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This ISO 19011:2002 Standard provides guidance on the principles of
auditing, managing audit programmes, conducting quality management
system audits and environmental management system audits, as well as
guidance on the competence of quality and environmental management
system auditors. It is applicable to all organizations needing to
conduct intemal or external audits of quality, environmental management
systems, etc. or to manage an audit programme.
Auditing is characterized by
reliance on a number of principles. These make the audit an effective
and reliable tool in support of management policies and controls,
providing information on which an organization can act to improve its
performance. Adherence to these principles is a prerequisite for
providing audit conclusions that are relevant and sufficient and for
enabling auditors working independently from one another to reach
similar conclusions in similar circumstances.
The following principles relate to auditors
-
Ethical conduct: the
foundation of professionalism
Trust, integrity, confidentiality and discretion are essential to
auditing.
-
Fair presentation: the
obligation to report truthfully and accurately
Audit findings, audit conclusions and audit reports reflect
truthfully and accurately the audit activities. Significant
obstacles encountered during the audit and unresolved diverging
opinions between the audit team and the auditee are reported.
-
Due professional care: the
application of diligence and judgement in auditing
Auditors exercise care in accordance with the importance of the task
they perform and the confidence placed in them by audit clients and
other interested parties. Having the necessary competence is an
important factor. Further principles relate to the audit, which is
by definition independent and systematic
-
Independence: the basis for
the impartiality of the audit and objectivity of the audit
conclusions
Auditors are independent of the activity being audited and are free
from bias and conflict of interest. Auditors maintain an objective
state of mind throughout the audit process to ensure that the audit
findings and conclusions will be based only on the audit evidence.
-
Evidence-based approach:
the rational method for reaching reliable and reproducible audit
conclusions in a systematic audit process.
Audit evidence is verifiable. It is based on samples of the
information available, since an audit is conducted during a finite
period of time and with finite resources. The appropriate use of
sampling is closely related to the confidence that can be placed in
the audit conclusions.
An audit programme may include
one or more audits, depending upon the size, nature and complexity of
the organization to be audited. These audits may have a variety of
objectives and may also include joint or combined audits. An audit
programme also includes all activities necessary for planning and
organizing the types and number of audits, and for providing resources
to conduct them effectively and efficiently within the specified time
frames. An organization may establish more than one audit programme.
The organization’s top management should grant the authority for
managing the audit programme. Those assigned the responsibility
for managing the audit programme should
-
establish, implement,
monitor, review and improve the audit programme, and
-
identify the necessary
resources and ensure they are provided.
Audit programme procedures should address the following:
-
planning and scheduling
audits;
-
assuring the competence of
auditors and audit team leaders;
-
selecting appropriate audit
teams and assigning their roles and responsibilities;
-
conducting audits;
-
conducting audit follow-up,
if applicable;
-
maintaining audit programme
records;
-
monitoring the performance
and effectiveness of the audit programme;
-
reporting to top management
on the overall achievements of the audit programme.
The implementation of an audit
programme should address the following:
-
communicating the audit
programme to relevant parties;
-
coordinating and scheduling
audits and other activities relevant to the audit programme;
-
establishing and
maintaining a process for the evaluation of the auditors and their
continual professional development;
-
ensuring the selection of
audit teams;
-
providing necessary
resources to the audit teams;
-
ensuring the conduct of
audits according to the audit programme;
-
ensuring the control of
records of the audit activities;
-
ensuring review and
approval of audit reports, and ensuring their distribution to the
audit client and other specified parties;
-
ensuring audit follow-up,
if applicable.
Records should be retained and
suitably safeguarded. Records should be maintained to demonstrate the
implementation of the audit programme and should include the following:
-
records related to
individual audits, such as audit plans, audit reports, nonconformity
reports, corrective and preventive action reports, and audit
follow-up reports, if applicable;
-
results of audit programme
review;
-
records related to audit
personnel covering subjects such as auditor competence and
performance evaluation, audit team selection, and maintenance and
improvement of competence.
