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
- 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:
Other resources:
- 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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