Guidelines for quality and/or environmental management systems auditing (ISO 19011:2002)

ISO 19011:2002 provides guidance on the principles of auditing, managing audit programmes, conducting quality management system audits and environmental management system audits, as well as guidance on the competence of quality and environmental management system auditors.
It is applicable to all organizations needing to conduct internal or external audits of quality and/or environmental management systems or to manage an audit programme.
The application of ISO 19011 to other types of audits is possible in principle provided that special consideration is paid to identifying the competence needed by the audit team members in such cases.

Leitfaden für Audits von Qualitätsmanagement- und/oder Umweltmanagementsystemen (ISO 19011:2002)

Diese Internationale Norm gibt Anleitung zur Umsetzung von Auditprinzipien, zum Management von Auditprogrammen, zur Durchführung von Audits von Qualitätsmanagement- und Umweltmanagementsystemen sowie zur Qualifikation von Auditoren von Qualitätsmanagement- und Umweltmanagementsystemen.
Sie ist anwendbar auf alle Organisationen, die interne oder externe Audits von Qualitätsmanagement- oder Umweltmanagementsystemen durchführen müssen oder ein Auditprogramm benötigen.
Die Anwendung dieser Internationalen Norm auf andere Arten von Audits ist im Prinzip möglich, vorausgesetzt, dass der Festlegung der Qualifikation, die für die Mitglieder des Auditteams in solchen Fällen erforderlich ist, besondere Aufmerksamkeit beigemessen wird.

Lignes directrices pour l'audit des systèmes de management de la qualité et/ou de management environnemental (ISO 19011:2002)

L'ISO 19011:2002 fournit des conseils sur les principes de l'audit, le management des programmes d'audit, la réalisation d'audits de systèmes de management de la qualité et/ou de management environnemental ainsi que sur la compétence des auditeurs de ces systèmes.
Elle est applicable à tous les organismes qui doivent réaliser des audits internes ou externes de systèmes de management de la qualité et/ou de management environnemental ou manager un programme d'audit.
L'ISO 19011 peut, en principe, s'appliquer à d'autres types d'audits, à condition toutefois d'accorder une attention particulière à l'identification des compétences requises pour les membres de ces équipes d'audit.

Smernice za presojanje sistemov vodenja kakovosti in/ali sistemov ravnanja z okoljem (ISO 19011:2002)

SIST EN ISO 19011:2003 vsebuje napotke za vodenje programov presoj, izvajanje notranjih ali zunanjih presoj sistemov vodenja kakovosti in/ali ravnanja z okoljem in tudi za kompetentnost in ocenjevanje presojevalcev. Skupini mednarodnih standardov ISO 9000 in ISO 14000 namreč poudarjata pomembnost presoj kot orodja vodenja za nadzorovanje in overjanje učinkovitega izvajanja politike kakovosti in/ali okoljske politike organizacije. Presoje so tudi bistveni del aktivnosti ugotavljanja skladnosti, kot je zunanja certifikacija/registracija, in ocenjevanja in nadzorovanja nabavne verige. Standard lahko uporabljajo pri svojem delu številni uporabniki, tako presojevalci, organizacije, ki izvajajo sisteme vodenja kakovosti in/ali ravnanja z okoljem, organizacije, ki morajo izvajati presoje sistemov vodenja kakovosti in/ali ravnanja z okoljem iz pogodbenih razlogov, in tudi organizacije, udeležene pri certificiranju ali usposabljanju presojevalcev, pri certifikaciji/registraciji sistemov vodenja, pri akreditaciji ali pri standardizaciji na področju ocenjevanja skladnosti. Z možnostjo prilagodljivosti smernic, kot je nakazana na več mestih v besedilu, se lahko uporaba teh smernic prilagodi velikosti, naravi in kompleksnosti presojane organizacije in tudi ciljem in predmetom izvajanih presoj. Besedilo standarda pa dopolnjujejo še dodatni napotki ali primeri za specifične teme, ki so namenjeni kot praktična pomoč, v nekaterih primerih je to namenjeno podpori uporabe tega mednarodnega standarda v majhnih organizacijah.

General Information

Status
Withdrawn
Publication Date
30-Sep-2002
Withdrawal Date
14-Nov-2011
Current Stage
9960 - Withdrawal effective - Withdrawal
Due Date
15-Nov-2011
Completion Date
15-Nov-2011

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SLOVENSKI SIST EN ISO 19011:2003
STANDARD
januar 2003
Smernice za presojanje sistemov vodenja kakovosti in/ali sistemov ravnanja z
okoljem (ISO 19011:2002)
(istoveten EN ISO 19011:2002)
Guidelines for quality and/or environmental management systems auditing (ISO
19011:2002)
ICS 03.120.20; 13.020.10 Referenčna številka
SIST EN ISO 19011:2003(en)

© Standard je založil in izdal Slovenski inštitut za standardizacijo. Razmnoževanje ali kopiranje celote ali delov tega dokumenta ni dovoljeno

---------------------- Page: 1 ----------------------
EUROPEAN STANDARD
EN ISO 19011
NORME EUROPÉENNE
EUROPÄISCHE NORM
October 2002
ICS 03.120.20; 13.020.10 Supersedes EN ISO 14010:1996, EN ISO 14011:1996,
EN ISO 14012:1996, EN 30011-1:1993, EN 30011-2:1993
and EN 30011-3:1993
English version
Guidelines for quality and/or environmental management
systems auditing (ISO 19011:2002)

Lignes directrices pour l'audit des systèmes de Leitfaden für Audits von Qualitätsmanagement- und/oder

management de la qualité et/ou de management Umweltmanagementsystemen (ISO 19011:2002)

environnemental (ISO 19011:2002)
This European Standard was approved by CEN on 9 September 2002.

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 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 Management Centre has the same status as the official

versions.

CEN members are the national standards bodies of Austria, Belgium, Czech Republic, Denmark, Finland, France, Germany, Greece,

Iceland, Ireland, Italy, Luxembourg, Malta, Netherlands, Norway, Portugal, Spain, Sweden, Switzerland and United Kingdom.

EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
Management Centre: rue de Stassart, 36 B-1050 Brussels

© 2002 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN ISO 19011:2002 E

worldwide for CEN national Members.
---------------------- Page: 2 ----------------------
EN ISO 19011:2002 (E)
CORRECTED 2003-06-04
Foreword

This document (ISO 19011:2002) has been prepared by Technical Committees ISO/TC 176

"Quality management and quality assurance" and ISO/TC 207 "Environmental management" in

collaboration with CMC.