The implementation of the audit
programme should be monitored and, at appropriate intervals, reviewed to
assess whether its objectives have been met and to identify
opportunities for improvement. The results should be reported to top
management. Performance indicators should be used to monitor
characteristics such as the ability of the audit teams to
implement the audit plan, conformity with audit programmes and
schedules, and feedback from audit clients, auditees and auditors.
The audit programme review should consider results and trends from
monitoring, conformity with procedures, evolving needs and expectations
of interested parties, audit programme records, altemative or new
auditing practices, and consistency in performance between audit teams
in similar situations. Results of audit programme reviews can lead
to corrective and preventive actions and the improvement of the audit
programme.
Those assigned the responsibility for managing the audit programme
should appoint the audit team leader for the specific audit. Where
a joint audit is conducted, it is important to reach agreement among the
auditing organizations before the audit commences on the specific
responsibilities of each organization, particularly with regard to the
authority of the team leader appointed for the audit.
Within the overall objectives of an audit programme, an individual audit
should be based on documented objectives, scope and criteria. The audit
objectives define what is to be accomplished by the audit and may
include the following:
-
determination of the extent
of conformity of the auditee's management system, or parts of it,
with audit criteria;
-
evaluation of the
capability of the management system to ensure compliance with
statutory, regulatory and contractual requirements;
-
evaluatation of the
effectiveness of the management system in meeting its specified
objectives;
-
identification of areas for
potential improvement of the management system.
The audit scope describes the
extent and boundaries of the audit, such as physical locations,
organizational units, activities and processes to be audited, as well as
the time period covered by the audit.
The audit criteria are used as a reference against which conformity is
determined and may include applicable policies, procedures, standards,
laws and regulations, management system requirements, contractual
requirements or industry/business sector codes of conduct.
The audit objectives should be defined by the audit client. The audit
scope and criteria should be defined between the audit client and the
audit team leader in accordance with audit programme procedures. Any
changes to the audit objectives, scope or criteria should be agreed to
by the same parties.
Where a combined audit is to be conducted, it is important that the
audit team leader ensures that the audit objectives, scope and criteria
are appropriate to the nature of the combined audit.
The feasibility of the audit should be determined, taking into
consideration such factors as the availability of sufficient and
appropriate information for planning the audit, adequate cooperation
from the auditee, and adequate time and resources. Where the
audit is not feasible, an altemative should be proposed to the audit
client, in consultation with the auditee.
When the audit has been declared feasible, an audit team should be
selected, taking into account the competence needed to achieve the
objectives of the audit. If there is only one auditor, the auditor
should perform all applicable duties of an audit team leader. Clause 7
contains guidance on determining the competence needed and describes
processes for evaluating auditors. In deciding the size and
composition of the audit team, consideration should be given to the
following:
-
audit objectives, scope,
criteria and estimated duration of the audit;
-
whether the audit is a
combined or joint audit;
-
the overall competence of
the audit team needed to achieve the objectives of the audit;
-
statutory, regulatory,
contractual and accreditation/certifcation requirements, as
applicable;
-
the need to ensure the
independence of the audit team from the activities to be audited and
to avoid conflict of interest;
-
the ability of the audit
team members to interact effectively with the auditee and to work
together;
-
the language of the audit,
and an understanding of the auditee’s particular social and cultural
characteristics; these issues may be addressed either by the
auditor’s own skills or through the support of a technical expert.
The process of assuring the
overall competence of the audit team should include identification of
the knowledge and skills needed to achieve the objectives of the audit
and selection of the audit team members such that all of the necessary
knowledge and skills are present in the audit team. If not fully
covered by the auditors in the audit team, the necessary knowledge and
skills may be satisfied by including technical experts. Technical
experts should operate under the direction of an auditor.
Auditors-in-training may be included in the audit team, but should not
audit without direction or guidance.
Both the audit client and the auditee can request the replacement of
particular audit team members on reasonable grounds based on the
principles of auditing described in clause 4. Examples of reasonable
grounds include conflict of interest situations (such as an audit team
member having been a former employee of the auditee or having provided
consultancy services to the auditee) and previous unethical behaviour.
