ASIS Standards: Auditing for. Improvement. Security, Risk and Resilience. Auditing. Value Added. Auditing

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1 Opportunities for Improvement ANSI/ASIS SPC Planning an Audit Value Added Auditing Evaluating Effectiveness Implementing a Successful Audit ASIS Standards: Auditing for Improvement Security, Risk and Resilience Auditing Dr. Marc Siegel ASIS International European Bureau Brussels, Belgium Lisa DuBrock, CPA, CBCP Managing Partner Radian Compliance Chicago and Washington DC

2 Don t Reinvent the Wheel Credibility and continual improvement are dependent on good auditing technique. Only use existing and recognized approaches for conformity assessment and auditing. Use proven worldwide accepted ISO standards for auditing Internal audits should be at least as rigorous as external audits. Audit for improvements!

3 19011 Revision Due Out in 2011

4 Standards Auditing Audit: systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled. Internal audits, sometimes called first party audits, are conducted by, or on behalf of, the organization itself for management review and other internal purposes, and may form the basis for an organization s declaration of conformity. External audits include those generally termed second and thirdparty audits. Second party audits are conducted by parties having an interest in the organization, such as customers, or by other persons on their behalf. Third party audits are conducted by external, independent auditing organizations, such as those providing certification/registration of conformity to a standard. 2010

5 Audits vs. Inspections Audits Identify operational effectiveness of systems Compare physical conditions with systems and standards Determine whether systems are in place and working effectively Follow a pattern Document areas of non conformance Involve management team Inspections Identify extent of physical conformance to set standards Generally do not consider systems issues or, if so, in limited scope Identify visible hazards and risks Usually done on a regular basis, e.g. monthly, by designated representatives or specialists when necessary Generally take 1 5 hours to complete Generally take 1 5 days or more 2010

6 Stages of Audits Stage One: Documentation review Stage Two: Compliance (systems) audit Classes of Audits: Certification audit Surveillance audit 2010

7 Minimum Knowledge Requirements Knowledge of management systems Knowledge of the standard being audit to, as well as normative documents Principles of auditing based on ISO Technical knowledge of the activity being audited Understanding risk assessment and management from a business perspective General knowledge of regulatory requirements Understanding of resilience, security, preparedness and/or business continuity management 2010

8 The Players Audit client organization or person requesting an audit. The audit client may be the auditee or any other organization which has the regulatory or contractual right to request an audit. Auditee organization being audited

9 The Players Auditor person with the competence to conduct an audit Audit team one or more auditors conducting an audit, supported if needed by technical experts One auditor of the audit team is appointed as the audit team leader. The audit team may include auditors in training. Technical expert person who provides specific knowledge or expertise to the audit team Specific knowledge or expertise is that which relates to the organization, the process or activity to be audited, or language or culture. A technical expert does not act as an auditor in the audit team. 2010

10 Key Terms Audit criteria set of policies, procedures or requirements Audit criteria are used as a reference against which audit evidence is compared. Audit evidence records, statements of fact or other information, which are relevant to the audit criteria and verifiable Audit evidence may be qualitative or quantitative. Audit findings results of the evaluation of the collected audit evidence against audit criteria Audit findings can indicate either conformity or nonconformity with audit criteria or opportunities for improvement. Audit conclusion outcome of an audit provided by the audit team after consideration of the audit objectives and all audit findings 2010

11 Conflict of Interest Previous employment or relationship (personal or professional) with auditor or close competitor Financial interest in auditee s organization or competitor Involvement (consulting) in management system implementation program An interest in being contracted or employed by auditee Offer or receipt of gifts, gratuities or goods and services from auditee 2010

12 PDCA for an Audit Program Plan Establish Authorities Establish the Objectives Establish the Program Act Opportunities for Improvement Continual Improvement of the Audit Program Corrective Actions & Monitoring Do Implementing Audit Program Competence & Selection of Auditing Team Records and Documentation Check Audit program monitoring, evaluation and reviewing Identify needs for corrective and preventive actions

13 Managing an Audit Program Information and resources necessary to organize and conduct the audits effectively and efficiently within the specified time frames Objectives for the audit program and individual audits; Extent/number/types/duration/locations/schedule of the audits; Audit procedures; Audit criteria; Audit methods; Selection of audit teams; Necessary resources, including travel and accommodation; Processes for handling confidentiality, information security, health and safety, and other similar matters; Monitored and measured to ensure its objectives have been achieved; Reviewed in order to identify possible improvements.

