Standard
Track updates
AS/NZS ISO 19011:2019
[Current]Guidelines for auditing management systems
The objective of this Standard is to provide guidance on auditing management systems, including the principles of auditing, managing an audit programme and conducting management system audits, as well as guidance on the evaluation of competence of individuals involved in the audit process. These activities include the individual(s) managing the audit programme, auditors and audit teams.
Published: 22/08/2019
Pages: 46
Table of contents
Cited references
Content history
Table of contents
Header
About this publication
Preface
Foreword
Introduction
1 Scope
2 Normative references
3 Terms and definitions
4 Principles of auditing
5 Managing an audit programme
5.1 General
5.2 Establishing audit programme objectives
5.3 Determining and evaluating audit programme risks and opportunities
5.4 Establishing the audit programme
5.4.1 Roles and responsibilities of the individual(s) managing the audit programme
5.4.2 Competence of individual(s) managing audit programme
5.4.3 Establishing extent of audit programme
5.4.4 Determining audit programme resources
5.5 Implementing audit programme
5.5.1 General
5.5.2 Defining the objectives, scope and criteria for an individual audit
5.5.3 Selecting and determining audit methods
5.5.4 Selecting audit team members
5.5.5 Assigning responsibility for an individual audit to the audit team leader
5.5.6 Managing audit programme results
5.5.7 Managing and maintaining audit programme records
5.6 Monitoring audit programme
5.7 Reviewing and improving audit programme
6 Conducting an audit
6.1 General
6.2 Initiating audit
6.2.1 General
6.2.2 Establishing contact with auditee
6.2.3 Determining feasibility of audit
6.3 Preparing audit activities
6.3.1 Performing review of documented information
6.3.2 Audit planning
6.3.2.1 Risk-based approach to planning
6.3.2.2 Audit planning details
6.3.3 Assigning work to audit team
6.3.4 Preparing documented information for audit
6.4 Conducting audit activities
6.4.1 General
6.4.2 Assigning roles and responsibilities of guides and observers
6.4.3 Conducting opening meeting
6.4.4 Communicating during audit
6.4.5 Audit information availability and access
6.4.6 Reviewing documented information while conducting audit
6.4.7 Collecting and verifying information
6.4.8 Generating audit findings
6.4.9 Determining audit conclusions
6.4.9.1 Preparation for closing meeting
6.4.9.2 Content of audit conclusions
6.4.10 Conducting closing meeting
6.5 Preparing and distributing audit report
6.5.1 Preparing audit report
6.5.2 Distributing audit report
6.6 Completing audit
6.7 Conducting audit follow-up
7 Competence and evaluation of auditors
7.1 General
7.2 Determining auditor competence
7.2.1 General
7.2.2 Personal behaviour
7.2.3 Knowledge and skills
7.2.3.1 General
7.2.3.2 Generic knowledge and skills of management system auditors
7.2.3.3 Discipline and sector-specific competence of auditors
7.2.3.4 Generic competence of audit team leader
7.2.3.5 Knowledge and skills for auditing multiple disciplines
7.2.4 Achieving auditor competence
7.2.5 Achieving audit team leader competence
7.3 Establishing auditor evaluation criteria
7.4 Selecting appropriate auditor evaluation method
7.5 Conducting auditor evaluation
7.6 Maintaining and improving auditor competence
Annex A
A.1 Applying audit methods
A.2 Process approach to auditing
A.3 Professional judgement
A.4 Performance results
A.5 Verifying information
A.6 Sampling
A.6.1 General
A.6.2 Judgement-based sampling
A.6.3 Statistical sampling
A.7 Auditing compliance within a management system
A.8 Auditing context
A.9 Auditing leadership and commitment
A.10 Auditing risks and opportunities
A.11 Life cycle
A.12 Audit of supply chain
A.13 Preparing audit work documents
A.14 Selecting sources of information
A.15 Visiting the auditee’s location
A.16 Auditing virtual activities and locations
A.17 Conducting interviews
A.18 Audit findings
A.18.1 Determining audit findings
A.18.2 Recording conformities
A.18.3 Recording nonconformities
A.18.4 Dealing with findings related to multiple criteria
Bibliography
Cited references in this standard
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