Paper CQP 203

Management Systems Audits

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Understand the management systems auditing process

On completion, a candidate should be able to

Understand auditing principles and terminologies
Apply Risk-based approach in audit process
Plan and Execute Management systems audit
Report and conduct follow up audits

Content

9
3
25
2
Risk-based approach to auditing
Understand the risk-based approach in auditing
1. Audit process
2. Audit risks
3. Audit opportunities
4. Actions to address audit risks and opportunities
5. Benefits of risk-based approach
3
Auditors’ Etiquette
Describe attributes of a professional management system auditor
1. Management systems auditors Etiquette
2. The DO’s of management systems auditing
3. The DONT’s of management systems auditing
4
Audit program and audit planning
Plan for an audit
1. Developing Management system audit program
2. Planning for Management system audit and developing audit plan
3. Audit program risks
4. Appointment of Management system audit team
5
Audit execution
Execute an audit
1. Audit objectives
2. Audit criteria
3. Audit opening meeting
4. Conducting audit
5. Auditors review
6. Closing meeting
7. Conducting interviews
8. Communication during the audit
9. Recording audit findings
10. Handling difficult situations
11. Role plays
6
Audit reporting
Write audit report
1. Audit report content
2. Audit report control and distribution
3. Management Review
4. Writing an audit report
7
Handling opportunities and nonconformities (NCs)
Describe opportunities, nonconformities and their categories
1. Recording management systems nonconformities
2. Root cause analysis
3. Techniques for root cause analysis
4. Corrective action plan
8
Audit follow up activities
Conduct audit follow up activities
1. Management systems audits follow planning
2. Management systems audit follow up techniques
3. Evaluation of effectiveness of corrective actions
4. Management systems audits follow up reporting
5. Audit follow up activities
6. Closing of audit
7. Management of auditor competence