Knowledge Bank - Auditing Guidance
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Many of the following papers were developed by the ISO 9001 Auditing Practices Group and the ISO Accreditation Auditing Practices Group - follow the links for further information on the service they provide for management systems auditors, consultants and practitioners, and Accreditation Bodies.
Managing audits
Planning audits
- QUIZ Auditing a QMS which has minimum documentation - IRCA INform 15, 2007
- NEW PAPER Auditing the procurement and supply chain processes - guidance on how certification auditors should assess compliance to the requirements of clause 7.4 of ISO 9001:2000.
APG Paper, 2007
- You can't consult, but... - How far can third-party auditors can go to add value during an audit.
The Auditor, April 2007
- Auditing the process function - The Auditor, April 2007
- Ten essential audit questions - The Auditor, December 2006
- Linking an audit of a particular task, activity or process to the overall system - APG Paper, 2006
- How to audit top management processes - APG Paper, 2006
- Auditing ‘where appropriate’ requirements - APG Paper, 2006
- The role and value of the audit checklist - APG Paper, 2006
- Demonstrating conformity to the standard - APG Paper, 2006
- Determination of the ‘where appropriate’ processes - APG Paper, 2006
- Aligning the quality management system with the achievement of organizational and business success - APG Paper, 2006
- Auditing a quality management system (QMS) which has minimum documentation - APG Paper, 2006
- Scope of ISO 9001, scope of the quality management system (QMS) and the scope of certification - APG Paper, 2006
- Auditing quality policy, quality objectives and management review - APG Paper, 2006
- Making effective use of ISO 19011 - APG Paper, 2006
- Guidance on cultural aspects of auditing - APG Paper, 2006
- Auditing service organizations - APG Paper, 2005
- Auditing electronic-based management systems - APG Paper, 2005
- Auditing the management of resources - APG Paper, 2005
- Auditing customer communications - APG Paper, 2005
- Auditing the design and development process - APG Paper, 2005
- The process approach - APG Paper, 2005
- How to add value during the audit process - APG Paper, 2004
- Auditing continual improvement - APG Paper, 2004
- The need for a 2-stage approach to auditing - APG Paper, 2004
Conducting audits
- NEW Solutions focus in auditing
Marlon Heilbrunn explains how a solutions-focus approach can be useful for auditors of quality management system
IRCA INform 21, 2009
- NEW Project auditing best practice
Dan Keeling and Ron Basu examine how the channel tunnel project high speed 1 used project auditing
IRCA INform 21, 2009
- NEW Adding value to audits
The APG advises how auditors can ensure their audits are a value-adding process for everyone involved.
IRCA INform 21, 2009
- QUIZ Auditing a QMS which has minimum documentation - IRCA INform 15, 2007
- NEW Auditing: service sector vs. manufacturing - what are the differences?
Two case studies accompany this article:
Case study - Service sector
Case study - Manufacturing sector
IRCA INform 15, 2007
- NEW PAPER Auditing the procurement and supply chain processes - guidance on how certification auditors should assess compliance to the requirements of clause 7.4 of ISO 9001:2000.
APG Paper, 2007
- Too hot to handle - How to proceed if an insider divulges a "sensational tip" right before your audit. The Auditor, June 2007
- You can't consult, but... - How far can third-party auditors can go to add value during an audit. The Auditor, April 2007
- Auditing excellence into calibration and testing labs -
The Auditor, April 2007
- Auditing when documents aren't available - The Auditor, April 2007
- Ten essential audit questions -
The Auditor, December 2006
- How to audit top management processes - APG Paper, 2006
- Auditing ‘where appropriate’ requirements - APG Paper, 2006
- Demonstrating conformity to the standard - APG Paper, 2006
- Determination of the ‘where appropriate’ processes - APG Paper, 2006
- Auditing a quality management system (QMS) which has minimum documentation - APG Paper, 2006
- Auditing 'competence' and the 'effectiveness of actions taken' - APG Paper, 2006
- Auditing statutory and regulatory requirements - APG Paper, 2006
- Auditing the control of monitoring and measuring devices - APG Paper, 2006
- Auditing the effectiveness of the internal audit - APG Paper, 2006
- Guidance for reviewing and closing nonconformities - APG Paper, 2006
- Making effective use of ISO 19011 - APG Paper, 2006
- Auditing service organizations - APG Paper, 2005
- Auditing electronic-based management systems - APG Paper, 2005
- Auditing the management of resources - APG Paper, 2005
- Auditing customer communications - APG Paper, 2005
- Auditing the design and development process - APG Paper, 2005
- Auditing preventive action - APG Paper, 2005
- Auditing internal communications - APG Paper, 2005
- The process approach - APG Paper, 2005
- Auditing continual improvement - APG Paper, 2004
Reporting audits
The following articles were developed by the ISO Accreditation Auditing Practices Group.
