the effect increased risk or exposure? Is it monetary cost? Is it poor performance? This should be addressed when you cover effect. [10] X Research source
- Be positive. Focus on what is going right at the moment, and how the good aspects of the entity can be applied in ineffective areas.
- Be specific. Be very clear as to what specific aspects do not adhere to protocol, and to what concrete steps could be potentially implemented to ensure compliance.
- Identify who should act. Does the company need better employee performance or should management be picking up the pace? Make clear who needs to make changes.
- Keep recommendations brief. Be succinct - only include details that are necessary to your point. [11] X Research source
- Include a cover page. The cover page should be three or four lines, and outline the subject of the audit report and the type of audit.
- A memo should follow the cover page. The memo should be one or two short paragraphs overviewing who and what was audited, who has received or is receiving the report, and plans for future distribution.
- A table of contents follows the memo, and it contains a catalogue of chapters, page numbers, sections, and suggestions of the audit.
- The report should be written in plainly-worded, non-technical language and use proper grammar and paragraph organization.
- Reports are organized by chapters, each with a title, and by sections and subsections, each marked with a heading. Headings should go from general to more specific. [12] X Research source
Audit Report Template
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- ↑ http://www.qualitydigest.com/june07/articles/05_article.shtml
- ↑ https://www.cmu.edu/finance/audit-services/internal/types-of-audits.html
- ↑ https://www.icaew.com/-/media/corporate/files/helpsheets/technical/aaf-guides/audit-report-disclaimer-of-opinion.ashx
- ↑ https://pcaobus.org/oversight/standards/auditing-standards/details/AS3101
- ↑ https://audit.mit.edu/guidance-resources/what-expect/what-are-audit-ratings
- ↑ https://financialcrimeacademy.org/reporting-recommendations-and-findings/
- ↑ https://www.iiafiji.org/resources/bbc5020b-a5ab-4388-b633-83813515c797.pdf
- ↑ https://www.anao.gov.au/work/performance-audit/implementation-audit-recommendations
- ↑ https://www.wallstreetmojo.com/audit-report-format/
About This Article
To begin an audit report, write an "Introduction" that gives background information. Then, add a "Purpose and Scope Methodology" section that outlines your goals and explains what you included and excluded from your report. After this section, add your disclaimer, the "Statement on Auditing Standards," and end with your "Executive Summary." This summary should explain your findings, ratings, and any action that will be taken. Throughout the report, use concise language and bullet points. For tips from our Financial reviewer on what to include in different types of audits, keep reading! Did this summary help you? Yes No
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QMS Internal Audit Report Word Template | ISO 9001
Introduction.
An Internal Audit Report is a document generated by an organization's internal auditors that details the findings of an audit. It describes the results of an audit conducted by an organization's internal auditor. In addition, it provides information about how well the company's systems and processes are working and what needs improvement so they can improve them in addition to being used internally within organizations or departments.
The purpose of a QMS internal audit is to assess the effectiveness of a company's systems and processes. QMS Internal audits can be conducted on any aspect of a business, from financial systems to quality management systems (QMS). Internal auditing is a critical process for ensuring compliance and effectiveness when it comes to quality management systems. Internal auditing is a process by which an organization evaluates and improves its quality management system.
It involves reviewing records, interviewing employees, and performing other tests to identify areas of improvement. In addition, internal auditing aims to ensure that the quality management system is effective and compliant with all applicable standards and regulations.
QMS Internal Audit Reports are an essential part of any business. They help ensure that all aspects of the business are functioning correctly and that employees follow company policies. In addition, there are some key objectives that Internal Audit Reports should achieve, including identifying areas where improvements can be made, ensuring compliance with regulations, and preventing or detecting fraud. One of the key objectives of Internal Audit Report Word Template is to identify areas where improvements can be made. This may include finding ways to improve efficiency or reduce costs. It may also involve identifying areas where the company is not compliant with regulations. By pinpointing these areas, the company can correct them and avoid any potential penalties.
