ISO 19011:2018
Guidelines for auditing management systems
This document provides 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.
It is applicable to all organizations that need to plan and conduct internal or external audits of management systems or manage an audit programme.
The application of this document to other types of audits is possible, provided that special consideration is given to the specific competence needed.
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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
6.3.3 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
6.4.10 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
7.2.4 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 (informative) Additional guidance for auditors planning and conducting audits
Bibliography
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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
6.3.3 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
6.4.10 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
7.2.4 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 (informative) Additional guidance for auditors planning and conducting audits
Bibliography