ISO 19011 2018 MANAGEMENT SYSTEM AUDITING WHAT S NEW

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Risk Based Approach for Audit Program Management, In this era of heightened awareness of risks and risk management around all activities it should. be no surprise that an organization s audit program should be focused on operational risks but. also risks associated with the audit program itself. The risk based approach should substantively influence the planning conducting and reporting. of audits in order to ensure that audits are focused on matters that are significant for the audit. client and for achieving the audit program objectives. The updated ISO 19011 doesn t spend as much time explaining how to accomplish a risk based. approach but it is a central theme and expectation However a lot of the risk based auditing. discussion is focused more on risks of the audit to the organization which we might not consider. when developing an audit program, Key changes to ISO 19011 Important aspects to consider. Section 5 3 Audit program risks and opportunities These are the sub sections of. particular interest in the new guideline, a Planning failure to set relevant audit objectives and determine the. extent number duration locations and schedule, b Resources allowing insufficient time equipment and or training for Plan well make sure you have the right. developing the audit program or conducting an audit resources to carry out the plan check. how well you are doing make, c Audit team insufficient overall competence to conduct audits.
corrections,effectively, e Implementation ineffective coordination of the audits within the. audit program or not considering information security and What are the potential risks of the audit. confidentiality program to the audit client or auditee. g Monitoring reviewing and improving the audit program ineffective. monitoring of audit program outcomes,How is the audit to be conducted to. minimize those risks Is there,Section 6 3 2 1 Risk based approach to planning. consider the risks of the audit activities on the auditee s processes. and provide the basis for the agreement among the audit client audit. team and the auditee regarding the conduct of the audit How does your organization consider. operational risks when deciding where, a the composition of the audit team and its overall competence. and how to conduct audits,b the appropriate sampling techniques.
d the risks to achieving the audit objectives created by ineffective. audit planning, e the risks to the auditee created by performing the audit. Contact us to learn more about this white paper info spanexperts com. Risk Focus in Audit Execution, Now we ve considered the risks to address in audit planning and program management how. do we adequately audit risks related to the management system and organizational. Key changes to ISO 19011 Important aspects to consider. Appendix Section A 10 Auditing risks and opportunities This is a new section that focuses on. evaluating how an organization uses risk, As part of the assignment of an individual audit the determination and. management generally for its, management of the organization s risk and opportunities can be. management system regardless of, included The core objectives for such an audit assignment are to.
whether risk management is a specific, give assurance on the credibility of the risk and opportunity element of the management system. identification process es, give assurance that risks and opportunities are correctly determined. and managed,This is a critical component of both the. review how the organization addresses its determined risks and management system and the audit of. opportunities the management system but not always. an easy one to include in the audit, An audit of an organization s approach to the determination of risks. scope It is worthwhile spending time, and opportunities should not be performed as a stand alone activity.
during audit planning to consider this in, It should be implicit during the entire audit of a management system. the audit scope and how it can be,including when interviewing top management. accomplished,Managing an Audit Program,Companies often relegate audit program. management to a sidebar responsibility of another, group such as safety or environment without assigning. proper authority for the audit program within the,governance structure of the organization.
Audit and assurance programs overall needs to be, given the proper authority to carry out their mandate. and provide value to the organization A well designed. audit program also has an annual and often longer, audit plan that is implemented and reviewed regularly. Contact us to learn more about this white paper info spanexperts com. Key changes to ISO 19011 Important aspects to consider. Section 5 4 Establishing the audit program This whole section of the standard is a good checklist to. run through when designing an audit program Key, considerations at the top are the responsibilities and. the competence of the audit program manager This,takes some thought in an organization Audit. knowledge and skills are important to have in a,program manager.
Section 5 4 4 Determining audit program resources Is the audit program still rooted in spreadsheets and. consider word documents or does it take advantage of. auditing technologies that enable much better use of. a the financial and time resources necessary to,audit information development of effective action. develop implement manage and improve audit, plans and integration with other company functions. activities, Whose tools ie computers to use Are they secure to. g the availability of information and communication. use in the company environment Coordination when, technologies e g technical resources required to set. audit results need to be merged practical and often. up a remote audit using technologies that support,problematic topics Also see Spotlight on Virtual.
remote collaboration,Auditing below,h the availability of any tools technology and. equipment required, S 5 6 Monitoring audit program It is important to establish measures for the audit. program and consider carefully how you are going to. ensure the evaluation of,evaluate against those measures qualitatively and. a whether schedules are being met and audit quantitatively. program objectives are being achieved,Does your audit program have a formal feedback. b the performance of the audit team members,including the audit team leader and the technical.
