19011 2011 BSI Standards Publication management systems

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BS EN ISO 19011 2011 BRITISH STANDARD,National foreword. This British Standard is the UK implementation of EN ISO. 19011 2011 It supersedes BS EN ISO 19011 2002 which is withdrawn. The UK participation in its preparation was entrusted to Technical. Committee AUS 1 Revision of ISO 19011, A list of organizations represented on this committee can be. obtained on request to its secretary, This publication does not purport to include all the necessary. provisions of a contract Users are responsible for its correct. application,ISBN 978 0 580 66496 0,ICS 03 120 10 13 020 10. Licenced to BSI Training for evaluation purposes only c BSI. Compliance with a British Standard cannot confer immunity from. legal obligations, This British Standard was published under the authority of the.
Standards Policy and Strategy Committee on 30 November 2011. Amendments issued since publication,Date Text affected. EUROPEAN STANDARD EN ISO 19011,NORME EUROP ENNE,EUROP ISCHE NORM October 2011. ICS 03 120 10 13 020 10 Supersedes EN ISO 19011 2002. English Version, Guidelines for auditing management systems ISO 19011 2011. Lignes directrices pour l audit des syst mes de Leitfaden zur Auditierung von Managementsystemen ISO. management ISO 19011 2011 19011 2011, This European Standard was approved by CEN on 11 October 2011. Licenced to BSI Training for evaluation purposes only c BSI. CEN members are bound to comply with the CEN CENELEC Internal Regulations which stipulate the conditions for giving this European. Standard the status of a national standard without any alteration Up to date lists and bibliographical references concerning such national. standards may be obtained on application to the CEN CENELEC Management Centre or to any CEN member. This European Standard exists in three official versions English French German A version in any other language made by translation. under the responsibility of a CEN member into its own language and notified to the CEN CENELEC Management Centre has the same. status as the official versions, CEN members are the national standards bodies of Austria Belgium Bulgaria Croatia Cyprus Czech Republic Denmark Estonia.
Finland France Germany Greece Hungary Iceland Ireland Italy Latvia Lithuania Luxembourg Malta Netherlands Norway Poland. Portugal Romania Slovakia Slovenia Spain Sweden Switzerland and United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION,COMIT EUROP EN DE NORMALISATION. EUROP ISCHES KOMITEE F R NORMUNG, Management Centre Avenue Marnix 17 B 1000 Brussels. 2011 CEN All rights of exploitation in any form and by any means reserved Ref No EN ISO 19011 2011 E. worldwide for CEN national Members,BS EN ISO 19011 2011. EN ISO 19011 2011 E, This document EN ISO 19011 2011 has been prepared by Technical Committee ISO TC 176 Quality. management and quality assurance, This European Standard shall be given the status of a national standard either by publication of an identical.
text or by endorsement at the latest by April 2012 and conflicting national standards shall be withdrawn at the. latest by April 2012, Attention is drawn to the possibility that some of the elements of this document may be the subject of patent. rights CEN and or CENELEC shall not be held responsible for identifying any or all such patent rights. This document supersedes EN ISO 19011 2002, Licenced to BSI Training for evaluation purposes only c BSI. According to the CEN CENELEC Internal Regulations the national standards organizations of the following. countries are bound to implement this European Standard Austria Belgium Bulgaria Croatia Cyprus Czech. Republic Denmark Estonia Finland France Germany Greece Hungary Iceland Ireland Italy Latvia. Lithuania Luxembourg Malta Netherlands Norway Poland Portugal Romania Slovakia Slovenia Spain. Sweden Switzerland and the United Kingdom,Endorsement notice. The text of ISO 19011 2011 has been approved by CEN as a EN ISO 19011 2011 without any modification. BS EN ISO 19011 2011,ISO 19011 2011 E,Contents Page. Foreword iv,Introduction v,2 Normative references 1.
3 Terms and definitions 1,4 Principles of auditing 4. 5 Managing an audit programme 5,5 1 General 5,5 2 Establishing the audit programme objectives 6. 5 3 Establishing the audit programme 7,5 4 Implementing the audit programme 10. 5 5 Monitoring the audit programme 13, Licenced to BSI Training for evaluation purposes only c BSI. 5 6 Reviewing and improving the audit programme 14. 6 Performing an audit 14,6 1 General 14,6 2 Initiating the audit 15.
6 3 Preparing audit activities 16,6 4 Conducting the audit activities 18. 6 5 Preparing and distributing the audit report 23. 6 6 Completing the audit 24,6 7 Conducting audit follow up 24. 7 Competence and evaluation of auditors 24,7 1 General 24. 7 2 Determining auditor competence to fulfil the needs of the audit programme 25. 7 3 Establishing the auditor evaluation criteria 29. 7 4 Selecting the appropriate auditor evaluation method 29. 7 5 Conducting auditor evaluation 29, 7 6 Maintaining and improving auditor competence 29. Annex A informative Guidance and illustrative examples of discipline specific knowledge and skills of. auditors 31, Annex B informative Additional guidance for auditors for planning and conducting audits 37.