Such grounds should be communicated to the audit team leader and to
those assigned responsibility for managing the audit programme, who
should resolve the issue with the audit client and auditee before making
any decisions on replacing audit team members.
The initial contact for the audit with the auditee may be informal or
formal, but should be made by those assigned responsibility for managing
the audit programme or the audit team leader. The purpose of the initial
contact is
-
to establish communication
channels with the auditee’s representative,
-
to confirm the authority to
conduct the audit,
-
to provide information on
the proposed timing and audit team composition,
-
to request access to
relevant documents, including records,
-
to determine applicable
site safety rules,
-
to make arrangements for
the audit, and
-
to agree on the attendance
of observers and the need for guides for the audit team.
Prior to the on-site audit
activities the auditee’s documentation should be reviewed to determine
the conformity of the system, as documented, with audit criteria. The
documentation may include relevant management system documents and
records, and previous audit reports. The review should take into account
the size, nature and complexity of the organization, and the objectives
and scope of the audit. In some situations, this review may be deferred
until the on-site activities commence, if this is not detrimental to the
effectiveness of the conduct of the audit. In other situations, a
preliminary site visit may be conducted to obtain a suitable overview of
available information. If the documentation is found to be
inadequate, the audit team leader should inform the audit client, those
assigned responsibility for managing the audit programme, and the
auditee. A decision should be made as to whether the audit should be
continued or suspended until documentation concerns are resolved.
The audit team leader should prepare an audit plan to provide the basis
for the agreement among the audit client, audit team and the auditee
regarding the conduct of the audit. The plan should facilitate
scheduling and coordination of the audit activities. The amount of
detail provided in the audit plan should reflect the scope and
complexity of the audit. The details may differ, for example, between
initial and subsequent audits and also between internal and external
audits. The audit plan should be sufficiently flexible to permit
changes, such as changes in the audit scope, which can become necessary
as the on-site audit activities progress. The audit plan should cover
-
the audit objectives;
-
the audit criteria and any
reference documents;
-
the audit scope, including
identification of the organizational and functional units and
processes to be audited;
-
the dates and places where
the on-site audit activities are to be conducted;
-
the expected time and
duration of on-site audit activities, including meetings with the
auditee’s management and audit team meetings;
-
the roles and
responsibilities of the audit team members and accompanying persons;
-
the allocation of
appropriate resources to critical areas of the audit.
-
identification of the
auditee’s representative for the audit;
-
the working and reporting
language of the audit where this is different from the language of
the auditor and/or the auditee;
-
the audit report topics;
-
logistic arrangements
(travel, on-site facilities, etc.);
-
matters related to
confidentiality;
-
any audit follow-up
actions.
The plan should be reviewed and
accepted by the audit client, and presented to the auditee, before the
on-site audit activities begin. Any objections by the auditee should be
resolved between the audit team leader, the auditee and the audit
client. Any revised audit plan should be agreed among the parties
concemed before continuing the audit.
The audit team leader, in consultation with the audit team, should
assign to each team member responsibility for auditing specific
processes, functions, sites, areas or activities. Such assignments
should take into account the need for the independence and competence of
auditors and the effective use of resources, as well as different roles
and responsibilities of auditors, auditors-in-training and technical
experts. Changes to the work assignments may be made as the audit
progresses to ensure the achievement of the audit objectives.
The audit team members should review the information relevant to their
audit assignments and prepare work documents as necessary for reference
and for recording audit proceedings. Such work documents may include
checklists and audit sampling plans and forms for recording information,
such as supporting evidence, audit findings and records of meetings.
The use of checklists and forms should not restrict the extent of audit
activities, which can change as a result of information collected during
the audit.
Work documents, including records resulting from their use, should be
retained at least until audit completion. Those documents
involving confidential or proprietary information should be suitably
safeguarded at all times by the audit team members.