14 Initiating the Audit Establishing initial contact with the auditee Determining feasibility of the audit Preparing for the Audit Activities Conducting document review for preparation Preparing the audit plan Preparing work documents PLAN Conducting Audit Activities Conducting the opening meeting Conducting document review during the audit Communicating during the audit Assigning roles and responsibilities of guides and observers Collecting and verifying information Generating audit findings Preparing audit conclusions Conducting the closing meeting DO Preparing, Approving, and Distributing the Audit Report Completing the Audit CHECK Conducting Audit Follow up (if specified in audit plan and report) ACT

15 Audit Tasks PRE AUDIT AUDIT POST AUDIT Set objectives, scope & criteria Select audit team Prepare audit plan Assigning work to audit team Preparing work documents Opening meeting Site/company familiarization Document review or systems audit Compliance audit Evaluation of findings Write report Communicate findings Corrective Action Plan (auditee) Distributing the report Conducting follow up activities (if needed) Schedule site activities Closing meeting Review and improvement

16 Source of Information Collecting and verifying information by appropriate sampling techniques Audit evidence Collecting and Verifying Information to Reach Audit Conclusions Evaluating against audit criteria Audit findings Reviewing Audit conclusions

17 Categories of Non conformities Category 1 Major non conformance Category 2 Minor non conformance Observation System requires investigation and redesign. Personnel set actions to address non conformance. Standard requirements have not been met. Improvements to system required. Personnel set actions to address nonconformance. A note from the auditor. Observations about the system can identify system strengths or areas in a system where future problems may occur and identify opportunities for improvement. Auditor to document findings and communicate to personnel responsible for that particular item/clause. Personnel responsible are to then determine how to respond to non conformance and record this on a corrective action request form. Corrective action to be checked at next audit. If the non conformance is a recurring Category 1 nonconformance, the audit finding will result in the auditor determining that the system does not comply with the Standard. Auditor to document findings and communicate to personnel responsible for that particular item/clause. Personnel responsible are to then determine how to respond to non conformance and record their response on a corrective action request form. Corrective action to be checked at next audit. If the non conformance is a recurring Category 2 nonconformance, the audit finding will result in the auditor determining that the non conformance is now a Category 1 non conformance. Auditor to document findings and communicate to personnel responsible for that particular item/clause. Corrective action not required at this stage. 2010

18 Competence of Auditors Competence = Personal attributes + Generic auditing knowledge and skills + Resilience, Security, Preparedness and Continuity specific knowledge and skills 2010

19 An Auditor Should Be Able To: Apply audit principles, procedures and techniques, Plan and organize the work effectively, Conduct the audit within the agreed time schedule, Prioritize and focus on matters of significance, Collect information through effective interviewing, listening, observing and reviewing documents, records and data, Understand the appropriateness and consequences of using sampling techniques for auditing, Verify the accuracy of collected information, Confirm the sufficiency and appropriateness of audit evidence to support audit findings and conclusions, Assess those factors that can affect the reliability of the audit findings and conclusions, Use work documents to record audit activities, Prepare audit reports, Maintain the confidentiality and security of information, and Communicate effectively, either through personal linguistic skills or through an interpreter. 2010

20 Accreditation and Certification (Registration) Bodies Accreditation Bodies An organization (usually a national standards body associated with ISO) that checks certification bodies and, provided their certification assessment processes pass muster, accredits them i.e. grants them the authority to issue recognized certificates. Relevant Standards ISO/IEC 17011:2004 Conformity assessment General requirements for accreditation bodies accrediting conformity assessment bodies ISO/IEC 17040:2005 Conformity assessment General requirements for peer assessment of conformity assessment bodies and accreditation bodies Certification (Registration) Bodies An independent external body that issues written assurance (the certificate) that it has audited a management system and verified that it conforms to the requirements specified in the standard. ISO 28003:2007 Security management systems for the supply chain Requirements for bodies providing audit and certification of supply chain security management systems ISO/IEC 17021:2006 Conformity assessment Requirements for bodies providing audit and certification of management systems Certified Lead Auditor ISO 19011:2002 (revision expected in 2011) Guidelines for management systems auditing Organization Implements standard may seek formal recognition (certification) by a specialized third party body. ANSI/ASIS.SPC Organizational Resilience: Security, Preparedness and Continuity Management Systems Requirements with Guidance for Use

21 Buyer Beware! Beware of organizations and associations that provide Lead Auditor programs outside the internationally recognized ISO certified programs or RABQSA International and IRCA credentialing systems.

22 Resilience Lead Auditor Training RABQSA RES Resilience Management Systems Auditing (Security, Preparedness, Crisis, Continuity and Recovery Management) Supports standards addressing the management of risk related to events that may potentially disrupt an organization s operations and/or result in losses: Resilience management (e.g., ANSI/ASIS.SPC.1: 2009; ISO 28002:2011; DS 3001:2009; or NEN 7131:2010) Business continuity management (e.g. ANSI/ASIS/BSI BCM.1:2010, BSI 25999:2007 or ISO/DIS 22301) Security management (e.g. ISO 28000:2007, ASIS/WD.PAP.1)

23 Thank You Questions? Dr. Marc Siegel Commissioner, Global Standards Initiative ASIS International Phone: Standards.net Lisa DuBrock, CPA, CBCP Managing Partner Radian Compliance Chicago and Washington DC

Copyright 2015 ASIS International

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