The Seven Processes of an Internal Audit Report:
An Internal Audit Report Template is a comprehensive report that documents the findings of an internal audit. The report outlines the seven processes followed during an internal audit: planning and scoping, risk assessment, data collection and analysis, findings and recommendations, management response and action plan, reporting, and follow-up. We will discuss each of these processes in detail.
- Planning and Scoping: The planning and scoping process is the first step in an internal audit. This process involves developing a plan for the audit, including the objectives of the audit, the scope of the audit, and the resources that will be needed. The objectives of an Internal Audit Report should be specific and measurable.
- Risk Assessment: In the risk assessment , the internal auditor will identify any potential risks that could impact your company's quality management system. It is essential to address these risks to maintain compliance and ensure the safety of your customers. The following are some potential risks: environmental concerns (e.g., pollution or contamination).
- Data collection: Data collection is an essential part of any Internal Audit Report. By collecting data, auditors can ensure that they completely understand the system and its vulnerabilities. When collecting data for an internal audit report of a QMS, auditors should focus on three key areas: process product. In the process area, auditors should contain information about the steps involved in each process and how they are linked together. In the product area, auditors should collect information about the types of products.
- Analysis: An internal audit report template of QMS is a document that provides an overview of an organization's quality management system (QMS). It includes an analysis of the strengths and weaknesses of the QMS and recommendations for improvement. The purpose of an internal audit report template is to help management improve the effectiveness of the QMS and ensure compliance with regulatory requirements.
- Organizational structure and management responsibility.
- Quality policy and objectives.
- Process design and control.
- Product realization.
- Measurement, analysis, and improvement.
- Findings and Recommendation: An Internal Audit Report of QMS is a document that outlines the findings and recommendations of an organization's quality management system (QMS). This report is typically compiled by a team of internal auditors, who conduct an independent review of the QMS to assess its effectiveness and compliance with governing regulations and standards. The findings and recommendations in this report can help organizations improve their QMS and ensure compliance with applicable requirements.Some of the essential findings and recommendations in an Internal Audit Report of QMS may include:
- The organization's QMS does not comply with all applicable regulations or standards.
- The organization lacks a comprehensive quality management policy or procedure manual.
- The organization has not implemented a process for identifying and addressing noncompliance issues.
- Management Response and Action Plan: The management response and action plan are critical for any internal audit report t emplate . It outlines the steps that the management team plans to take to address the findings and recommendations of the internal auditor. When creating a management response and action plan, it is essential to remember that the goal is to implement corrective actions. The project should be concise and easy to understand so that everyone involved can take quick action. It should also be tailored to the specific needs of your business.
- The reporting and follow-up: The reporting and follow-up in an Internal Audit Report of QMS are critical to ensure that any nonconformities are addressed, and corrective action is taken. The information should be sent to the appropriate people within the organization to act on the findings. Any recommendations for improvement should also be considered.
Benefits of Internal Audit Report Template:
Internal Audit Reports can provide several benefits for businesses, including:
- They help identify areas where your QMS needs improvement.
- They can help you comply with regulatory requirements.
- They can improve communication and collaboration within your organization.
- They can boost employee morale and motivation.
- They can help you save money on compliance-related costs.
- They can make it easier to achieve certification or registration status.
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ISO Internal Audit Explained [with Procedures & Checklists]
What is an iso internal audit.
The purpose of an ISO internal audit is to assess the effectiveness of your organization’s quality management system and your organization's overall performance. Your internal audits demonstrate compliance with your ‘planned arrangements’, e.g. the Quality Management System (QMS) and how its' processes are implemented and maintained.
Contents What is an ISO Internal Audit? Why perform Internal Audits? Principles of Internal Auditing Types of Internal Audit Use an Internal Audit Checklist Do We Need An Internal Audit Procedure? A Gap Analysis Preparing the Audit Report Getting the Most from the Audit Schedule Other types of Audit Internal Audit Checklist, Procedure [Template download]
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Why Perform Internal Audits?