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 2003, and conflicting national

standards shall be withdrawn at the latest by April 2003.

This document supersedes EN ISO 14010:1996, EN ISO 14011:1996, EN ISO 14012:1996, EN

30011-1:1993, EN 30011-2:1993 and EN 30011-3:1993.

According to the CEN/CENELEC Internal Regulations, the national standards organizations of

the following countries are bound to implement this European Standard: Austria, Belgium, Czech

Republic, Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Luxembourg,

Malta, Netherlands, Norway, Portugal, Spain, Sweden, Switzerland and the United Kingdom.

Endorsement notice

The text of ISO 19011:2002 has been approved by CEN as EN ISO 19011:2002 without any

modifications.

NOTE Normative references to International Standards are listed in Annex ZA (normative).

---------------------- Page: 3 ----------------------
EN ISO 19011:2002 (E)
Annex ZA
(normative)
Normative references to international publications
with their relevant European publications

This European Standard incorporates by dated or undated reference, provisions from other

publications. These normative references are cited at the appropriate places in the text and the

publications are listed hereafter. For dated references, subsequent amendments to or revisions of

any of these publications apply to this European Standard only when incorporated in it by

amendment or revision. For undated references the latest edition of the publication referred to

applies (including amendments).

NOTE Where an International Publication has been modified by common modifications, indicated

by (mod.), the relevant EN/HD applies.
Publication Year Title EN Year
ISO 9000 2000 Quality management systems - EN ISO 9000 2000
Fundamentals and vocabulary
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INTERNATIONAL ISO
STANDARD 19011
First edition
2002-10-01
Guidelines for quality and/or environmental
management systems auditing
Lignes directrices pour l'audit des systèmes de management de la qualité
et /ou de management environnemental
Reference number
ISO 19011:2002(E)
ISO 2002
---------------------- Page: 5 ----------------------
ISO 19011:2002(E)
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or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISO's member body

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ii © ISO 2002 – All rights reserved
---------------------- Page: 6 ----------------------
ISO 19011:2002(E)
Contents Page

Foreword .................................................................................................................................................................... iv

Introduction................................................................................................................................................................. v

1 Scope.............................................................................................................................................................. 1

2 Normative references.................................................................................................................................... 1

3 Terms and definitions................................................................................................................................... 1

4 Principles of auditing.................................................................................................................................... 3

5 Managing an audit programme.................................................................................................................... 4

5.1 General........................................................................................................................................................... 4

5.2 Audit programme objectives and extent..................................................................................................... 6

5.4 Audit programme implementation............................................................................................................... 8

5.5 Audit programme records ............................................................................................................................ 8

5.6 Audit programme monitoring and reviewing ............................................................................................. 9

6 Audit activities............................................................................................................................................... 9

6.1 General........................................................................................................................................................... 9

6.2 Initiating the audit ....................................................................................................................................... 11

6.3 Conducting document review.................................................................................................................... 13

6.4 Preparing for the on-site audit activities .................................................................................................. 13

6.5 Conducting on-site audit activities ........................................................................................................... 14

6.6 Preparing, approving and distributing the audit report .......................................................................... 20

6.6.1 Preparing the audit report .......................................................................................................................... 20

6.6.2 Approving and distributing the audit report............................................................................................. 20

6.7 Completing the audit................................................................................................................................... 21

6.8 Conducting audit follow-up........................................................................................................................ 21

7 Competence and evaluation of auditors................................................................................................... 21

7.1 General......................................................................................................................................................... 21

7.2 Personal attributes...................................................................................................................................... 22

7.3 Knowledge and skills.................................................................................................................................. 22

7.4 Education, work experience, auditor training and audit experience ..................................................... 25

7.5 Maintenance and improvement of competence....................................................................................... 27

7.6 Auditor evaluation....................................................................................................................................... 28

© ISO 2002 – All rights reserved iii
---------------------- Page: 7 ----------------------
ISO 19011:2002(E)
Foreword

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 3.

The main task of technical committees is to prepare International Standards. Draft International Standards

accepted 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 members casting a vote.

Attention is drawn to the possibility that some of the elements of this International Standard may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights.

ISO 19011 was prepared jointly by Technical Committee ISO/TC 176, Quality management and quality assurance,

Subcommittee SC 3, Supporting technologies, and Technical Committee ISO/TC 207, Environmental management,

Subcommittee SC 2, Environmental auditing and related environmental investigations.

This first edition of ISO 19011 cancels and replaces ISO 10011-1:1990, ISO 10011-2:1991, ISO 10011-3:1991,

ISO 14010:1996, ISO 14011:1996 and ISO 14012:1996.
iv © ISO 2002 – All rights reserved
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ISO 19011:2002(E)
Introduction

The ISO 9000 and ISO 14000 series of International Standards emphasize the importance of audits as a

management tool for monitoring and verifying the effective implementation of an organization's quality and/or

environmental policy. Audits are also an essential part of conformity assessment activities such as external

certification/registration and of supply chain evaluation and surveillance.

This International Standard provides guidance on the management of audit programmes, the conduct of internal or

external audits of quality and/or environmental management systems, as well as on the competence and evaluation

of auditors. It is intended to apply to a broad range of potential users, including auditors, organizations

implementing quality and/or environmental management systems, organizations needing to conduct audits of

quality and/or environmental management systems for contractual reasons, and organizations involved in auditor

certification or training, in certification/registration of management systems, in accreditation or in standardization in

the area of conformity assessment.

The guidance in this International Standard is intended to be flexible. As indicated at various points in the text, the

use of these guidelines can differ according to the size, nature and complexity of the organizations to be audited,

as well as the objectives and scopes of the audits to be conducted. Throughout this International Standard,

supplementary guidance or examples on specific topics are provided in the form of practical help in boxed text. In

some instances, this is intended to support the use of this International Standard in small organizations.

Clause 4 describes the principles of auditing. These principles help the user to appreciate the essential nature of

auditing and they are a necessary prelude to clauses 5, 6 and 7.

Clause 5 provides guidance on managing audit programmes and covers such issues as assigning responsibility for

managing audit programmes, establishing the audit programme objectives, coordinating auditing activities and

providing sufficient audit team resources.

Clause 6 provides guidance on conducting audits of quality and/or environmental management systems, including

the selection of audit teams.

