Understanding Management Systems Auditing - Introduction

Understanding Management Systems Auditing

Article - 1

Introduction

ISO 19011 auditing guidelines standard was first published in the year 2002 as ISO 19011:2002, Guidelines for quality and/or environmental management systems auditing. The ISO 19011:2002 standard provides guidance for auditing two management systems standards – (i) Quality management system, and (ii) Environmental management system. After publication of ISO 19011 in the year 2002, International Organization for Standardization (ISO) has published a number of new management systems standards, such as ISO 22000: 2005, ISO/IEC 27001:2005, ISO 50001:2011. As a result ISO considered it necessary to widen the scope of auditing guidelines standard. Accordingly, ISO has published the revised standard ISO 19011:2011, Guidelines for auditing management systems.

In the year 2006, the CASCO (ISO Committee for Conformity Assessment) developed and published ISO/IEC 17021:2006, Conformity assessment – Requirements for bodies providing audit and certification of management systems. This standard has also been revised in 2011 as ISO/IEC 17021:2011, Conformity assessment – Requirements for bodies providing audit and certification of management systems. ISO/IEC 17021:2011 was extended to transform the guidance offered in ISO 19011 into requirements for management system certification audits.

Following modifications have been made by the revision process in the ISO 19011:2011 standard:
- The scope of the ISO 19011:2011 standard has been broadened from auditing quality management system and environmental management system to auditing any management systems
- Remote audit methods have been introduced in ISO 19011:2011
- The concept of risk has been introduced in ISO 19011:2011
- Confidentiality has been added as a new principle of auditing in ISO 19011:2011
- Requirements of clauses 5, 6 and 7 of the earlier standard have been reorganized
- A new annex A (Guidance and illustrative examples of discipline-specific knowledge and skills of auditors) has been added in ISO 19011:2011, thus providing additional guidance on auditing management systems
- A new annex B (Additional guidance for auditors for planning and conducting audits) has been added in ISO 19011:2011, thus providing additional guidance on auditing management systems
- ISO 19011:2011 has strengthened the competence determination and evaluation process

The title of the standard has been modified. ISO 19011:2002 standard title ‘Guidelines for quality and/or environmental management systems auditing’ has been modified in ISO 19011:2011 as ‘Guidelines for auditing management systems’.

A quick reference journey to ISO 19011:2011 standard is given below:

1. Scope
2. Normative reference
3. Terms and definitions
4. Principles of auditing
5. Managing an auditing programme
6. Performing an audit
7. Competence and evaluation of auditors
Annex A – Guidance and illustrative examples of discipline-specific knowledge and skills of auditors
Annex B – Additional guidance for auditors for planning and conducting audits

Next article …. Scope and vocabulary in ISO 19011:2011