Your organization will likely conduct internal audits for one or more of the following reasons:
- Ensuring compliance to the requirements of internal, international and industry standards & regulations, and customer requirements
- To determine the effectiveness of the implemented system in meeting specified objectives (quality, environmental, financial)
- To explore opportunities for improvement
- To meet statutory and regulatory requirements
- To provide feedback to Top Management
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:
- Ethical conduct: Trust, integrity, confidentiality and discretion are essential to auditing
- Fair presentation: Audit findings, conclusions and reports reflect truthfully and accurately the audit activities
- Professional care: Auditors must exercise care in accordance with the importance of the task they perform
- Independence: Auditors must be independent of the activity being audited and be objective
- 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.
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Preparing for the audit.
Before the audit, prepare thoroughly! Spending time in preparation will make you much more effective during the audit - you will become a better auditor. Auditors should not skip this step as it provides much needed value to the audit. Taking the time to prepare and organize actually saves time during the audit.
Use an Internal Audit Checklist .
You should have an up-to-date audit schedule and a well defined audit plan for each process. Be sure to communicate the audit schedule to all parties involved as well as to Top Management as this will help reinforce your mandate.
Gather together all the relevant documented information that relates to the process you will be auditing. Look at process metrics, work instructions, turtle diagrams, process maps and flowcharts, etc. If applicable, collect and review any control plans and failure mode effects analysis work sheets too. Review these thoroughly and highlight the aspects that you plan to audit. Using the documented information in this way ensures they become audit records.
Your organization’s documented information may not cover all of the requirements that may be relevant to the process. If certain information is not available, it may become your first audit finding, not bad for the pre-audit review!
Certain information and linkages should be audited. Some are required and some are simply good audit practice. Putting these sections into a worksheet format gives auditors a guide to follow, to ensure the relevant links are audited.
The Human Aspect of Auditing
Good auditors realize very early on that they are dealing with personalities as much as processes and systems. Whilst the intent of the audit a serious one, often light humor, politeness and diplomacy are the best ways to build rapport. It is vital every effort is made to reassure those being audited that the audit’s primary function is to drive improvement, not to name and shame.
If you are new to auditing, acknowledge this fact, be open and honest. It is also important to explain to the auditees that they are free to express their views during the audit. Remember that you, the auditor, are also there to learn.
Always discuss the issues you have identified with the auditees and always provide guidance on what is expected in terms rectifying any non-conformances or closing out observations you raised. Let the auditees know they are welcome to read your notes and findings; the audit is not a secret.
Try not to be drawn into arguments concerning your observations. It is never appropriate to directly name people in the audit report as this may lead to defensiveness which is ultimately counter productive.
Definition of Internal Auditing
"Internal auditing is an independent, objective assurance and consulting activity designed to add value and improve an organization’s operations. It helps an organization accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes."
Source: International Professional Practices Framework (IPPF), The Institute of Internal Auditors Research Foundation. Florida, USA, January 2011
Types of ISO Internal Audit
Internal audits are commonly referred to as ‘first-party audits’ and are conducted by an organization to determine compliance to a set of requirements which might arise from standards like ISO 9001:2015, as well as customer or regulatory requirements.
There are common methods of internal auditing that may be used to determine compliance:
System Audits
Process audits, product audits.
The system audits are best undertaken using the internal audit checklist. This type of audit focuses on the organization’s quality management system as a whole, and compares the planning activities and broad system requirements to ensure that each clause or requirement has been implemented.
The process audit is an in-depth analysis which verifies that the processes comprising the management system are performing and producing in accordance with desired outcomes. The process audit also identifies any opportunities for improvement and possible corrective actions . Process audits are used to concentrate on any special, vulnerable, new or high-risk processes.
The product audit may be a series of audits, at appropriate stages of design, production and delivery to verify conformity to any specified product requirements, such as dimensions, functionality, packaging and labeling, at a defined frequency.
So, how is an audit conducted?
