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An internal audit is a critical component of any effective Business Continuity Management System (BCMS). It provides a systematic and disciplined approach to evaluate and improve the organization's ability to continue operations during disruptive incidents.

 Internal audit is not just about compliance; it is about ensuring that the BCMS is efficient, effective, and continuously improving.

Why BCM Internal Audit is Important:

· Ensures Compliance: Validates that the BCMS complies with relevant standards, laws, and internal policies.

· Identifies Gaps and Weaknesses: Reveals areas where the BCMS may not be fully effective, allowing for improvement before a real incident occurs.

· Supports Continual Improvement: Provides recommendations for enhancing the BCMS based on findings and observations.

· Enhances Organizational Resilience: Strengthens the organization's overall resilience by regularly assessing and improving its continuity capabilities.

 

Planning and Conducting BCM Internal Audits

The process of planning and conducting a BCM internal audit should be structured and systematic. ISO 19011 provides guidance on auditing management systems, including BCMS. Key steps include:

1. Define the Audit Objectives and Scope:

·       Clearly outline what aspects of the BCMS will be audited.

·       Define whether the focus will be on specific departments, processes, or the entire BCMS.

2. Prepare the Audit Plan:

·       Develop a plan covering audit activities, timelines, criteria, and resources.

·       Assign qualified and impartial auditors with the appropriate expertise.

3. Conduct the Audit:

·       Gather evidence through interviews, document reviews, and observations.

·       Assess the effectiveness of controls, processes, and procedures.

4. Report the Findings:

·       Document non-conformities, observations, and areas for improvement.

·       Provide clear, actionable recommendations.

5. Follow-Up Actions:

·       Ensure corrective actions are taken and verified within a reasonable timeframe.

·       Document lessons learned and update the BCMS as necessary.

6. Key Considerations:

7. Audits should be conducted at planned intervals.

8. Auditors must be independent and objective.

9.Results should feed into the organization’s management review and continual improvement process.

Some organizations may not have effective and competent internal audit departments. Therefore, they may have to contract professional external auditors or certification bodies to plan and conduct their internal audit missions.

Does your organization conduct regular internal audits of its BCMS? How do you ensure these audits lead to continual improvement?

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