AS/NZS ISO 19011:2003

1 - AS/NZS ISO 19011:2003 GUIDELINES FOR QUALITY AND/OR ENVIRONMENTAL MANAGEMENT SYSTEMS AUDITING
4 - PREFACE
5 - CONTENTS
6 - INTRODUCTION
7 - 1 Scope
7 - 2 Normative references
7 - 3 Terms and definitions
7 - 3.1 audit
8 - 3.2 audit criteria
8 - 3.3 audit evidence
8 - 3.4 audit findings
8 - 3.5 audit conclusion
8 - 3.6 audit client
8 - 3.7 auditee
8 - 3.8 auditor
8 - 3.9 audit team
9 - 3.10 technical expert
9 - 3.11 audit programme
9 - 3.12 audit plan
9 - 3.13 audit scope
9 - 3.14 competence
9 - 4 Principles of auditing
10 - 5 Managing an audit programme
10 - 5.1 General
12 - 5.2 Audit programme objectives and extent
12 - 5.2.1 Objectives of an audit programme
13 - 5.2.2 Extent of an audit programme
13 - 5.3 Audit programme responsibilities, resources and procedures
13 - 5.3.1 Audit programme responsibilities
13 - 5.3.2 Audit programme resources
14 - 5.3.3 Audit programme procedures
14 - 5.4 Audit programme implementation
14 - 5.5 Audit programme records
15 - 5.6 Audit programme monitoring and reviewing
15 - 6 Audit activities
15 - 6.1 General
17 - 6.2 Initiating the audit
17 - 6.2.1 Appointing the audit team leader
17 - 6.2.2 Defining audit objectives, scope and criteria
17 - 6.2.3 Determining the feasibility of the audit
17 - 6.2.4 Selecting the audit team
18 - 6.2.5 Establishing initial contact with the auditee
19 - 6.3 Conducting document review
19 - 6.4 Preparing for the on-site audit activities
19 - 6.4.1 Preparing the audit plan
20 - 6.4.2 Assigning work to the audit team
20 - 6.4.3 Preparing work documents
20 - 6.5 Conducting on-site audit activities
20 - 6.5.1 Conducting the opening meeting
21 - 6.5.2 Communication during the audit
22 - 6.5.3 Roles and responsibilities of guides and observers
22 - 6.5.4 Collecting and verifying information
24 - 6.5.5 Generating audit findings
25 - 6.5.6 Preparing audit conclusions
25 - 6.5.7 Conducting the closing meeting
26 - 6.6 Preparing, approving and distributing the audit report
26 - 6.6.1 Preparing the audit report
26 - 6.6.2 Approving and distributing the audit report
27 - 6.7 Completing the audit
27 - 6.8 Conducting audit follow-up
27 - 7 Competence and evaluation of auditors
27 - 7.1 General
28 - 7.2 Personal attributes
28 - 7.3 Knowledge and skills
28 - 7.3.1 Generic knowledge and skills of quality management system and environmental management system auditors
30 - 7.3.2 Generic knowledge and skills of audit team leaders
30 - 7.3.3 Specific knowledge and skills of quality management system auditors
30 - 7.3.4 Specific knowledge and skills of environmental management system auditors
31 - 7.4 Education, work experience, auditor training and audit experience
31 - 7.4.1 Auditors
32 - 7.4.2 Audit team leaders
32 - 7.4.3 Auditors who audit both quality and environmental management systems
32 - 7.4.4 Levels of education, work experience, auditor training and audit experience
33 - 7.5 Maintenance and improvement of competence
33 - 7.5.1 Continual professional development
33 - 7.5.2 Maintenance of auditing ability
34 - 7.6 Auditor evaluation
34 - 7.6.1 General
35 - 7.6.2 Evaluation process

Provides guidance on the principles of auditing, managing audit programmes, conducting quality management systems audits and environmental management system audits, as well as guidance on the competence of quality and environmental management system auditors.

This International 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 internal or external audits of quality and/or environmental management systems or to manage an audit programme.The application of this International Standard to other types of audit is possible in principle, provided that special consideration is paid to identifying the competence needed by the audit team members in such cases.

First published in Australia as AS 3911.1(Int)-1990, AS 3911.2(Int)-1990 and AS 3911.3(Int)-1990.AS 3911.1(Int)-1990 revised and designated as AS 3911.1-1992.AS 3911.2(Int)-1990 revised and designated as AS 3911.2-1992.AS 3911.3(Int)-1990 revised and designated as AS 3911.3-1992.AS/NZS ISO 14010(Int) first published 1995.AS/NZS ISO 14011(Int) first published 1995.AS/NZS ISO 14012(Int) first published 1995.AS/NZS ISO 14010(Int):1995 jointly revised and designated as AS/NZS ISO 14010:1996.AS/NZS ISO 14011(Int):1995 jointly revised and designated as AS/NZS ISO 14011:1996.AS/NZS ISO 14012(Int):1995 jointly revised and designated as AS/NZS ISO 14012:1996.First published in New Zealand as NZS 10011.1:1992, NZS 10011.2:1992 and NZS 10011.3:1992.AS 3911.1-1992, AS 3911.2-1992, AS 3911.3-1992, AS/NZS ISO 14010:1996, AS/NZS 14011:1996, AS/NZS ISO 14012:1996, NZS 10011.1:1992, NZS 10011.2:1992 and NZS 10011.3:1992 jointly revised, amalgamated and redesignated as AS/NZS ISO 19011:2003. First published in Australia as AS 3911.1(Int)-1990, AS 3911.2(Int)-1990 and AS 3911.3(Int)-1990. AS 3911.1(Int)-1990 revised and designated as AS 3911.1-1992. AS 3911.2(Int)-1990 revised and designated as AS 3911.2-1992. AS 3911.3(Int)-1990 revised and designated as AS 3911.3-1992. AS/NZS ISO 14010(Int) first published 1995. AS/NZS ISO 14011(Int) first published 1995. AS/NZS ISO 14012(Int) first published 1995. AS/NZS ISO 14010(Int):1995 jointly revised and designated as AS/NZS ISO 14010:1996. AS/NZS ISO 14011(Int):1995 jointly revised and designated as AS/NZS ISO 14011:1996. AS/NZS ISO 14012(Int):1995 jointly revised and designated as AS/NZS ISO 14012:1996. First published in New Zealand as NZS 10011.1:1992, NZS 10011.2:1992 and NZS 10011.3:1992. AS 3911.1-1992, AS 3911.2-1992, AS 3911.3-1992, AS/NZS ISO 14010:1996, AS/NZS 14011:1996, AS/NZS ISO 14012:1996, NZS 10011.1:1992, NZS 10011.2:1992 and NZS 10011.3:1992 jointly revised, amalgamated and redesignated as AS/NZS ISO 19011:2003.