Clause 7 provides guidance on the competence needed by an auditor and describes a process for evaluating

auditors.

Where quality and environmental management systems are implemented together, it is at the discretion of the user

of this International Standard as to whether the quality management system and environmental management

system audits are conducted separately or together.

Although this International Standard is applicable to the auditing of quality and/or environmental management

systems, the user can consider adapting or extending the guidance provided herein to apply to other types of

audits, including other management system audits.

This International Standard provides only guidance, however, users can apply this to develop their own audit-

related requirements.

In addition, any other individual or organization with an interest in monitoring conformance to requirements, such as

product specifications or laws and regulations, may find the guidance in this International Standard useful.

© ISO 2002 – All rights reserved v
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INTERNATIONAL STANDARD ISO 19011:2002(E)
Guidelines for quality and/or environmental management systems
auditing
1 Scope

This International Standard provides guidance on the principles of auditing, managing audit programmes,

conducting quality management system audits and environmental management system audits, as well as guidance

on the competence of quality and environmental management system auditors.

It is applicable to all organizations needing to conduct internal or external audits of quality and/or environmental

management systems or to manage an audit programme.

The application of this International Standard to other types of audit is possible in principle, provided that special

consideration is paid to identifying the competence needed by the audit team members in such cases.

2 Normative references

The following normative documents contain provisions which, through references in this text, constitute provisions

of this International Standard. For dated references, subsequent amendments to, or revisions of, any of these

publications do not apply. However, parties to agreements based on this International Standard are encouraged to

investigate the possibility of applying the most recent edition of the normative documents indicated below. For

undated references, the latest edition of the normative document referred to apply. Members of ISO and IEC

maintain registers of currently valid International Standards.
ISO 9000:2000, Quality management systems — Fundamentals and vocabulary
ISO 14050:2002, Environmental management — Vocabulary
3 Terms and definitions

For the purposes of this International Standard, the terms and definitions given in ISO 9000 and ISO 14050 apply,

unless superseded by the terms and definitions given below.

A term in a definition or note which is defined elsewhere in this clause is indicated by boldface followed by its entry

number in parentheses. Such a boldface term may be replaced in the definition by its complete definition.

3.1
audit

systematic, independent and documented process for obtaining audit evidence (3.3) and evaluating it objectively

to determine the extent to which the audit criteria (3.2) are fulfilled

NOTE 1 Internal audits, sometimes called first-party audits, are conducted by, or on behalf of, the organization itself for

management review and other internal purposes, and may form the basis for an organization's self-declaration of conformity. In

many cases, particularly in smaller organizations, independence can be demonstrated by the freedom from responsibility for the

activity being audited.
© ISO 2002 – All rights reserved 1
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ISO 19011:2002(E)

NOTE 2 External audits include those generally termed second- and third-party audits. Second-party audits are conducted

by parties having an interest in the organization, such as customers, or by other persons on their behalf. Third-party audits are

conducted by external, independent auditing organizations, such as those providing registration or certification of conformity to

the requirements of ISO 9001 or ISO 14001.

NOTE 3 When a quality management system and an environmental management system are audited together, this is termed

a combined audit.

NOTE 4 When two or more auditing organizations cooperate to audit a single auditee (3.7), this is termed a joint audit.

3.2
audit criteria
set of policies, procedures or requirements

NOTE Audit criteria are used as a reference against which audit evidence (3.3) is compared.

3.3
audit evidence

records, statements of fact or other information, which are relevant to the audit criteria (3.2) and verifiable

NOTE Audit evidence may be qualitative or quantitative.
3.4
audit findings

results of the evaluation of the collected audit evidence (3.3) against audit criteria (3.2)

NOTE Audit findings can indicate either conformity or nonconformity with audit criteria or opportunities for improvement.

3.5
audit conclusion

outcome of an audit (3.1), provided by the audit team (3.9) after consideration of the audit objectives and all audit

findings (3.4)
3.6
audit client
organization or person requesting an audit (3.1)

NOTE The audit client may be the auditee (3.7) or any other organization which has the regulatory or contractual right to

request an audit.
3.7
auditee
organization being audited
3.8
auditor
person with the competence (3.14) to conduct an audit (3.1)
3.9
audit team

one or more auditors (3.8) conducting an audit (3.1), supported if needed by technical experts (3.10)

NOTE 1 One auditor of the audit team is appointed as the audit team leader.
NOTE 2 The audit team may include auditors-in-training.
2 © ISO 2002 – All rights reserved
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ISO 19011:2002(E)
3.10
technical expert
person who provides specific knowledge or expertise to the audit team (3.9)

NOTE 1 Specific knowledge or expertise is that which relates to the organization, the process or activity to be audited, or

language or culture.
NOTE 2 A technical expert does not act as an auditor (3.8) in the audit team.
3.11
audit programme

set of one or more audits (3.1) planned for a specific time frame and directed towards a specific purpose

NOTE An audit programme includes all activities necessary for planning, organizing and conducting the audits.

3.12
audit plan
description of the activities and arrangements for an audit (3.1)
3.13
audit scope
extent and boundaries of an audit (3.1)

NOTE The audit scope generally includes a description of the physical locations, organizational units, activities and

processes, as well as the time period covered.
3.14
competence

demonstrated personal attributes and demonstrated ability to apply knowledge and skills

4 Principles of auditing

Auditing is characterized by reliance on a number of principles. These make the audit an effective and reliable tool

in support of management policies and controls, providing information on which an organization can act to improve

its performance. Adherence to these principles is a prerequisite for providing audit conclusions that are relevant

and sufficient and for enabling auditors working independently from one another to reach similar conclusions in

similar circumstances.
The following principles relate to auditors.
a) Ethical conduct: the foundation of professionalism
Trust, integrity, confidentiality and discretion are essential to auditing.
b) Fair presentation: the obligation to report truthfully and accurately

Audit findings, audit conclusions and audit reports reflect truthfully and accurately the audit activities.

Significant obstacles encountered during the audit and unresolved diverging opinions between the audit team

and the auditee are reported.
c) Due professional care: the application of diligence and judgement in auditing

Auditors exercise care in accordance with the importance of the task they perform and the confidence placed

in them by audit clients and other interested parties. Having the necessary competence is an important factor.

Further principles relate to the audit, which is by definition independent and systematic.

