ISO 19011 is an international standard that providesguidelines, not certification requirements,on how to audit any management system (e.g. ISO 9001, ISO 14001, ISO/IEC 27001, etc.). This standard provides a systematic and standardized framework to ensure that audits are effective, reliable and systematic,supporting continuous improvement of the organization.
The primary objective of the standard: Ensuring audit effectiveness
The main objective is to provide a reliable reference for organizations to conduct internal and external audits, helping to:
- Assess compliance: Ensure that the management system in place (quality, environment, information security, etc.) meets the requirements of the standard.
- Identify opportunities: Detect weaknesses and non-conformances, and identify opportunities for improvement in processes and systems.
- Impartiality and reliability: Ensure that audits are conducted in accordance with high professional principles to ensure that the results are impartial and evidence-based.
Basic principles of auditing according to ISO 19011
An effective audit under this standard is based on seven key principles to ensure the integrity and reliability of the process:
- Integrity:
- Explanation: Acting honestly, ethically, and diligently in all aspects of the audit, and maintaining confidentiality.
- Fair Presentation:
- Explanation: Commit to truthfully and accurately reporting all audit findings and observations, including obstacles encountered by the team.
- DueProfessionalCare:
- Explanation: Applying due care and diligence in judgment and action during an audit, based on the importance of the assignment and the trust placed in the auditors.
- Confidentiality:
- Explanation: Taking care and caution in the use and protection of information obtained during an audit.
- Independence:
- Explanation: Auditors should be independent of the activity being audited to avoid conflicts of interest and ensure impartiality.
- Evidence-Based Approach:
- Explanation: Audit conclusions and judgments should be based on reliable and validated samples of collected evidence.
- Risk-Based Approach:
- Explanation: Directing the audit program and focusing during implementation on the most critical areas and the highest risks that threaten the achievement of the organization’s objectives.
Audit Activities
To perform an effective audit in accordance with this standard, a structured approach is followed that includes the following steps:
- Audit Program Management:
- Explanation: Develop an annual audit plan, set program objectives, and provide resources for audits.
- Initiating Audit:
- Explanation: Contacting the auditor, formally defining the objectives, scope, and standards of the audit, and assigning the audit team.
- Preparing the audit plan:
- Explanation: Prepare a detailed site audit plan that includes dates, tasks, and required checklists.
- PerformingOn-site Auditing:
- Explanation: Conducting the opening meeting, gathering evidence (interviews, observations, records review), analyzing evidence, and generating findings.
- Preparing theAudit Report:
- Explanation: Write a comprehensive report that documents the findings, recordsnon-conformity, and is distributed to stakeholders.
- Audit finalization and closing meeting:
- Explanation: Present the audit findings and recommendations to the auditee in a formal meeting to close the field audit activities.
- Audit Follow-up:
- Explanation: Verify that the audited entity has implemented the agreed corrective actions efficiently and effectively.
Benefits of implementing ISO 19011
- Improves operational efficiency: Provides a systematic framework that minimizes the time and resources required to conduct audits.
- Supports continuous improvement: Reliable audit results help accurately identify strengths and weaknesses to drive the PDCA cycle.
- Enhance confidence in the system: Ensures that auditors are qualified and impartial, increasing senior management and external parties’ confidence in the validity of system assessments.
- Alignment with standards: Used as a reference guide when auditing compliance with any modern international standard for management systems.