d feedback from audit clients auditees auditors,technical experts and other relevant parties. Contact us to learn more about this white paper info spanexperts com. Auditor Competence and Evaluation, The evaluation of auditor competence should be planned implemented and documented to. provide an outcome that is objective consistent fair and reliable. Section 7 of the standard provides a good list of the qualities and professional behaviours that. are desirable in an auditor such as open minded diplomatic tenacious decisive self reliant. collaborative and the abilities to act with fortitude and prioritize and focus on matters of. significance, Technical competence is great but these are soft skills that are often hard to come by in a. person How to balance decisiveness with open mindedness Fortitude with diplomatic. How do you test for these attributes in an auditor before hand and how do you evaluate. after the fact, Can your auditors prioritize It is very easy to get lost in the weeds of detail or to focus on. those topics we know best and are comfortable with As an auditor you must constantly. prioritize and evaluate your progress on meeting your own objectives as an auditor What is. significant to the auditee the client and the success of the audit. Auditing New Concepts, Additional guidance has been provided on the following three concepts to further aid and.
enhance the completeness and quality of auditing, Key changes to ISO 19011 Important aspects to consider. Appendix Section A 9 Many management systems standards have increased requirements for top. Auditing Leadership and management These requirements include demonstrating commitment and. Commitment leadership by taking accountability for the effectiveness of the management. system and fulfilling a number of responsibilities These include tasks that top. management should undertake itself and others that can be delegated. Auditors should obtain objective evidence of, the degree to which top management is involved in decision making related. to the management system and, how it demonstrates commitment to ensuring its effectiveness. The audit team needs access to management at all levels of the organization. to properly fulfill its mandate, Contact us to learn more about this white paper info spanexperts com. Appendix Section A 10 Virtual auditing is to some extent already fairly common in things like document. Virtual Auditing review but is likely to be considered for greater application considering the need. for audit efficiency and cost management There is nothing wrong with this but. the effectiveness and practicality of expanding virtual auditing practices must be. carefully considered The following items need to be reviewed for virtual auditing. Audits are performed using remote access technology. Standard audit processes still apply, Technical checks of equipment capabilities and security clearances may be.
needed in advance, Ensure confidentiality and privacy during audit breaks e g by muting. microphones pausing cameras,What are the remote access protocols. Are there contingencies in the event of interrupted access. Appendix Section A 12 The audit of the supply chain to specific requirements can be required The. Audit of Supply Chain supplier audit program should be developed with applicable audit criteria for the. type of suppliers and external providers, This is a new section that doesn t provide much detail but at least gets supply. chain audits into the conversation, Supply chain audits often result in recovered costs well in excess of the cost of the. audit and improve overall contract management,for Audits and Assessments.
Octane is our software tool for managing the data, generated from audits and self assessments of management. systems and programs SPAN partnered the development of. this product with our clients to create a robust tool. suitable for complex organizations,A proper data management tool that supports. audits assessments and the management of gaps,and implementation of actions is necessary to. maintain the security and integrity of your operations. and management system information Email and,spreadsheets are unsecure. For more information about Octane and how our we and our. clients use it to manage audit and assessment information. please visit www spanexperts com octane, Contact us to learn more about this white paper info spanexperts com.
About SPAN, SPAN is a consulting company that focuses on assisting companies to implement management. systems design programs and incorporate assurance practices into their day to day activities. Our knowledgeable and trained team has extensive experience in management systems. audits and assessments process improvement project change management and business. performance management among others We pride ourselves on our fresh and strong culture. focused on delivering services using the right approach and methods to suit your company s. way of operating, Our Assurance Program services include assurance current state assessments assurance. program design and implementation and regulatory and management system audits. Evan Baker Assurance Practice Lead, Evan Baker leads SPAN s Assurance Practice focused on developing and. implementing top to bottom assurance programs He has 30 years experience. with regulatory and management system audits and has developed audit. programs procedures and protocols, Evan has led numerous environment health and safety regulatory and related. technical program audits for pipelines upstream oil and gas thermal and wind. power generation water and wastewater waste management and other. industries, Contact us to learn more about this white paper info spanexperts com.
The ISO 19011 Guidelines for auditing management systems has become the widely accepted standard for auditing not only management systems but operational auditing in general The newest edition of the standard released in July 2018 has some important changes based on the experience gained from implementation of past editions This SPAN

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