An opening meeting should be held with the auditee’s management or,
where appropriate, those responsible for the functions or processes to
be audited. The purpose of an opening meeting is
a) to confirm the audit plan,
b) to provide a short summary of how the audit activities will be
undertaken,
c) to confirm communication channels, and
d) to provide an opportunity for the auditee to ask questions
In many instances, for example internal audits in a small organization,
the opening meeting may simply consist of communicating that an audit is
being conducted and explaining the nature of the audit. For other
audit situations, the meeting should be formal and records of the
attendance should be kept. The meeting should be chaired by the audit
team leader, and the following items should be considered, as
appropriate:
-
introduction of the
participants, including an outline of their roles;
-
confirmation of the audit
objectives, scope and criteria;
-
confirmation of the audit
timetable and other relevant arrangements with the auditee, such as
the date and time for the closing meeting, any interim meetings
between the audit team and the auditee's management, and any late
changes;
-
methods and procedures to
be used to conduct the audit, including advising the auditee that
the audit evidence will only be based on a sample of the information
available and that therefore there is an element of uncertainty in
auditing;
-
confirmation of formal
communication channels between the audit team and the auditee;
-
confirmation of the
language to be used dunng the audit;
-
confirmation that, during
the audit, the auditee will be kept informed of audit progress;
-
confirmation that the
resources and facilities needed by the audit team are available;
-
confirmation of matters
relating to confidentiality;
-
confirmation of relevant
work safety, emergency and security procedures for the audit team;
-
confirmation of the
availability, roles and identities of any guides;
-
the method of reporting,
including any grading of nonconformities;
-
information about
conditions under which the audit may be terminated;
-
any information about any
appeal system on the conduct or conclusions of the audit.
Depending upon the scope and
complexity of the audit, it can be necessary to make formal arrangements
for communication within the audit team and with the auditee during the
audit. The audit team should confer periodically to exchange
information, assess audit progress, and to reassign work
between the audit team members as needed. During the audit. the
audit team leader should periodically communicate the progress of the
audit and any concerns to the auditee and audit client, as appropriate.
Evidence collected during the audit that suggests an immediate and
significant risk (e.g. safety, environmental or quality) should be
reported without delay to the auditee and, as appropriate, to the audit
client. Any concern about an issue outside the audit scope should be
noted and reported to the audit team leader, for possible communication
to the audit client and auditee.
Where the available audit evidence indicates that the audit objectives
are unattainable, the audit team leader should report the reasons to the
audit client and the auditee to determine appropriate action. Such
action may include reconfirmation or modification of the audit plan,
changes to the audit objectives or audit scope, or termination of the
audit. Any need for changes to the audit scope which can become
apparent as on-site auditing activities progress should be reviewed with
and approved by the audit client and, as appropriate, the auditee.
Guides and observers may accompany the audit team but are not a part of
it. They should not influence or interfere with the conduct of the
audit. When guides are appointed by the auditee, they should
assist the audit team and act on the request of the audit team leader.
Their responsibilities may include the following:
-
establishing contacts and
timing for interviews;
-
arranging visits to
specific parts of the site or organization;
-
ensuring that rules
concerning site safety and security procedures are known and
respected by the audit team members;
-
witnessing the audit on
behalf of the auditee;
-
providing clarification or
assisting in collecting information
During the audit, information
relevant to the audit objectives, scope and criteria, including
information relating to interfaces between functions, activities and
processes, should be collected by appropriate sampling and should be
verified. Only information that is verifiable may be audit evidence.
Audit evidence should be recorded. The audit evidence is based on
samples of the available information. Therefore there is an element of
uncertainty in auditing, and those acting upon the audit conclusions
should be aware of this uncertainty.
