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Risk based auditing
January 6, 2017Posted by on
My friend AKM Desai (firstname.lastname@example.org ) wants me to comment on this topic.
ISO 9000:2005 defines the term risk as ‘effect of uncertainty’, i.e. any potential deviation from expected results which may be positive or negative…
ISO 19011:2011 introduced the concept of risk in auditing. It included both, the risk of the audit process not achieving its objectives and the risk of the audit to interfere with the auditee’s activities and processes. However, it does not provide specific guidance on the
organization’s risk management process.
Specific requirements for managing an effective risk management is provided in Annex SL standards like ISO 9001:2015 (QMS Requirements), ISO 27001:2013 (ISMS Requirements) and ISO 27002:2013 (Implementation guidance to ISMS) etc. Internal and external audits conforming to ISO 19001:2011 guidelines and clause 9.2 of requirements standards like ISO 9001:2015 and ISO 27001:2013 can be defined as ‘Risk based auditing’. Such internal and external audits should be conducted in a seemliness manner to achieve stated audit objectives, without interfering with organisational operations to the extent possible and with full conformance to the requirements in clause 4, 6 and 8 of above requirements standards.