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ISO 19011 1st edition 200210-01

Guidelines for quality and/or
environmental management systems
auditing
/

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ISO/TC 176 , ISO/TC 207 ISO 19011:2002
ISO 14010 : 1996 :
14011 : 1996
14012 : 1996
ISO 10011-1 : 1990
10011-2 : 1991
10011-3 : 1991
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ISO 19011 2002
 ISO 19011 : 2002

:-

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 1.Scope
Guidance : - principle of audit
- manage audit programme
- conduct an audit
- competence of auditors

Internal , external audit

Quality , environmental management
systems Amorn 02/06/20
 2. Normative reference

ISO 9000 : 2000 Quality management systems

- Fundamentals and
vocabulary

ISO 14050 : 2002 Environmental management

- Vocabulary
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 3. Terms and definitions
audit technical expert
audit criteria audit programme
audit evidence audit plan
audit findings audit scope
audit conclusion competence
audit client audit team
auditee
auditor
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 Audit
Audit :- Systematic , independent and documented process
for obtaining audit evidence and evaluating it objectively to
determine the extent to which audit criteria are fulfilled ( ISO
19011 : 2002 )
Quality Audit :- A systematic and independent
examination to determine whether quality activities and
related results comply with planned arrangements and whether
these arrangements are implemented effectively and are
suitable to achieve objectives ( ISO 8402 : 1994 )
Internal Audit :- is done by the organization itself. ( EAL-G3 )
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 Terms and Definition ISO 19011 : 2002
audit set of policies , procedures or requirements
criteria which
against : collected audit evidence is compared
audit evidence : records , statements of fact or other
information , which are relevant to audit and verifiable.
audit results of the evaluation of the collected
audit evidence
findings : against audit criteria
audit outcome of an audit , provided by
conclusions
the audit team
: after consideration of all the audit objectives
and all audit findings
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 Terms and Definition ISO 19011 : 2002

audit client : organization or person requesting an audit

auditee : organization being audited
auditor : person with the competence to conduct an audit.
audit teamone: or more auditors conducting an audit ,
supported if needed by technical experts
technical expert : person who provides specific knowledge or
expertise to the audit team.
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 Terms and Definition ISO 19011 : 2002

audit programme : set of one or more audits planned for a

specific time frame and directed towards a specific
audit plan : description ofpurpose.
the activities and arrangement
for an audit.
Audit scope : extent and boundaries of an audit

competence : demonstrated personal attributes and

demonstrated ability to apply knowledge and skills.
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 4. Principles of auditing
audit character
- effective
- independence
- systematic
auditors : - ethical conduct
- fair presentation
- due professional care
- independence
- evidence
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based approach
 5. Managing of audit programme
authority for the audit programme
(5.1)

establish the audit programme

(5.2,5.3)
(ACT.) PLAN
Improve the
audit
mplement
programme the audit programme
(5.6) competence&
evaluation of
auditors(7) DO
(5.4,5.5) audit activities(6)
CHECK
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 6. Audit activities
Initiating the audit 6.2 Conducting audit
follow up 6.8
Conducting Doc. review 6.3
Completing the
Preparing for the on-site audit 6.7
audit activities 6.4
Preparing,
Conducting on-site audit approving and
activities 6.5 distributing the
audit report 6.6
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7. Competence and evaluation of auditors

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 7.5 Maintenance and improvement
of competence

7.5.1 Continual professional development

7.5.2 Maintenance of auditing ability

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 7.6 Auditor evaluation

- Planned

- implemented

-recorded

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THE END

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 5.2,5.3 establish the audit programme

Objective and extent

Responsibilities
Resources
Procedures

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 5.4,5.5 implement the audit programme

scheduling audits
evaluating auditors
selecting audit teams
directing audit activities
maintaining records

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5.6 monitoring,reviewing the audit programme

monitoring and reviewing

identifying needs for corrective and
preventive actions
identifying opportunities for improvement

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6.2 Initiating the audit

appointing the audit team leader

defining audit objectives, scope and criteria
determining the feasibility of the audit
selecting the audit team
establishing initial contact with the auditee

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6.3 Conducting document review

reviewing relevant management system

documents, including records, and
determining their adequacy with respect to
audit criteria

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 6.4 Preparing for
the on-site audit activities

preparing the audit plan

assigning work to the audit team
preparing work documents

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 6.5 Conducting on-site audit activities

conducting opening meeting

communication during the audit
roles and responsibilities of guides and observers
collecting and verifying information
generating audit findings
preparing audit conclusions
conducting closing meeting
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 Sources of Information
Collecting by appropriate sampling and verifying

Audit evidences

Evaluating against audit criteria

Audit findings

Reviewing

Audit conclusions
Overview of the process from collecting
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information to reaching audit conclusions
 6.6 Preparing, approving and
distributing the audit report

preparing the audit report

approving and distributing the audit report

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