9.3 Course Notes

course notes2

9.3 Internal audit

Relevant Definitions:

Audit:  systematic, independent and documented process for obtaining audit evidence and evaluating it
objectively to determine the extent to which the audit criteria are fulfilled
Note 1 to entry: An audit can be an internal audit (first party) or an external audit (second party or third party), and it
can be a combined audit (combining two or more disciplines).
Note 2 to entry: “Audit evidence” and “audit criteria” are defined in ISO 19011.

An internal audit allows you to ensure that your management system is complete, relevant, up to date, is effective and is being implemented.
To undertake an internal audit you must cross check the requirements of the standard with the systems and documentation you have in place.
Internal audits of a management system based on this International Standard can be performed by personnel from within the organisation, or by external persons selected by the organisation, working on its behalf. In either case, the persons conducting the audit should be competent and in a position to do so impartially and objectively. In smaller organisations, auditor independence can be demonstrated by an auditor being free from responsibility for the activity being audited.
Auditor Competency
The auditor should have  competency in  the subject matter of sustainability in event management, knowledge of the event/organisation in question, and competency in auditing process. Read more about auditor competency here. It is not necessary for your internal auditor to be officially compliant with this specification, but reading it will enlighten you as to the best person to look for to undertake your internal audit.
Some of the steps to take include:
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  • Review the documentation that should be in place by a management system, and ensure it is current, and accessible. Use this opportunity to consider if any changes to your situation have occurred since the document was originally produced, and make modifications to encompass any new issues, objectives or plans.
  • Review that awareness is in place by all those individuals and entities that are involved in implementing the system, procedures and processes.
  • Review that the plans, procedures and processes are actually being implemented. Review the performance measurement process, it’s relevance, accuracy and level of robustness.
  • Create an Internal Audit procedure which details the steps to take. Download an example Internal Audit Procedure here.

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Non-Conformities
Where documentation, procedures or processes are a requirement of the standard and are not available, these will also be recorded as ‘non-conformities’ and corrective action taken. Read more about this in the next unit.
Where there are deviations from procedures or policies observed, these will be reported as ‘non-conformities’. Corrective action will need to be taken.


Requirements of this Clause:

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  • The organisation must conduct an internal audit to assess its conformity to the requirements of the standard
  • Formalise and document who will undertake the audit and when it will occur.
  • Formalise the process for undertaking the order - steps to take.
  • Document the outcomes of the internal audit, including non-conformities and corrective action.

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Use the GreenShoot Pacific Internal Audit tool to step you through your internal audit.


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