Use an Internal Audit Checklist
An internal audit checklist will help you to determine the extent to which your organization’s quality management system conforms to the requirements by determining whether those requirements have been effectively implemented and maintained.
The internal audit tool will help you to assess the status of your existing management system and identify process weakness to allow a targeted approach to prioritizing corrective action to drive improvement.
Our Internal Audit Checklist Template will save you hours of time, all the preparation is done for you already.
The internal audit checklist stands as a reference point before, during and after the audit process and if developed for a specific audit and used correctly will provide the following benefits:
- Checklists can be used as a reference for planning future audits
- Checklists can be provided to the auditee prior to the audit
- Checklists can provide a means of communication
- A completed checklist provides evidence the audit was performed
- Ensures the audit is conducted systematically and consistently
- Ensures a consistent audit approach
- Actively supports the organization’s audit process
- Provides a repository for notes collected during the audit process
- Ensures uniformity in the performance of different auditors
- Provides reference to objective evidence
- Audit checklists provide assistance to the audit process
The internal audit checklist comprises tables of the certifiable (‘shall’) requirements, from Section 4.0 to Section 10.0 of ISO 9001:2015, each requirement is phrased as a question.
Do We Need An Internal Audit Procedure?
Yes, we recommend you document an Internal Audit Procedure - this addresses two of the ISO 9001 clauses - Performance Evaluation and Improvement. It will greatly help you with the process of auditing and internal audit management.
Why Reinvent the Wheel?
Control of internal audits procedure.
The purpose of this 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.
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A Gap Analysis
The gap analysis will likely be your first ISO 9001:2015 internal audit. The gap analysis checklist highlights the new requirements contained in ISO 9001:2015 but it not intended to cover all of the requirements from ISO 9001:2015 comprehensively.
The unique knowledge obtained about the status your existing quality management system will be a key driver of the subsequent implementation approach. Armed with this knowledge, it allows you to establish accurate budgets, time-lines and expectations which are proportional to the state of your current management system when directly compared to the requirements of the standards.
Your organization may already have in place an ISO 9001:2008 compliant quality management system or you might be running an uncertified system. If this is the case, you will want to determine how closely your system conforms to the requirements ISO 9001:2015.
The results of a gap analysis exercise will help to determine the differences, or gaps, between your existing management system and the new requirements. Not only will the analysis template help you to identify the gaps, it will also allow you to recommend how those gaps should be filled.
The gap analysis output also provides a valuable baseline for the implementation process as a whole and for measuring progress. Try to understand each business process in the context of each of the requirements by comparing different activities and processes with what the standard requires. At the end of this activity you will have a list of activities and processes that comply and ones that do not comply. The latter list now becomes the target of your implementation plan.
Preparing the Audit Report
A good summary report is the output which is the value of the audit. It deserves an appropriate amount of attention and effort. As you moved through the audit, you should have noted the issues and improvements you saw. These should have been marked clearly so you are now able to quickly review and capture them as you write the report.
These findings and conclusions should be formally documented as part of the summary report. Too often, the audit report only recites back facts and data the managers already know. The value is in identifying issues and opportunities they do not know! This summary should be reviewed first with the lead auditor, then the Process Owner and Management Team. Make final revisions and file the audit report and all supporting audit materials and notes.
Gather the whole audit package together, in an organized manner. The rest of the work instructions, flowcharts, notes and relevant papers should be gathered into the audit package as supporting records. All findings should also be documented on your corrective action forms. The audit summary and the corrective action forms should be attached to the audit package, which now becomes the audit record. Only the summary report and corrective actions need be given to the process owner.
Elementary Audit Questions
These basic audit questions will help guide the audit in the right direction since the answers they provide often unlock the doors to information the auditor requires in order to accurately assess the particulars of a process.
Consider these common audit questions:
- What are your responsibilities?
- How do you know how to carry them out?
- What kind of training is given to new employees?
- How is the effectiveness of training evaluated?
- Are training records maintained?
- What are the objectives of your processes?
- What is the quality policy and where is it found?
- Which documents do you use and are they correct?
