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Scope:
ISO 19011 provides guidance on the
principles of auditing, managing audit programs, conducting quality
management system (QMS) audits and Environmental Management System
(EMS) audits, as well as guidance on the competence of quality and
environmental management system auditors.
It is applicable to all organizations
needing to conduct internal or external audits of quality and/or
environmental management systems or to manage an audit program.
References:
The following documents contain provisions
which, through references in this text, constitute provisions of
this Standard.
ISO 9001:2000, Quality Management Systems Fundamentals and
Vocabulary
ISO 14050:2002, Environmental Management Vocabulary
Terms and definitions:
For the purpose of ISO 19011 the terms and
definitions given in ISO 9000 and ISO 14050 apply, unless superseded
by the terms and definitions given below.
Audit: systematic, independent and
documented process for obtaining audit evidence and evaluating it
objectively to determine the extent to which the audit criteria are
fulfilled
NOTE 1: 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 self-declaration of conformity. In many
cases, particularly in smaller organizations, independence can be
demonstrated by freedom from responsibility for the activity being
audited.
NOTE 2: External audits include those generally termed second and
third party 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 registration or certification of conformity to the
requirements of ISO 9001 or ISO 14001.
NOTE 3: When a quality management system and an environmental
management system are audited together, this is termed a combined
audit.
NOTE 4: When two or more auditing organizations cooperate to audit a
single auditee this is termed a joint audit.
Audit Criteria: set of policies, procedures or requirements
NOTE: 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
NOTE: Audit evidence may be qualitative or quantitative.
Audit findings: results of the evaluation of the collected
audit evidence against audit criteria.
NOTE: Audit findings can indicate either conformity or nonconformity
with audit criteria or opportunities for improvement.
Audit conclusion: outcome of an audit, provided by audit team
after consideration of the audit objectives and all audit findings.
Audit client: organization or person requesting an audit
NOTE: An 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
Auditor: person with the competence to conduct an audit
Audit team: one or more auditors conducting an audit,
supported if needed by technical experts
NOTE 1: One auditor of the audit team is appointed the audit team
leader.
NOTE 2: The audit team may include auditors-in-training.
Technical expert: person who provides specific knowledge or
expertise to the auditor
NOTE 1: Specific knowledge or expertise is that which relates to the
organization, the process or activity to be audited, or language or
culture.
NOTE 2: A technical expert does not act as an auditor in the audit
team.
Audit program: set of one or more audits planned for a
specific time frame and directed towards a specific purpose
NOTE: An audit program includes all activities necessary for
planning, organizing and conducting the audits.
Audit plan: description of the activities and arrangements
for an audit
Audit scope: extent and boundaries of an audit
NOTE: The audit scope generally includes a description of the
physical locations, organizational units, activities and processes,
as well as the time period covered.
The links below are excerpts from the our
e-book "Explanations and Definitions
for ISO 19011:2002"
Section 2. ISO 19011 Principles of
auditing
Section 3. ISO 19011 Managing an
audit program
Section 4. ISO 19011 Audit program
implementation
Section 5. ISO 19011 Audit
activities
Section 6. ISO 19011 Preparing for
onsite activities
Section 7. ISO 19011 Conducting
onsite activities
Section 8. ISO 19011 What the
auditor is looking for
Section 9 ISO 19011 Audit
reporting
Section 10. ISO 19011 Audit
techniques
Section 11. ISO 19011 Audit path
Section 12. ISO 19011 Effective
communications
Section 13. ISO 19011 Sampling
Section 14. ISO 19011 Audit
completion and follow-up
Section 15. ISO 19011 Competence
and evaluation of auditors
This represents a summary of the section in ISO 19011:2002. It's
suggested that you obtain an actual copy of the standard to refer to
for auditing program purposes.
EBook
"Explanations and Definitions for ISO 19011:2002"
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Courseware
What
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What is ISO 9000?
What is ISO 9001?
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