This is the third instalment in the ISO 19011 audit series which looks at activities required to successfully prepare for an integrated management audit. In this post we will look at audit activities and elaborate on the graph below:
Whilst initiating your audit, you should ensure that:
- The audit team leaders are appointed for each individual audit
- Each team leader initiates the management system audit they are responsible for
Conducting an opening meeting
This meeting is required for the following purposes:
- Introduction of the audit team
- Confirming agreement of all parties to the audit plan
- Ensure that all planned activities can be performed, e.g. interviews with personnel, physical inspection of the site and review of documentation
This meeting should be formal and records of attendance should be kept. This meeting should also be chaired by the audit team leader.
Review of Documentation
A review of documentation is necessary to:
- Determine the conformity of the system with the audit criteria
- Gather information to support the audit activities
Collecting and Verifying Information:
Methods for collecting this information include:
- Interviews
- Observations
- Review of documents, including records
Generating audit findings
Audit evidence should be evaluated against the audit criteria in order to determine audit findings. These findings can indicate conformity or non-conformity with the audit criteria.
Preparing Conclusions
The following activities should be carried out when preparing audit conclusions:
- Review audit findings against audit objectives
- Agree on audit activities
- Prepare recommendations
- Discuss audit follow-up
Closing Meeting
A closing meeting is required to present the audit findings and conclusions. The audit team leader should explain the following to the auditee:
- Advise that the audit evidence collected was based on a sample of information collected.
- The method of reporting
- The process of handling audit findings and possible consequences
- Presentation of audit findings and conclusions in a manner that is understood and acknowledged by the auditee management
- Any related post-audit activities
Once the findings have been evaluated, a report outlining findings and any post-audit activities can be drafted.
Note:
You only need to conduct audit activities which comply with your management system.
In the next blog post of this series, we will concentrate on post-audit activities.
Links to previous blogs available here:
Preparing for an Integrated Management Systems Audit
Pre-audit activities using ISO 19011:2011
Sources:
ISO 19011:2011 Full Standard: http://www.cnis.gov.cn/wzgg/201202/P020120229378899282521.pdf
ISO 19011:2011 Overview: http://www.iso.org/iso/catalogue_detail?csnumber=50675