Bibliography 44,ISO 2011 All rights reserved iii,BS EN ISO 19011 2011. ISO 19011 2011 E, ISO the International Organization for Standardization is a worldwide federation of national standards bodies. ISO member bodies The work of preparing International Standards is normally carried out through ISO. technical committees Each member body interested in a subject for which a technical committee has been. established has the right to be represented on that committee International organizations governmental and. non governmental in liaison with ISO also take part in the work ISO collaborates closely with the International. Electrotechnical Commission IEC on all matters of electrotechnical standardization. International Standards are drafted in accordance with the rules given in the ISO IEC Directives Part 2. The main task of technical committees is to prepare International Standards Draft International Standards. adopted by the technical committees are circulated to the member bodies for voting Publication as an. International Standard requires approval by at least 75 of the member bodies casting a vote. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent. rights ISO shall not be held responsible for identifying any or all such patent rights. Licenced to BSI Training for evaluation purposes only c BSI. ISO 19011 was prepared by Technical Committee ISO TC 176 Quality management and quality assurance. Subcommittee SC 3 Supporting technologies, This second edition cancels and replaces the first edition ISO 19011 2002 which has been technically revised. The main differences compared with the first edition are as follows. the scope has been broadened from the auditing of quality and environmental management systems to the. auditing of any management systems, the relationship between ISO 19011 and ISO IEC 17021 has been clarified. remote audit methods and the concept of risk have been introduced. confidentiality has been added as a new principle of auditing. Clauses 5 6 and 7 have been reorganized, additional information has been included in a new Annex B resulting in the removal of help boxes.
the competence determination and evaluation process has been strengthened. illustrative examples of discipline specific knowledge and skills have been included in a new Annex A. additional guidelines are available at the following website www iso org 19011auditing. iv ISO 2011 All rights reserved,BS EN ISO 19011 2011. ISO 19011 2011 E,Introduction, Since the first edition of this International Standard was published in 2002 a number of new management. system standards have been published As a result there is now a need to consider a broader scope of. management system auditing as well as providing guidance that is more generic. In 2006 the ISO committee for conformity assessment CASCO developed ISO IEC 17021 which sets out. requirements for third party certification of management systems and which was based in part on the guidelines. contained in the first edition of this International Standard. The second edition of ISO IEC 17021 published in 2011 was extended to transform the guidance offered in. this International Standard into requirements for management system certification audits It is in this context. that this second edition of this International Standard provides guidance for all users including small and. medium sized organizations and concentrates on what are commonly termed internal audits first party. and audits conducted by customers on their suppliers second party While those involved in management. system certification audits follow the requirements of ISO IEC 17021 2011 they might also find the guidance in. this International Standard useful, Licenced to BSI Training for evaluation purposes only c BSI. The relationship between this second edition of this International Standard and ISO IEC 17021 2011 is shown. in Table 1, Table 1 Scope of this International Standard and its relationship with ISO IEC 17021 2011. Internal auditing External auditing,Supplier auditing Third party auditing.
For legal regulatory and similar, Sometimes called first party audit Sometimes called second party audit. For certification see also the,requirements in ISO IEC 17021 2011. This International Standard does not state requirements but provides guidance on the management of an. audit programme on the planning and conducting of an audit of the management system as well as on the. competence and evaluation of an auditor and an audit team. Organizations can operate more than one formal management system To simplify the readability of this. International Standard the singular form of management system is preferred but the reader can adapt the. implementation of the guidance to their own particular situation This also applies to the use of person and. persons auditor and auditors, This International Standard is intended to apply to a broad range of potential users including auditors. organizations implementing management systems and organizations needing to conduct audits of management. systems for contractual or regulatory reasons Users of this International Standard can however apply this. guidance in developing their own audit related requirements. The guidance in this International Standard can also be used for the purpose of self declaration and can be. useful to organizations involved in auditor training or personnel certification. The guidance in this International Standard is intended to be flexible As indicated at various points in the text. the use of this guidance can differ depending on the size and level of maturity of an organization s management. system and on the nature and complexity of the organization to be audited as well as on the objectives and. scope of the audits to be conducted, This International Standard introduces the concept of risk to management systems auditing The approach. adopted relates both to the risk of the audit process not achieving its objectives and to the potential of the. audit to interfere with the auditee s activities and processes It does not provide specific guidance on the. organization s risk management process but recognizes that organizations can focus audit effort on matters of. significance to the management system,ISO 2011 All rights reserved v.
BS EN ISO 19011 2011,ISO 19011 2011 E, This International Standard adopts the approach that when two or more management systems of different. disciplines are audited together this is termed a combined audit Where these systems are integrated into a. single management system the principles and processes of auditing are the same as for a combined audit. Clause 3 sets out the key terms and definitions used in this International Standard All efforts have been taken. to ensure that these definitions do not conflict with definitions used in other standards. Clause 4 describes the principles on which auditing is based These principles help the user to understand the. essential nature of auditing and they are important in understanding the guidance set out in Clauses 5 to 7. Clause 5 provides guidance on establishing and managing an audit programme establishing the audit. programme objectives and coordinating auditing activities. Clause 6 provides guidance on planning and conducting an audit of a management system. Clause 7 provides guidance relating to the competence and evaluation of management system auditors and. audit teams, Annex A illustrates the application of the guidance in Clause 7 to different disciplines. Licenced to BSI Training for evaluation purposes only c BSI. Annex B provides additional guidance for auditors on planning and conducting audits. vi ISO 2011 All rights reserved,BS EN ISO 19011 2011. INTERNATIONAL STANDARD ISO 19011 2011 E,Guidelines for auditing management systems. This International Standard 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 including the person managing the. BS EN ISO 19011 2011 BRITISH STANDARD National foreword This British Standard is the UK implementation of EN ISO 19011 2011 It supersedes BS EN ISO 19011 2002 which is withdrawn The UK participation in its preparation was entrusted to Technical Committee AUS 1 Revision of ISO 19011 A list of organizations represented on this committee can be obtained on request to its secretary This

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