Accreditation Body audits:
The following articles were not developed by the ISO APG or AAPG committees.
Internal audit:
- NEW
The best way to internally audit
Are your internal audits a mere formality? Steve Coles outlines how to use an internal audit as a tool for improvement
IRCA INform 20 , 2008
- NEW
The importance of
integrated internal auditing
How integrated are your internal audits? Rhian Newton describes the necessity of a fully integrated business system
IRCA INform 18, 2008
- NEW Internal auditing: picture perfect?
A case study of IMS implementation at one company leaves the head of the audit programme, Gail Sheppard, singing the praises of the humble camera
IRCA INform 17, 2008
- NEW An inside job: internal auditing
The problems and pitfalls of internal auditing can be avoided with a little forward thinking
IRCA INform 15, 2007
- NEW Is internal quality auditing really necessary? IRCA INform 14, 2007
- Internal audit revolution, Ian Rosam & Rob Peddle, 2005
- Internal auditing, Jim Wade, 2004
Other resources:
- NEW Diversity in management
system assessments
A close look at ExxonMobil as John Symonds describes how a diverse assessment framework can improve performance
IRCA INform 20, 2008
-
NEW
From compliance to
performance: assessing
management systems
Alex Fernando gives an excerpt from a white paper on management systems auditing that sheds new light on how to improve performance
IRCA INform 19, 2008
- NEW Effective governance through
real-world system thinking
Increasing legislation means that pressure on organisations to prove compliance is increasing. Rob Peddle and Ian Rosam divulge a new approach that can make things a little easier
IRCA INform 19, 2008
- NEW
Meet business continuity
How much do you know about business continuity? Andy Tomkinson answers all the questions you've been wanting to ask
IRCA INform 19, 2008
- NEW Scope of assessment
Do audit scopes allow companies to take advantage of the wording of standards or do auditors overstep the mark? Paul Simpson examines the importance of scope
IRCA INform 18, 2008
- NEW Accelerated learning
After four years of IRCA's accelerated learning courses, Bob Scotney assesses past challenges and looks forward to the possibilities ahead.
IRCA INform 17, 2008
- Crash and burn? - business risks
Alan Field offers a practical approach to identifying your company’s indirect risk areas and how to apply this to business continuity.
Qualityworld, August 2006
- Output Matters!, Jack West, 2006
- Capability of personnel, Dave Powley, 2005
- Review of audit in 2005, Nick Thorpe, 2005
- Become a better auditor, James Smith, 2005
- Surviving an audit, Ivan Waples, 2004
- The quantum audit, Ceri Davies & Dean Lucas & Tim O'Hanlon, 2003
Research papers:
- From TQM to TSM - NEW ADDITION
Dr. Li Sai Kwan examines a viable system modelling approach for translating Total Quality Management principles into Total Safety Management models.
- A worldwide analysis of ISO 9000 standard diffusion
A cross-section of International Standardization Organization (ISO) 9000 quality certification diffusion over time and its impact on industrial systems.
Emerald Publishing, 2007
- Outside the box
Ian Hodgkinson evaluates LRQA's new research into management systems.
Qualityworld, February 2007
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