- What outputs does your process create?
- How are your records maintained?
- How do you ensure that products meet the stated requirements?
- Is customer satisfaction data analyzed?
- What happens when changes are made to product requirements?
- What are the responsibilities/authorities for dealing with non-conformances
- Are there trends in non-conforming products and what's being done about it?
- Is the non-conformance procedure linked to the corrective action process?
- Are employees made aware of the quality policy and objectives?
- Are policies and objectives available and relevant?
- How are quality objectives determined?
- Is there a clear link between the policies and objectives?
- How is progress towards objectives measured and communicated?
- Has the number of customer complaints changed over time?
- What tools are used to identify the causes of complaints?
- How are improvement efforts and successes communicated to employees?
Getting the Most from the Audit Schedule
The audit schedule is divided up to reflect each section of ISO 9001 You should determine which of these sections are of greatest relevance to your business; in other words, which processes, should there be problems, will affect your customers the most. These are the processes that your company must make certain remain stable and consistent. You might wish to schedule these key processes for additional audits, perhaps two or even three times per year.
The audit schedule provides the following benefits:
- Provides a visual plan of the audit programme
- Demonstrates coverage of the whole standard
- Provide current status of the audit programme
- Promotes awareness
Other types of Audit
- Certification Audit (also know as an ISO Compliance Audit)
- Surveillance Audit (this is also an ISO Audit)
Jump start your ISO documentation
Is a certified auditor "required" to do an iso audit or can the company do the iso audit themselves.
You do not need a 'Certified Auditor' to undertake internal quality audits of your management system and its processes.
Certified Auditors normally work for external, third-party accreditation bodies such as DNV, UKAS, LRQA, who will perform the Certification Audit , that is, assess your organization's management system against the requirements of ISO 9001 and provide your certificate of compliance. They will also conduct Surveillance Audits to ensure that your certification is maintained. They would not be involved in day-to-day internal auditing operations.
Video — What is the Purpose of the Certification Audit?
Internal Auditors can be people from within your organization who posses the necessary competence and impartiality to undertake internal audits in order to ensure effective operation of your organization's processes. The Internal Auditors often report to the Quality Manager.
To view our Audit Checklists , please see below.
Related Information You Might Find Useful
- How to Conduct an ISO 9001 Internal Audit
- 9.2 Internal Audit [ISO 14001]
- Video — ISO Internal Quality Audit (IQA) Explained
Next ISO 9001 Clause
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Each ISO 9001 Clause Explained
- Learn About ISO 9001 here
Updated: 14th May 2022 Author: Richard Keen
Richard Keen
Richard is our Compliance Director, responsible for content & product development. But most importantly he is ISO's biggest fanboy and a true evangelist of the standards. Learn more about Richard
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IMAGES
VIDEO
COMMENTS
Include what was wrong. You are writing the nonconformity so that the auditee can investigate what was wrong, so state what problem you found.
The best practice for audit report content is included in ISO 19011, guidelines for quality and/or environmental management systems auditing
Include details on what went wrong. You're writing the nonconformity so the auditee can figure out what went wrong, therefore explain what went
How is an internal audit report prepared? · Introduce terminology used · Describe the Audit Plan · Describe facts found · Document nonconformities and opportunities
How to Write an Internal Audit Report for ISO 27001 · 1. Executive summary. The executive summary gives decision makers an overview of the
10 Best Practices for Writing a Digestible Audit Report · 1. Reference Everything. · 2. Include a Reference Section. · 3. Use Figures, Visuals, and
Audits to confirm compliance with the QMS Ordinance are conducted by 12 audit organizations. (Pharmaceuticals and Medical Devices Agency [PMDA] and 11
Beginning Your Report · Provide perspective for the reader, giving a fair balance of the positive and negative results of the audit. · Be precise, and avoid
An Internal Audit Report is a document generated by an organization's internal auditors that details the findings of an audit. It describes the
The purpose of an ISO internal audit is to assess the effectiveness of your organization's quality management system and your organization's