Knowledge Bank - Auditing Guidance

Return to Knowledge Bank menu

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

• NEW Develop better communication skills
  Communicating well is crucial for internal auditors. Chris Baker advises how to improve your skills, IRCA INform 25, 2010
• NEW Understanding audit stakeholders
  David Straker reveals how using stakeholder maps can help to add value to your audits, IRCA INform 25, 2010
• NEW Write better audit reports
  Make sure your audit reports are the best they can be. The APG lists the key elements in good audit reports, IRCA INform 25, 2010
• Understanding the audit trail
  The lack of an established definition of what constitutes an audit trail is preventing successful audits, argues David Seear, IRCA INform 24, 2009
• Managing risk in supplier audits
  Sharon Shutler reveals a risk managment model that can help to make supplier audit schedules more efficient, IRCA INform 24, 2009

• Cultural aspects of auditing
  Auditors must perform well in a variety of cultures. The APG explains how to consider the impact of different cultural aspects when planning an audit, IRCA INform 22, 2009

• An unexpected agent for behavioural change - how audits go beyond simply measuring compliance to standards, The Auditor, April 2007
• Scope of ISO 9001, scope of the quality management system (QMS) and the scope of certification - APG Paper, 2006
• Auditing 'competence' and the 'effectiveness of actions taken' - APG Paper, 2006
• Third party auditor impartiality and conflict of interest - APG Paper, 2006
• How to add value during the audit process - APG Paper, 2004
• The need for a 2-stage approach to auditing - APG Paper, 2004

Planning audits

• NEW Managing risk in supplier audits
  Sharon Shutler reveals a risk managment model that can help to make supplier audit schedules more efficient, IRCA INform 24, 2009
• Cultural aspects of auditing
  Auditors must perform well in a variety of cultures. The APG explains how to consider the impact of different cultural aspects when planning an audit, IRCA INform 22, 2009
• QUIZ Auditing a QMS which has minimum documentation - IRCA INform 15, 2007
• 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 Develop better communication skills
  Communicating well is crucial for internal auditors. Chris Baker advises how to improve your skills, IRCA INform 25, 2010
• NEW Understanding audit stakeholders
  David Straker reveals how using stakeholder maps can help to add value to your audits, IRCA INform 25, 2010
• Understanding the audit trail
  The lack of an established definition of what constitutes an audit trail is preventing successful audits, argues David Seear, IRCA INform 24, 2009
• Auditing statutory and regulatory requirements
  The APG gives advice to help any auditor ensure that the necesary requirements are taken into account,
  IRCA INform 23, 2009
• How to improve audit interviews
  Romayne Smith Fullerton and Natalia Scriabina explain how a skills-based approach can add value to audit interviews
  IRCA INform 22, 2009
• 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
• 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
• 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
• 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
• 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

• NEW Write better audit reports
  Make sure your audit reports are the best they can be. The APG lists the key elements in good audit reports, IRCA INform 25, 2010
• You can't consult, but... - How far can third-party auditors can go to add value during an audit. The Auditor, April 2007
• An unexpected agent for behavioural change - how audits go beyond simply measuring compliance to standards. The Auditor, April 2007
• Making effective use of ISO 19011 - APG Paper, 2006
• Nonconformances and audit evidence - APG Paper, 2005
• Customer feedback processes - APG Paper, 2004

The following articles were developed by the ISO Accreditation Auditing Practices Group.

Accreditation Body audits:

• Auditing Certification Body management systems based on ISO 9001:2000, AAPG Paper, 2007
• Key criteria for assessing the competency of Certification/Registration Bodies and their ability to deliver credible results, AAPG Paper, 2007

The following articles were not developed by the ISO APG or AAPG committees.

Internal audit:

• NEW Internal auditing at Sellafield
  Andrea Routledge describes the internal audit function at nuclear decommissioning and processing giant Sellafield, IRCA INform 25, 2010
• Internal audit effectiveness
  The APG gives advice to help auditors assess whether an internal audit system is effective
  IRCA INform 24, 2009
• Relearning the value of internal auditing
  How Lloyd's Register re-engineered its approach to internal audits to great success, presented by Robert Stables
  IRCA INform 23, 2009
• 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
• 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
• 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
• An inside job: internal auditing
  The problems and pitfalls of internal auditing can be avoided with a little forward thinking
  IRCA INform 15, 2007
• 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 Making auditors' lives e-easier
  New e-communications technology has given auditors a helping hand with assessments, says David Stewart, IRCA INform 25, 2010
• NEW Could you be an SAP?
  Sustainability assurance practitioners use traditional audit methods to assess the accuracy of sustainability reports, IRCA INform 25, 2010
• Managing risk: beyond audit compliance
  Standards are just one element of risk management. Steve Fowler discusses why the context of an audit is important, IRCA INform 24, 2009
• 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
• 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
• 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
• 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
• 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
• 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
  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

 

Return to Knowledge Bank menu