IMS
Integrated Management System
Presented by:
Gopal Rathore
What is IMS?
Integrates all of an
organization’s systems
and processes into one
complete framework,
enabling an organization
to work as a single unit
with unified objectives.
Quality Management System (QMS)
ISO:9001
A Quality Management System is a set of
policies processes and procedures required
for planning and execution (Production,
development, service) in the core business
area of an organization.
Environmental Management System
(EMS)
ISO:14001
Occupational Health & Safety
Management System (OHSMS)
ISO:45001
An OHSMS determines and
continually improves an
organizations Health and Safety
position and performance. It
follows an outline and is
managed like any facet of a
business, such as Marketing or
Engineering.
PAS 99: Publicly Available
Specification
(For Common Management Systems)
PAS 99 is a Publicly Available
Specification for integrating common
management systems and it has been
developed to enable organizations to
align their processes and procedures Pas 99 sets a common structure to be followed by all
into one holistic structure in order to management system standards moving forward. The
operate more effectively. structure is:
•Context of the organization;
•Leadership;
•Planning;
•Support;
•Operation;
•Performance evaluation;
•Improvement.
Conducting Internal Audit
ISO 19011:2011 – Guidelines for auditing
management system
Tools:
Internal Auditor(s)
Audit plan
Audit checklist
Audit schedule
Steps in conducting Internal Audit
Step #1: Know what and when to audit:
Before conducting the internal audit, you should identify what processes are going to be audited.
Understanding the scope and objectives of the audit process helps create an audit schedule. Internal
audit should be conducted based on the risks of the processes. The higher the risk in a specific area of
the business the more frequent you audit that business area. It is also essential to understand the nature
of the business process you are planning audit so that you can decide the right time to audit the system.
Steps in conducting Internal Audit
Step #2: Create an audit schedule
Creating an audit schedule provides the departments with an advanced notice of the upcoming audit. The program will
help them have the necessary documentation and records available for review and audit. The internal schedule will
also the business of planning for resources required to conduct the internal audit. A surprise audit is not recommended
as it may create a disengaged situation and stakeholders will feel threatened by the auditor. It is recommended you
share the audit schedule and obtain approval and confirmation.
Steps in conducting Internal Audit
Step #3: Pre-Planning the scheduled Audit
Being prepared before a scheduled audit is essential as it will simplify and make the whole audit process effective.
During the pre-planning phase, auditors need to send an audit plan to department providing information about the audit
scope, objective, criteria and possible documentation evidence needed for the audit.
It is necessary that the auditor is prepared before the audit with a clear understanding of the policies and procedure
that will be reviewed. For example; Before auditing a purchasing process, the auditor needs to understand the policies
and procedures related to purchasing and also know what kind of evidence that he/she may review. This will
significantly improve the efficiency of the audit process will also reduce the downtime
Steps in conducting Internal Audit
Step #4: Conducting the audit
Internal audit can be conducted by different methods such as documentation review, interviewing and observation.
Based on the scope and objective of the auditor, the audit shall choose any methodology or combination of all to carry
the internal audit. The internal auditor shall sight and examine sufficient hard-copy or electronic records to verify;
evidence of compliance with the management system procedures; and effective implementation of process and
internal control. You need to ensure the audit is conducted in a fair and unbiased manner.
Steps in conducting Internal Audit
Step #5: Record the findings
Recording the findings is vital in the audit process, and auditor needs to list all evidence sighted by record number or
record data. The aim of documenting audit findings is to identify gaps in compliance and look at opportunities to fix the
deficit and improve the process. Records may also include observation and notes from the interview process. It is
recommended that the auditor provide a quick snapshot of the findings quickly at the end of the internal audit to ensure
the auditee is aware and also has a chance to clear any questions.
Steps in conducting Internal Audit
Step #6: Report findings
All findings should be reported in an easy to read audit report. Audit reports serve evidence that an internal audit was
conducted. These reports should be reviewed and approved by the department manager / top management. The
report can also include an improvement / corrective action plan that should need to develop and implemented in the
areas where gaps were identified. ISO recommends you use PDCA (Plan, Do, Check, Act) Management tool to
facilitate and carry improvement process within the business.