© ISO 2002 – All rights reserved 3
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ISO 19011:2002(E)

d) Independence: the basis for the impartiality of the audit and objectivity of the audit conclusions

Auditors are independent of the activity being audited and are free from bias and conflict of interest. Auditors

maintain an objective state of mind throughout the audit process to ensure that the audit findings and

conclusions will be based only on the audit evidence.

e) Evidence-based approach: the rational method for reaching reliable and reproducible audit conclusions in a

systematic audit process

Audit evidence is verifiable. It is based on samples of the information available, since an audit is conducted

during a finite period of time and with finite resources. The appropriate use of sampling is closely related to the

confidence that can be placed in the audit conclusions.

The guidance given in the remaining clauses of this International Standard is based on the principles set out above.

5 Managing an audit programme
5.1 General

An audit programme may include one or more audits, depending upon the size, nature and complexity of the

organization to be audited. These audits may have a variety of objectives and may also include joint or combined

audits (see Notes 3 and 4 to the definition of audit in 3.1).

An audit programme also includes all activities necessary for planning and organizing the types and number of

audits, and for providing resources to conduct them effectively and efficiently within the specified time frames.

An organization may establish more than one audit programme.

The organization’s top management should grant the authority for managing the audit programme.

Those assigned the responsibility for managing the audit programme should
a) establish, implement, monitor, review and improve the audit programme, and
b) identify the necessary resources and ensure they are provided.
Figure 1 illustrates the process flow for the management of an audit programme.
4 © ISO 2002 – All rights reserved
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ISO 19011:2002(E)

Figure 1 — Illustration of the process flow for the management of an audit programme

NOTE 1 Figure 1 also illustrates the application of the Plan-Do-Check-Act methodology in this International Standard.

NOTE 2 The numbers in this and all subsequent figures refer to the relevant clauses of this International Standard.

If an organization to be audited operates both quality management and environmental management systems,

combined audits may be included in the audit programme. In such a case, special attention should be paid to the

competence of the audit team.

Two or more auditing organizations may cooperate, as part of their audit programmes, to conduct a joint audit. In

such a case, special attention should be paid to the division of responsibilities, the provision of any additional

resources, the competence of the audit team and the appropriate procedures. Agreement on these should be

reached before the audit commences.
© ISO 2002 – All rights reserved 5
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ISO 19011:2002(E)
Practical help — Examples of audit programmes
Examples of audit programmes include the following:

a) a series of internal audits covering an organization-wide quality management system for the current year;

b) second-party management system audits of potential suppliers of critical products to be conducted within

6 months;

c) certification/registration and surveillance audits conducted by a third-party certification/registration body on an

environmental management system within a time period agreed contractually between the certification body

and the client.

An audit programme also includes appropriate planning, the provision of resources and the establishment of

procedures to conduct audits within the programme.
5.2 Audit programme objectives and extent
5.2.1 Objectives of an audit programme

Objectives should be established for an audit programme, to direct the planning and conduct of audits.

These objectives can be based on consideration of
a) management priorities,
b) commercial intentions,
c) management system requirements,
d) statutory, regulatory and contractual requirements,
e) need for supplier evaluation,
f) customer requirements,
g) needs of other interested parties, and
h) risks to the organization.
Practical help — Examples of audit programme objectives
Examples of audit programme objectives include the following:
a) to meet requirements for certification to a management system standard;
b) to verify conformance with contractual requirements;
c) to obtain and maintain confidence in the capability of a supplier;
d) to contribute to the improvement of the management system.
6 © ISO 2002 – All rights reserved
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ISO 19011:2002(E)
5.2.2 Extent of an audit programme

The extent of an audit programme can vary and will be influenced by the size, nature and complexity of the

organization to be audited, as well as by the following:
a) the scope, objective and duration of each audit to be conducted;
b) the frequency of audits to be conducted;

c) the number, importance, complexity, similarity and locations of the activities to be audited;

d) standards, statutory, regulatory and contractual requirements and other audit criteria;

e) the need for accreditation or registration/certification;

f) conclusions of previous audits or results of a previous audit programme review;

g) any language, cultural and social issues;
h) the concerns of interested parties;
i) significant changes to an organization or its operations.
5.3 Audit programme responsibilities, resources and procedures
5.3.1 Audit programme responsibilities

The responsibility for managing an audit programme should be assigned to one or more individuals with a general

understanding of audit principles, of the competence of auditors and the ap
...

SLOVENSKI SIST EN ISO 19011
STANDARD
januar 2003
Smernice za presojanje sistemov vodenja kakovosti in/ali ravnanja z
okoljem (enakovreden ISO 19011:2002)
Guidelines for quality and/or environmental management systems auditing
Lignes directrices pour l’audit des systèmes de management de la qualité et/ou
de management environnemental
Deskriptorji:
Referenčna številka
ICS 03.120.20; 13.020.10 SIST EN ISO 19011:2003 (sl, en)
Nadaljevanje na straneh od 2 do 46

© 2004-02. Slovenski prevod standarda je izdal in založil Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov ni dovoljeno.

---------------------- Page: 1 ----------------------
SIST EN ISO 19011 : 2003
NACIONALNI UVOD

Standard SIST EN ISO 19011 (sl,en), Smernice za presojanje sistemov vodenja kakovosti in/ali ravnanja

z okoljem, 2003 ima status slovenskega standarda in je enakovreden evropskemu standardu

EN ISO 19011, Guidelines for quality and/or environmental management systems auditing, prva izdaja,

2002.
NACIONALNI PREDGOVOR

Besedilo mednarodnega standarda ISO 19011:2002 sta pripravila mednarodna tehnična odbora

ISO/TC 176 Vodenje in zagotavljanje kakovosti, pododbor SC3 Podporne tehnologije, in ISO/TC 207

Ravnanje z okoljem, pododbor SC2 Okoljsko presojanje in sorodne okoljske preiskave. Prenos tega

standarda v evropski standard je potrdil Centralni sekretariat CEN brez sprememb vsebine

mednarodnega standarda ISO 19011.