The sources of information
chosen may vary according to the scope and complexity of the audit and
may include the following:
-
interviews with employees
and other persons;
-
observations of activities
and the surrounding work environment and conditions;
-
documents, such as policy,
objectives, plans, procedures, standards, instructions, licences and
permits, specifications, drawings, contracts and orders; records,
such as inspection records, minutes of meetlngs, audlt reports,
records of monitoring programmes and the results of measurements;
data summaries, analyses and performance indicators; information on
the auditee’s sampling programmes and on procedures for the control
of sampling and measurement processes; reports from other sources,
for example, customer feedback, other relevant information from
external parties and supplier ratings; computerized databases and
web sites.
Interviews are one of the
important means of collecting information and should be carried out in a
manner adapted to the situation and the person interviewed. However, the
auditor should consider the following:
-
interviews should be held
with persons from appropriate levels and functions performing
activities or tasks within the scope of the audit;
-
interviews should be
conducted during the normal working hours and, where practical, at
the normal workplace of the person being interviewed;
-
every attempt should be
made to put the person being interviewed at ease prior to and during
the interview;
-
the reason for the
interview and any note taking should be explained;
-
interviews can be initiated
by asking the persons to describe their work;
-
questions that bias the
answers (i.e. leading questions) should be avoided;
-
the results from the
interview should be summarized and reviewed with the interviewed
person;
-
the interviewed persons
should be thanked for their participation and cooperation.
Audit evidence should be
evaluated against the audit criteria to generate the audit findings.
Audit findings can indicate either conformity or nonconformity with
audit criteria. When specified by the audit objectives, audit findings
can identify an opportunity for improvement. The audit team should
meet as needed to review the audit findings at appropriate stages during
the audit.
Conformity with audit criteria should be summarized to indicate
locations, functions or processes that were audited. If included
in the audit plan, individual audit findings of conformity and their
supporting evidence should also be recorded. Nonconformities and
their supporting audit evidence should be recorded. Nonconformities may
be graded. They should be reviewed with the auditee to obtain
acknowledgement that the audit evidence is accurate, and that the
nonconformities are understood. Every attempt should be made to resolve
any diverging opinions concerning the audit evidence and/or findings,
and unresolved points should be recorded.
The audit team should confer prior to the closing meeting
-
to review the audit
findings, and any other appropriate information collected during the
audit, against the audit objectives,
-
to agree on the audit
conclusions, taking into account the uncertainty inherent in the
audit process,
-
to prepare recommendations.
if specified by the audit objectives, and
-
to discuss audit follow-up,
if included in the audit plan.
Audit conclusions can address
issues such as
-
the extent of conformity of
the management system with the audit criteria,
-
the effective
implementation, maintenance and improvement of the management
system, and
-
the capability of the
management review process to ensure the continuing suitability,
adequacy, effectiveness and improvement of the management system.
If specified by the audit
objectives, audit conclusions can lead to recommendations regarding
improvements business relationships, certification/registration or
future auditing activities.
A closing meeting, chaired by the audit team leader, should be held to
present the audit findings and conclusions in such a manner that they
are understood and acknowledged by the auditee, and to agree, if
appropriate, on the timeframe for the auditee to present a corrective
and preventive action plan. Participants in the closing meeting should
include the auditee, and may also include the audit client and other
parties. If necessary, the audit team leader should advise the auditee
of situations encountered during the audit that may decrease the
reliance that can be placed on the audit conclusions. In many
instances, for example intemal audits in a small organization, the
closing meeting may consist of just communicating the audit findings and
conclusions. For other audit situations, the meeting should be
formal and minutes, including records of attendance, should be kept.
Any diverging opinions regarding the audit findings andlor conclusions
between the audit team and the auditee should be discussed and if
possible resolved. If not resolved, all opinions should be recorded.
If specified by the audit objectives, recommendations for improvements
should be presented. It should be emphasized that recommendations are
not binding.
