Risk Based Auditing: Using ISO 19011 : 2018 (eBook)
134 Seiten
CERM Academy Series on Enterprise Risk Management( (Verlag)
978-1-7329744-0-1 (ISBN)
What is Risk Based Auditing (RBA)?
International Organization for Standardization (ISO) incorporated Risk Based Thinking (RBT) into ISO 9001:2015. ISO: Risk Based Thinking is the first book to address risk based auditing which is fundamental to first-party, second-party, and third-party auditing in all the new ISO families of standards. Learn what RBA means and most importantly understand what you need to do to manage, plan, conduct, and report Risk Based Audits. Everyone who is certified to ISO 9001:2015 or any ISO standard should read this book to understand and implement RBA.
What This Book Can Do for You?
- Explains the integration of risk into auditing all ISO Management Systems.
- Answers the critical questions you need to know about RBA and risk management.
- Explains key risk concepts such as Risk Based Auditing, managing RBA programs, planning, conducting, and reporting Risk Based Audits.
- Explains in detail ISO 19011:2018.
- Explains in detail the steps for planning, conducting, and reporting Risk Based Audits.
- Presents insider tips and tools known to first-party, second-party, and third-party auditors.
Bonus Materials/Resources:
- Access almost 2,000 risk and quality articles through CERM Academy.
- Get Lessons Learned at the end of each key question.
- Get free course materials such as using FMEA’s in ISO 9001:2015.
Preface
ISO 19011:2018 Forward
Introduction
1.Scope
2. Normative References
3. Terms and Definitions
4. Principles of Auditing
5. Managing an Audit Program
5.1 General
5.2 Establishing audit program objectives
5.3 Determining and Evaluating Audit Program Risks and Objectives
5.4 Evaluating the Audit Program
5.4.1 Rules and Responsibilities of the Individuals Managing the Audit Program
5.4.2 Competence of individual(s) managing audit program
5.4.3 Establishing extent of audit program
5.4.4 Determining audit program resources
5.5 Implementing audit program
5.5.1 General
5.5.2 Defining the objectives, scope and criteria for an individual audit
5.5.3 Selecting and determining audit methods 6
5.5.4 Selecting audit team members 63
5.5.5 Assigning responsibility for an individual audit to the audit team leader 66
5.5.6 Managing audit program results 69
5.5.7 Managing and maintaining audit program records 70
5.6 Monitoring audit program 72
5.7 Reviewing and improving audit program 74
6 Conducting an audit 77
6.1 General 77
6.2 Initiating audit 77
6.2.1 General 77
6.2.2 Establishing contact with auditee 77
6.2.3 Determining feasibility of audit 79
6.3 Preparing audit activities 81
6.3.1 Performing review of documented information 81
6.3.2 Audit planning details 84
6.3.3 Assigning work to audit team 87
6.3.4 Preparing documented information for audit 87
6.4 Conducting audit activities 89
6.4.1 General 89
6.4.2 Assigning roles and responsibilities of guides and observers 89
6.4.3 Conducting opening meeting 91
6.4.4 Communicating during audit 94
6.4.5 Audit information availability and access 96
6.4.6 Reviewing documented information while conducting audit 97
6.4.7 Collecting and verifying information 98
6.4.8 Generating audit findings 99
6.4.9 Determining audit conclusions 101
6.4.10 Conducting closing meeting 102
6.5 Preparing and distributing audit report 106
6.5.1 Preparing audit report 106
6.5.2 Distributing audit report 109
6.6 Completing audit 109
6.7 Conducting audit follow-up 110
7 Competence and evaluation of auditors 112
7.1 General 112
7.2 Determining auditor competence 114
7.2.1 General 114
7.2.2 Personal behavior 115
7.2.3 Knowledge and skills 117
7.2.4 Achieving auditor competence 124
7.2.5 Achieving audit team leader competence 125
7.3 Establishing auditor evaluation criteria 125
7.4 Selecting appropriate auditor evaluation method 126
7.5 Conducting auditor evaluation
7.6 Maintaining and improving auditor competence 1
Annex A (informative) Additional guidance for auditors planning and conducting audits 128
Erscheint lt. Verlag | 13.1.2019 |
---|---|
Reihe/Serie | CERM Academy Series on Enterprise Risk Management | CERM Academy Series on Enterprise Risk Management |
Sprache | englisch |
Themenwelt | Sachbuch/Ratgeber ► Freizeit / Hobby ► Sammeln / Sammlerkataloge |
Schlagworte | Accounting • Auditing • business • Financial • Leadership • Management • Managerial • quality control |
ISBN-10 | 1-7329744-0-3 / 1732974403 |
ISBN-13 | 978-1-7329744-0-1 / 9781732974401 |
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