Slovenski tehnični odbor SIST/TC VZK Vodenje in zagotavljanje kakovosti je dne 2003-01-00 privzel

evropski standard EN ISO 19011:2002 po metodi ponatisa. Standard v slovenskem jeziku je le njegova

jezikovna različica.
ZVEZA S STANDARDI
S privzemom tega mednarodnega standarda veljajo naslednje zveze:
SIST ISO 9000:2002 (sl,en) Vodenje sistemov kakovosti – Osnove in slovar
SIST ISO 14050:2000 (en) Ravnanje z okoljem - Slovar
PREDHODNE IZDAJE
– SIST EN ISO 14010:1997
– SIST EN ISO 14011:1997
– SIST EN ISO 14012:1997
OSNOVA ZA IZDAJO STANDARDA
– Privzem standarda EN ISO 19011:2002.
OPOMBE
– Nacionalni uvod in nacionalni predgovor nista sestavni del standarda.
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SIST EN ISO 19011 : 2003
VSEBINA Stran Contents Page

Predgovor ......................................................... 4 Foreword ..........................................................4

Uvod ................................................................. 4 Introduction........................................................4

1 Predmet ........................................................ 7 1 Scope ............................................................7

2 Zveza z drugimi standardi ............................ 7 2 Normative references....................................7

3 Izrazi in definicije .......................................... 7 3 Terms and definitions ...................................7

4 Načela presojanja....................................... 10 4 Principles of auditing...................................10

5 Vodenje programa presoje ......................... 11 5 Managing an audit programme ...................11

5.1 Splošno....................................................11 5.1 General ....................................................11

5.2 Cilji in obseg programa presoj................. 13 5.2 Audit programme objectives and extent...13

5.3 Odgovornosti, viri in postopki za program 5.3 Audit programme responsibilities,

presoj ...................................................... 14 resources and procedures .......................14

5.4 Izvedba programa presoj......................... 16 5.4 Audit programme implementation............16

5.5 Zapisi o programu presoj......................... 16 5.5 Audit programme records ........................16

5.6 Nadzorovanje in pregledovanje 5.6 Audit programme monitoring and

programa za presoje ............................... 17 reviewing .................................................17

6 Aktivnosti presoje ....................................... 17 6 Audit activities .............................................17

6.1 Splošno....................................................17 6.1 General ....................................................17

6.2 Pričetek presoje....................................... 19 6.2 Initiating the audit ....................................19

6.3 Izvedba pregleda dokumentov ................ 22 6.3 Conducting document review...................22

6.4 Priprava na aktivnosti presoje na kraju 6.4 Preparing for the on-site audit

samem..................................................... 22 activities ..................................................22

6.5 Izvedba aktivnosti presoje na kraju 6.5 Conducting on-site audit activities ...........24

samem..................................................... 24

6.6 Priprava, odobritev in razdelitev poročila o 6.6 Preparing, approving and distributing

presoji ...................................................... 30 the audit report.........................................30

6.7 Zaključitev presoje .................................. 32 6.7 Completing the audit ................................32

6.8 Izvajanje aktivnosti po presoji ....................32 6.8 Conducting audit follow-up.......................32

7 Kompetentnost in ocenjevanje 7 Competence and evaluation of auditors .....32
presojevalcev........................................... 32

7.1 Splošno....................................................32 7.1 General ....................................................32

7.2 Osebnostne lastnosti............................... 33 7.2 Personal attributes ...................................33

7.3 Znanje in veščine..................................... 34 7.3 Knowledge and skills................................34

7.4 Izobrazba, delovne izkušnje, usposabljanje 7.4 Education, work experience, auditor

za presojevalca in presojevalske training and audit experience...................38

izkušnje.................................................... 38
7.5 Vzdrževanje in izboljševanje 7.5 Maintenance and improvement of

kompetentnosti ........................................ 41 competence .............................................41

7.6 Ocenjevanje presojevalcev .......................41 7.6 Auditor evaluation ....................................41

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SIST EN ISO 19011 : 2003
Predgovor Foreword

ISO (Mednarodna organizacija za standardizacijo) ISO (the International Organization for

je svetovna zveza nacionalnih organov za Standardization) is a worldwide federation of

standarde (članov ISO). Mednarodne standarde national standards bodies (ISO member

ponavadi pripravljajo tehnični odbori ISO. Vsak bodies). The work of preparing International

član, ki želi delovati na določenem področju, za Standards is normally carried out through ISO

katero je bil ustanovljen tehnični odbor, ima technical committees. Each member body

pravico biti zastopan v tem odboru. Pri delu interested in a subject for which a technical

sodelujejo mednarodne vladne in nevladne committee has been established has the right to

organizacije, povezane z ISO. V vseh zadevah, be represented on that committee. International

ki so povezane s standardizacijo na področju organizations, governmental and non-

elektrotehnike, ISO tesno sodeluje z Mednarodno governmental, in liaison with ISO, also take part

elektrotehniško komisijo (IEC). in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC)
on all matters of electrotechnical standardization.

Mednarodni standardi so pripravljeni v skladu s International standards are drafted in

pravili, podanimi v Direktivah ISO/IEC, 3. del. accordance with the rules given in the ISO/IEC

Directives, part 3.

Glavna naloga tehničnih odborov je priprava The main task of technical committees is to

mednarodnih standardov. Osnutki mednarodnih prepare International Standards. Draft International

standardov, ki jih sprejmejo tehnični odbori, se Standards accepted by the technical committees

pošljejo vsem članom v glasovanje. Za objavo are circulated to the member bodies for voting.

mednarodnega standarda je treba pridobiti Publication as an International Standard requires

soglasje najmanj 75 odstotkov članov, ki so approval by at least 75 % of the members casting

glasovali. a vote.

Opozoriti je treba na možnost, da je lahko nekaj Attention is drawn to the possibility that some of

elementov tega mednarodnega standarda the elements of this International Standard may

predmet patentnih pravic. ISO ne prevzema be the subject of patent rights. ISO shall not be

odgovornosti za identifikacijo katerihkoli ali vseh held responsible for identifying any or all such

takih patentnih pravic. patent rights.

ISO 19011 sta skupaj pripravila tehnična odbora ISO 19011 was prepared jointly by Technical

ISO/TC 176 Vodenje in zagotavljanje kakovosti, Committee ISO/TC 176, Quality management

pododbor SC3 Podporne tehnologije, in ISO/TC and quality assurance, Subcommittee SC 3,

207, Ravnanje z okoljem, pododbor SC2 Supporting technologies, and Technical Committee

Okoljsko presojanje in sorodne okoljske ISO/TC 207, Environmental management,
preiskave.
Subcommittee SC 2, Environmental auditing and
related environmental investigations.

