IMS Clause 9.2 Internal Audit
Clause 9.2 of the Integrated Management System (IMS) standard focuses on the organization's commitment to conducting internal audits. Internal audits play a crucial role in assessing the effectiveness and conformity of the IMS with established requirements, policies, and procedures. This clause outlines the systematic approach required to plan, conduct, report, and follow up on internal audit activities.
1. Audit Planning
Step 1: Scope Definition
Determine the scope of the internal audit, considering the processes, functions, and areas to be audited within the IMS.
Step 2: Audit Criteria
Identify the criteria against which the audited processes and activities will be evaluated, including applicable standards, regulations, and organizational requirements.
Step 3: Audit Schedule
Develop an audit schedule that outlines the frequency and timing of internal audit activities.
2. Audit Execution
Step 1: Audit Team Selection
Assemble an audit team comprising competent and impartial personnel from relevant disciplines.
Step 2: Conduct Audit
Execute the audit by systematically reviewing processes, activities, records, and practices against established criteria.
Step 3: Evidence Collection
Gather evidence through interviews, documentation review, observations, and data analysis.
3. Reporting and Communication
Step 1: Audit Findings
Document audit findings, including conformities, non-conformities, and opportunities for improvement.
Step 2: Audit Report
Prepare an audit report that summarizes the audit scope, criteria, findings, and recommendations.
Step 3: Communication
Communicate the audit report to relevant management and process owners for their review and action.
4. Corrective and Preventive Actions
Step 1: Non-Conformity Identification
Identify non-conformities through audit findings that indicate deviations from established requirements.
Step 2: Root Cause Analysis
Conduct root cause analysis to determine the underlying factors contributing to non-conformities.
Step 3: Corrective and Preventive Actions
Implement corrective actions to address identified non-conformities and preventive actions to prevent recurrence.
5. Follow-Up and Verification
Step 1: Action Closure
Monitor and verify the implementation of corrective and preventive actions to ensure their effectiveness.
Step 2: Verification of Improvements
Confirm that the identified non-conformities have been effectively addressed and improvements have been made.
6. Benefits of Effective Internal Auditing
- Conformance Assurance: Internal audits ensure compliance with established standards and requirements.
- Risk Mitigation: Audits help identify and address potential risks and vulnerabilities.
- Process Improvement: Audit findings drive process enhancements and optimizations.
- Objective Assessment: Impartial audit teams provide unbiased assessments of organizational performance.
- Management Insights: Audit reports offer valuable insights for decision-making and strategic planning.
7. Conclusion
Clause 9.2 underscores the importance of internal audits as a fundamental tool for evaluating the effectiveness and conformity of the IMS. Through thorough planning, execution, reporting, and follow-up activities, internal audits contribute to the continuous improvement of the organization's processes, procedures, and overall management system. By identifying areas of improvement and ensuring adherence to established requirements, internal audits play a pivotal role in maintaining the IMS's integrity and driving the organization's commitment to excellence and continual improvement.