The audit team leader should be responsible for the preparation and
contents of the audit report. The audit report should provide a
complete, accurate, concise and clear record of the audit, and should
include
-
the audit objectives;
-
the audit scope,
particularly identification of the organizational and functional
units or processes audited and the time period covered;
-
identification of the audit
client;
-
identification of audit
team leader and members;
-
the dates and places where
the on-site audit activities were conducted;
-
the audit criteria;
-
the audit findings;
-
the audit conclusions;
-
the audit plan;
-
a list of auditee
representatives;
-
a summary of the audit
process, including the uncertainty and/or any obstacles encountered
that could decrease the reliability of the audit conclusions;
-
confirmation that the audit
objectives have been accomplished within the audit scope in
accordance with the audit plan;
-
any areas not covered,
although within the audit scope;
-
any unresolved diverging
opinions between the audit team and the auditee;
-
recommendations for
improvement, if specified in the audit objectives;
-
agreed follow-up action
plans, if any;
-
a statement of the
confidential nature of the contents;
-
the distribution list for
the audit report.
The audit report should be
issued within the agreed time period. If this is not possible, the
reasons for the delay should be communicated to the audit client and a
new issue date should be agreed. The audit report should be dated,
reviewed and approved in accordance with audit programme procedures The
approved audit report should then be distributed to recipients
designated by the audit client. The audit report is the property
of the audit client. The audit team members and all report recipients
should respect and maintain the confidentiality of the report.
The audit is completed when all activities described in the audit plan
have been carried out and the approved audit report has been
distributed. Documents pertaining to the audit should be retained
or destroyed by agreement between the participating parties and in
accordance with audit programme procedures and applicable statutory,
regulatory and contractual requirements.
Unless required by law, the audit team and those responsible for
managing the audit programme should not disclose the contents of
documents, any other information obtained during the audit, or the audit
report, to any other party without the explicit approval of the audit
client and, where appropriate, the approval of the auditee. If
disclosure of the contents of an audit document is required, the audit
client and auditee should be informed as soon as possible.
The conclusions of the audit may indicate the need for corrective,
preventive or improvement actions, as applicable. Such actions are
usually decided and undertaken by the auditee within an agreed timeframe
and are not considered to be part of the audit. The auditee should keep
the audit client informed of the status of these actions. The completion
and effectiveness of corrective action should be verified. This
verification may be part of a subsequent audit. The audit
programme may specify follow-up by members of the audit team, which adds
value by using their expertise. In such cases, care should be taken to
maintain independence in subsequent audit activities.
Confidence and reliance in the audit process depends on the competence
of those conducting the audit. This competence is based on the
demonstration of the personal attributes and the ability to apply the
audit knowledge and skills gained through the education, work
experience, auditor training and audit experience.
Auditors should possess
personal attributes to enable them to act in accordance with the
principles of auditing. An auditor should be:
-
ethical - fair, truthful,
sincere, honest and discreet;
-
open-minded - willing to
consider alternative ideas or points of view;
-
diplomatic - tactful in
dealing with people;
-
observant - actively aware
of physical surroundings and activities;
-
perceptive - instinctively
aware of and able to understand situations;
-
versatile - adjusts readily
to different situations;
-
tenacious - persistent,
focused on achieving objectives;
-
decisive - reaches timely
conclusions based on logical reasoning and analysis; and
-
self-reliant - acts and
functions independently while interacting effectively with others
Auditors should have knowledge
and skills in the following areas
-
Audit principles,
procedures and techniques: to enable the auditor to apply those
appropriate to different audits and ensure that audits are conducted
in a consistent and systematic manner. An auditor should be able
-
to apply audit
principles, procedures and techniques,
-
to plan and organize
the work effectively,
-
to conduct the audit
within the agreed time schedule,
-
to prioritize and focus
on matters of significance,
-
to collect information
through effective interviewing, listening, observing and
reviewing documents, records and data,
-
to understand the
appropriateness and consequences of using sampling techniques
for auditing,
-
to verify the accuracy
of collected information,
-
to confirm the
sufficiency and appropriateness of audit evidence to support
audit findings and conclusions,
-
to assess those factors
that can affect the reliability of the audit findings and
conclusions,
-
to use work documents
to record audit activities,
-
to prepare audit
reports,
-
to maintain the
confidentiality and security of information, and
-
to communicate
effectively, either through personal linguistic skills or
through an interpreter.