Ta prva izdaja ISO 19011 razveljavlja in This first edition of ISO 19011 cancels and

nadomešča ISO 10011-1:1990, ISO 10011- replaces ISO 10011-1:1990, ISO 10011-

2:1991, ISO 10011-3:1991, ISO 14010:1996, 2:1991, ISO 10011-3:1991, ISO 14010:1996,

ISO 14011:1996 in ISO 14012:1996. ISO 14011:1996 and ISO 14012:1996.
Uvod Introduction
Skupini mednarodnih standardov ISO 9000 in The ISO 9000 and ISO 14000 series of

ISO 14000 poudarjata pomembnost presoj kot International Standards emphasize the importance

orodja vodenja za nadzorovanje in overjanje of audits as a management tool for monitoring and

učinkovitega izvajanja politike kakovosti in/ali verifying the effective implementation of an organi-

okoljske politike organizacije. Presoje so tudi zation's quality and/or environmental policy. Audits

bistveni del aktivnosti ugotavljanja skladnosti, kot are also an essential part of conformity assessment

je zunanja certifikacija/registracija, in ocenjevanja activities such as external certification/registration

in nadzorovanja nabavne verige. and of supply chain evaluation and surveillance.
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SIST EN ISO 19011 : 2003

Ta mednarodni standard podaja napotke za This International Standard provides guidance on

vodenje programov presoj, izvajanje notranjih the management of audit programmes, the

ali zunanjih presoj sistemov vodenja kakovosti conduct of internal or external audits of quality

in/ali ravnanja z okoljem in tudi za and/or environmental management systems, as

kompetentnost in ocenjevanje presojevalcev. well as on the competence and evaluation of

Uporabljali naj bi ga številni možni uporabniki, auditors. It is intended to apply to a broad range

vključno presojevalci, organizacije, ki izvajajo of potential users, including auditors,

sisteme vodenja kakovosti in/ali ravnanja z organizations implementing quality and/or

okoljem, organizacije, ki morajo izvajati presoje environmental management systems,

sistemov vodenja kakovosti in/ali ravnanja z organizations needing to conduct audits of quality

okoljem iz pogodbenih razlogov, in organizacije, and/or environmental management systems for

udeležene pri certificiranju ali usposabljanju contractual reasons, and organizations involved

presojevalcev, pri certifikaciji/registraciji in auditor certification or training, in

sistemov vodenja, pri akreditaciji ali pri certification/registration of management systems,

standardizaciji na področju ocenjevanja in accreditation or in standardization in the area of

skladnosti. conformity assessment.

Smernice v tem mednarodnem standardu naj bi The guidance in this International Standard is

bile prilagodljive. Kot je nakazano na več mestih intended to be flexible. As indicated at various

v besedilu, se lahko uporaba teh smernic points in the text, the use of these guidelines can

razlikuje glede na velikost, naravo in differ according to the size, nature and complexity

kompleksnost presojane organizacije in tudi ciljev of the organizations to be audited, as well as the

in predmetov izvajanih presoj. V tem celotnem objectives and scopes of the audits to be

mednarodnem standardu so podani dodatni conducted. Throughout this International

napotki ali primeri za specifične teme kot Standard, supplementary guidance or examples

praktična pomoč v okvirjenem besedilu. V on specific topics are provided in the form of

nekaterih primerih je to namenjeno podpori practical help in boxed text. In some instances,

uporabe tega mednarodnega standarda v this is intended to support the use of this

majhnih organizacijah. International Standard in small organizations.

V točki 4 so opisana načela presojanja. Ta Clause 4 describes the principles of auditing.

načela pomagajo uporabniku razumeti bistvene These principles help the user to appreciate the

značilnosti presojanja in so nujen uvod k točkam essential nature of auditing and they are a

5, 6 in 7. necessary prelude to clauses 5, 6 and 7.

V točki 5 so podani napotki za vodenje Clause 5 provides guidance on managing audit

programov presoj in obravnavane teme, kot so programmes and covers such issues as

določitev odgovornosti za vodenje programov assigning responsibility for managing audit

presoj, vzpostavitev ciljev programa presoj, programmes, establishing the audit programme

koordiniranje aktivnosti presoj in priskrba objectives, coordinating auditing activities and

zadostnih virov za presojevalne skupine. providing sufficient audit team resources.

V točki 6 so podani napotki za vodenje presoj Clause 6 provides guidance on conducting audits

sistemov vodenja kakovosti in/ali ravnanja z of quality and/or environmental management

okoljem, vključno z izbiro presojevalnih skupin. systems, including the selection of audit teams.

V točki 7 so podani napotki glede potrebne Clause 7 provides guidance on the competence

kompetentnosti presojevalca in opisan proces needed by an auditor and describes a process

ocenjevanja presojevalcev. for evaluating auditors.

Kjer se sistema vodenja kakovosti in ravnanja z Where quality and environmental management

okoljem izvajata hkrati, se uporabnik tega systems are implemented together, it is at the

mednarodnega standarda po lastnem preudarku discretion of the user of this International

odloči, ali bo izvajal presoje sistemov vodenja Standard as to whether the quality management

kakovosti in ravnanja z okoljem ločeno ali hkrati. system and environmental management system

audits are conducted separately or together.

Čeprav je ta mednarodni standard namenjen Although this International Standard is applicable

uporabi za presojanje sistemov vodenja to the auditing of quality and/or environmental

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SIST EN ISO 19011 : 2003

kakovosti in/ali ravnanja z okoljem, lahko management systems, the user can consider

uporabnik razmisli o prilagoditvi ali razširitvi adapting or extending the guidance provided

uporabe podanih napotkov na druge vrste presoj, herein to apply to other types of audits, including

vključno z drugimi presojami sistema vodenja. other management system audits.

V tem mednarodnem standardu so sicer podani This International Standard provides only

samo napotki, vendar jih lahko uporabniki guidance, however, users can apply this to

uporabijo za pripravo njihovih lastnih zahtev v develop their own auditrelated requirements.

zvezi s presojami.

Poleg tega lahko napotki tega mednarodnega In addition, any other individual or organization

standarda koristijo posameznikom ali with an interest in monitoring conformance to

organizacijam, ki želijo nadzorovati skladnost z requirements, such as product specifications or

zahtevami, kot so specifikacije proizvodov ali laws and regulations, may find the guidance in

zakoni in predpisi. this International Standard useful.
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SIST EN ISO 19011 : 2003
Smernice za presojanje sistemov Guidelines for quality and / or
vodenja kakovosti in / ali ravnanja z environmental management systems
okoljem auditing
1 Predmet 1 Scope

Ta mednarodni standard podaja napotke o This International Standard provides guidance

načelih presojanja, vodenju programov presoj, on the principles of auditing, managing audit

izvajanju presoj sistemov vodenja kakovosti in/ali programmes, conducting quality management

ravnanja z okoljem in tudi napotke glede system audits and environmental management

kompetentnosti presojevalcev sistemov vodenja system audits, as well as guidance on the

kakovosti in ravnanja z okoljem. competence of quality and environmental
management system auditors.

Uporaben je v vseh organizacijah, ki morajo It is applicable to all organizations needing to

izvajati notranje ali zunanje presoje sistemov conduct internal or external audits of quality

vodenja kakovosti in/ali ravnanja z okoljem ali and/or environmental management systems or

voditi program presoj. to manage an audit programme.

Ta mednarodni standard je načeloma mogoče The application of this International Standard to

uporabiti pri drugih vrstah presoj, če se pri tem other types of audit is possible in principle,

posebna pozornost posveti potrebni provided that special consideration is paid to

kompetentnosti članov presojevalne skupine. identifying the competence needed by the audit

team members in such cases.
2 Zveza z drugimi standardi 2 Normative references

Spodaj navedena standarda vsebujeta določila, The following normative documents contain

ki s sklicevanjem v tem besedilu tvorijo določila provisions which, through references in this text,

tega mednarodnega standarda. Pri datiranem constitute provisions of this International Standard.

sklicevanju se ne upoštevajo poznejši dodatki ali For dated references, subsequent amendments to,

popravki teh dokumentov. Vendar se strankam, or revisions of, any of these publications do not

ki sklenejo dogovore, zasnovane na tem apply. However, parties to agreements based on

mednarodnem standardu, priporoča, naj this International Standard are encouraged to

raziščejo možnost uporabe najnovejše izdaje investigate the possibility of applying the most

spodaj navedenih standardov. Pri nedatiranem recent edition of the normative documents

sklicevanju se upošteva zadnja izdaja standarda. indicated below. For undated references, the latest

Člani ISO in IEC vzdržujejo register veljavnih edition of the normative document referred to

mednarodnih standardov. apply. Members of ISO and IEC maintain registers
of currently valid International Standards.

ISO 9000:2000, Sistemi vodenja kakovosti ISO 9000:2000, Quality management systems

– Osnove in slovar – Fundamentals and vocabulary

ISO 14050:2002, Ravnanje z okoljem – Slovar ISO 14050:2002, Environmental management

– Vocabulary
3 Izrazi in definicije 3 Terms and definitions

V tem mednarodnem standardu se uporabljajo For the purposes of this International Standard,

izrazi in definicije, ki so podani v standardih the terms and definitions given in ISO 9000 and

ISO 9000 in ISO 14050, razen tistih, ki jih ISO 14050 apply, unless superseded by the

zamenjujejo spodnji izrazi in definicije. terms and definitions given below.

Izrazi v definicijah ali opombah, ki so A term in a definition or note which is defined

opredeljeni drugje v tej točki, so označeni s elsewhere in this clause is indicated by boldface

poudarjenimi črkami, v oklepaju pa je navedena followed by its entry number in parentheses.

točka. Tako označen izraz se lahko v definiciji Such a boldface term may be replaced in the

nadomesti z njegovo celotno definicijo. definition by its complete definition.
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SIST EN ISO 19011 : 2003
3.1 Presoja 3.1 audit

Sistematičen, neodvisen in dokumentiran proces systematic, independent and documented

pridobivanja dokazov presoje (3.3) in njihovega process for obtaining audit evidence (3.3) and

objektivnega vrednotenja, da bi se določil obseg, evaluating it objectively to determine the extent to

v katerem so izpolnjeni dogovorjeni kriteriji which the audit criteria (3.2) are fulfilled

presoje (3.2).

OPOMBA 1: Notranje presoje, ki se včasih imenujejo NOTE 1 Internal audits, sometimes called first-party

presoje prve stranke, izvajajo organizacije audits, are conducted by, or on behalf of, the

same ali se izvajajo v imenu organizacije organization itself for management review and

za notranje namene in lahko tvorijo podlago other internal purposes, and may form the

za lastno izjavo organizacije o skladnosti. V basis for an organization's self-declaration of

mnogih primerih, posebej v manjših conformity. In many cases, particularly in
organizacijah, se lahko neodvisnost smaller organizations, independence can be
dokazuje s tem, da oseba ni odgovorna za demonstrated by the freedom from
presojane aktivnosti. responsibility for the activity being audited.

OPOMBA 2: Zunanje presoje vključujejo to, kar se NOTE 2 External audits include those generally termed

ponavadi imenuje presoje druge ali tretje second- and third-party audits. Second-party

stranke. Presoje druge stranke izvajajo audits are conducted by parties having an

stranke, ki so zainteresirane za organizacijo, interest in the organization, such as

npr. odjemalci, ali pa druge osebe v njihovem customers, or by other persons on their

imenu. Presoje tretje stranke izvajajo behalf. Third-party audits are conducted by

zunanje neodvisne organizacije, kot so external, independent auditing organizations,

organizacije, ki izvajajo certifikacijo ali such as those providing registration or

registracijo skladnosti z zahtevami certification of conformity to the requirements

standardov ISO 9001 in ISO 14001. of ISO 9001 or ISO 14001.

OPOMBA 3: Kadar se sistema vodenja kakovosti in NOTE 3 When a quality management system and an

ravnanja z okoljem presojata hkrati, se to environmental management system are audited

imenuje kombinirana presoja. together, this is termed a combined audit.

OPOMBA 4: Kadar pri presoji enega presojanca (3.7) NOTE 4 When two or more auditing organizations

sodelujeta dve ali več presojevalskih cooperate to audit a single auditee (3.7), this

organizacij, se to imenuje skupna presoja. is termed a joint audit.
3.2 Kriteriji presoje 3.2 audit criteria

Skupek splošnih usmeritev, postopkov ali zahtev set of policies, procedures or requirements

OPOMBA: Kriteriji presoje se uporabljajo kot referenčna NOTE Audit criteria are used as a reference against

podlaga, s katero se primerja dokaz presoje (3.3). which audit evidence (3.3) is compared.