-
Management system and
reference documents: to enable the auditor to comprehend the scope
of the audit and apply audit criteria. Knowledge and skills in this
area should cover
-
the application of
management systems to different organizations,
-
interaction between the
components of the management system,
-
quality or
environmental management system standards, applicable procedures
or other management system documents used as audit criteria,
-
recognizing differences
between and priority of the reference documents,
-
application of the
reference documents to different audit situations, and
-
information systems and
technology for, authorization, security, distribution and
control of documents, data and records.
-
Organizational situations:
to enable the auditor to comprehend the organization's operational
context. Knowledge and skills in this area should cover
-
organizational size,
structure, functions and relationships,
-
general business
processes and related terminology, and
-
cultural and social
customs of the auditee.
-
Applicable laws,
regulations and other requirements relevant to the discipline: to
enable the auditor to work within, and be aware of, the requirements
that apply to the organization being audited. Knowledge and skills
in this area should cover
-
local, regional and
national codes, laws and regulations,
-
contracts and
agreements,
-
international treaties
and conventions, and
-
other requirements to
which the organization subscribes.
Audit team leaders should have
additional knowledge and skills in audit leadership to facilitate the
efficient and effective conduct of the audit. An audit team leader
should be able
-
to plan the audit and make
effective use of resources during the audit,
-
to represent the audit team
in communications with the audit client and auditee,
-
to organize and direct
audit team members,
-
to provide direction and
guidance to auditors-in-training,
-
to lead the audit team to
reach the audit conclusions,
-
to prevent and resolve
conflicts, and
-
to prepare and complete the
audit report.
Quality management system
auditors should have knowledge and skills in quality-related methods and
techniques in order to enable the auditor to examine quality management
systems and to generate appropriate audit findings and conclusions.
Knowledge and skills in this area should cover quality terminology,
quality management principles and their application, and quality
management tools and their application (for example statistical process
control, failure mode and effect analysis, etc., and processes and
products, including services: to enable the auditor to comprehend the
technological context in which the audit is being conducted. Knowledge
and skills in this area should cover sector-specific terminology,
technical characteristics of processes and products, including services,
and sector-specific processes and practices.
Auditors should have the
following education, work experience, auditor training and audit
experience.
-
They should have completed
an education sufficient to acquire the knowledge and skills of
auditing
-
They should have work
experience that contributes to the development of the knowledge and
skills. This work experience should be in a technical,
managerial or professional position involving
the exercise of judgment, problem solving, and communication with
other managerial or professional personnel, peers, customers and/or
other interested parties. Part of the work experience should be in a
position where the activities undertaken contribute to the
development of knowledge and skills in the quality management field
for quality management system auditors, and the environmental
management field for environmental management system auditors.
-
They should have completed
auditor training that contributes to the development of the
knowledge and skills. This training may be provided by the
person's own organization or by an external organization.
-
They should have audit
experience. This experience should have been gained under the
direction and guidance of an auditor who is competent as an audit
team leader in the same discipline.
NOTE The extent of direction and guidance needed during an audit is
at the discretion of those assigned the responsibility for managing
the audit programme and the audit team leader. The provision of
direction and guidance does not imply constant supervision and does
not require someone to be assigned solely to the task.
An audit team leader should
have acquired additional audit experience to develop the knowledge and
skills. This additional experience should have been gained while
acting in the role of an audit team leader under the direction and
guidance of another auditor who is competent as an audit team leader.
Quality management system or environmental management system auditors
who wish to become auditors in the second discipline
-
should have the training
and work experience needed to acquire the knowledge and skills for
the second discipline, and
-
should have conducted
audits covering the management system in the second discipline under
the direction and guidance of an auditor who is competent as an
audit team leader in the second discipline.
An audit team leader in one
discipline should meet the above recommendations to become an audit team
leader in the second discipline.
Source: ISO 19011:2002
Read more about
quality auditing here; and
my blog post
http://iso9001documents.blogspot.com/2009/03/how-to-develop-audit-checklist.html
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