3.3 audit evidence
3.3 Dokaz presoje

Zapisi, ugotovitve o dejstvih ali druge informacije records, statements of fact or other information,

v zvezi s kriteriji presoje (3.2) in se lahko tudi which are relevant to the audit criteria (3.2) and

preverijo. verifiable

OPOMBA: Dokaz presoje je lahko kvalitativen ali NOTE Audit evidence may be qualitative or quantitative.

kvantitativen.
3.4 Ugotovitve presoje 3.4 audit findings

Rezultati vrednotenja zbranih dokazov presoje results of the evaluation of the collected audit

(3.3) glede na kriterije presoje (3.2). evidence (3.3) against audit criteria (3.2)

OPOMBA: Ugotovitve presoje lahko pokažejo bodisi NOTE Audit findings can indicate either conformity or

skladnost ali neskladnost s kriteriji presoje nonconformity with audit criteria or

ali priložnosti za izboljšave. opportunities for improvement.
3.5 Sklep presoje 3.5 audit conclusion

Izid presoje (3.1), ki ga poda presojevalna outcome of an audit (3.1), provided by the audit

skupina (3.9) po premisleku o ciljih in vseh team (3.9) after consideration of the audit

ugotovitvah presoje (3.4). objectives and all audit findings (3.4)
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SIST EN ISO 19011 : 2003
3.6 Naročnik presoje 3.6 audit client

Organizacija ali oseba, ki zahteva presojo (3.1). organization or person requesting an audit (3.1)

OPOMBA: Naročnik presoje je lahko presojanec (3.7) NOTE The audit client may be the auditee (3.7) or any

ali katerakoli druga organizacija, ki ima other organization which has the regulatory or

zakonsko ali pogodbeno pravico zahtevati contractual right to request an audit.
presojo.
3.7 Presojanec 3.7 auditee
Presojana organizacija. organization being audited
3.8 Presojevalec 3.8 auditor

Oseba, kompetentna (3.14) za izvedbo presoje person with the competence (3.14) to conduct

(3.1). an audit (3.1)
3.9 Presojevalna skupina 3.9 audit team

Eden ali več presojevalcev (3.8), ki izvajajo one or more auditors (3.8) conducting an audit (3.1),

presojo (3.1) in so jim po potrebi v pomoč supported if needed by technical experts (3.10)

tehnični izvedenci (3.10).

OPOMBA 1: En presojevalec v presojevalni skupini je v NOTE 1 One auditor of the audit team is appointed as

splošnem določen za vodjo presojevalne the audit team leader.
skupine.
NOTE 2 The audit team may include auditors-in-
OPOMBA 2: V presojevalni skupini so lahko presojevalci training.
pripravniki.
3.10 Tehnični izvedenec 3.10 technical expert

Oseba, ki priskrbi presojevalni skupini (3.9) person who provides specific knowledge or

specifično znanje ali izvedensko mnenje. expertise to the audit team (3.9)

OPOMBA 1: Specifično znanje ali izkušnje vključujejo NOTE 1 1 Specific knowledge or expertise is that

znanje ali izkušnje v zvezi z organizacijo, which relates to the organization, the process

procesom ali presojanimi aktivnostmi ali or activity to be audited, or language or

jezikom ali kulturo. culture.

OPOMBA 2: Tehnični izvedenec v presojevalni skupini NOTE 2 A technical expert does not act as an auditor

ne deluje kot presojevalec (3.8). (3.8) in the audit team.
3.11 Program presoj 3.11 audit programme

Skupek ene ali več presoj (3.1), planiranih v set of one or more audits (3.1) planned for a

specifičnem časovnem okviru in usmerjenih v specific time frame and directed towards a

specifičen namen. specific purpose

OPOMBA: Program presoj vključuje vse aktivnosti, NOTE An audit programme includes all activities

potrebne za planiranje, organiziranje in necessary for planning, organizing and
izvedbo presoj. conducting the audits.
3.12 Plan presoje 3.12 audit plan

Opis aktivnosti in dogovorov za presojo (3.1). description of the activities and arrangements for

an audit (3.1)
3.13 Predmet presoje 3.13 audit scope
Obseg in meje presoje (3.1). extent and boundaries of an audit (3.1)
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SIST EN ISO 19011 : 2003

OPOMBA: Predmet presoje navadno vključuje opis NOTE The audit scope generally includes a

fizičnih lokacij, organizacijskih enot, description of the physical locations,

aktivnosti in procesov ter tudi časovni okvir. organizational units, activities and processes,

as well as the time period covered.
3.14 Kompetentnost 3.14 competence
Izkazane osebnostne lastnosti in izkazana demonstrated personal attributes and

sposobnost za uporabo znanja in veščin. demonstrated ability to apply knowledge and skills

4 Načela presojanja 4 Principles of auditing

Za presojanje je značilno zanašanje na številna Auditing is characterized by reliance on a

načela. Ta naredijo presojo za učinkovito in number of principles. These make the audit an

zanesljivo orodje za podporo politikam vodenja in effective and reliable tool in support of

obvladovanja, s tem da priskrbi informacije, na management policies and controls, providing

podlagi katerih lahko organizacija ukrepa z information on which an organization can act to

namenom izboljšanja svojega delovanja. improve its performance. Adherence to these

Upoštevanje teh načel je prvi pogoj za zagotovitev principles is a prerequisite for providing audit

ustreznih in zadostnih sklepov presoj in možnosti conclusions that are relevant and sufficient and

presojevalcem, ki delujejo medsebojno neodvisno, for enabling auditors working independently from

da bi prišli do podobnih sklepov v podobnih one another to reach similar conclusions in

okoliščinah. similar circumstances.

Naslednja načela se nanašajo na presojevalce. The following principles relate to auditors.

a) Etično obnašanje: temelj strokovno a) Ethical conduct: the foundation of
opravljenega dela professionalism

Odgovornost, neoporečnost, zaupnost in Trust, integrity, confidentiality and discretion

preudarnost so bistvene za presojanje. are essential to auditing.

b) Korektnost predstavitve: dolžnost b) Fair presentation: the obligation to report

poročati resnično in točno truthfully and accurately

Ugotovitve presoj, sklepi presoj in poročila o Audit findings, audit conclusions and audit

presojah odgovorno in natančno odsevajo reports reflect truthfully and accurately the

aktivnosti presoje. Poroča se o pomembnih audit activities. Significant obstacles

ovirah, na katere se je naletelo med presojo, encountered during the audit and
in o nerešenih razlikah v mnenjih med unresolved diverging opinions between the
presojevalno skupino in presojancem. audit team and the auditee are reported.
c) Skrb za strokovnost: uporaba c) Due professional care: the application of
prizadevnosti
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