Guidelines for auditing management systems (ISO 19011:2011)

ISO 19011:2011 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 audit programme, auditors and audit teams.
ISO 19011:2011 is applicable to all organizations that need to conduct internal or external audits of management systems or manage an audit programme.
The application of ISO 19011:2011 to other types of audits is possible, provided that special consideration is given to the specific competence needed.

Leitfaden zur Auditierung von Managementsystemen (ISO 19011:2011)

Diese Internationale Norm gibt Anleitung zum Auditieren von Managementsystemen, einschlie߬lich zu den Auditprinzipien, zur Leitung und Lenkung eines Auditprogramms und zur Durch¬führung von Audits von Managementsystemen sowie zur Bewertung der Kompetenz derer, die in den Auditprozess einschließlich in die Leitung und Lenkung der Auditprogramme einbezogen sind — Auditoren und Auditteams.
Sie ist anwendbar auf alle Organisationen, die interne oder externe Audits von Managementsystemen durchführen oder für das Management eines Auditprogramms verantwortlich sind.
Die Anwendung dieser Internationalen Norm auf andere Arten von Audits ist möglich, vorausgesetzt, besondere Aufmerksamkeit wird der speziellen Kompetenz, die erforderlich ist, beigemessen.

Lignes directrices pour l'audit des systèmes de management (ISO 19011:2011)

L'ISO 19011:2011 fournit des lignes directrices sur l'audit de systèmes de management, comprenant les principes de l'audit, le management d'un programme d'audit et la réalisation d'audits de systèmes de management. Elle donne également des lignes directrices sur l'évaluation de la compétence des personnes impliquées dans le processus d'audit, y compris le ou la responsable du management du programme d'audit, les auditeurs et les équipes d'audit.
L'ISO 19011:2011 est applicable à tous les organismes qui doivent réaliser des audits internes ou externes de systèmes de management ou manager un programme d'audit.
L'ISO 19011:2011 peut, en principe, s'appliquer à d'autres types d'audits, à condition toutefois d'accorder une attention toute particulière aux compétences spécifiques requises.

Smernice za presojanje sistemov vodenja (ISO 19011:2011)

Ta mednarodni standard podaja vodilo za presojanje sistemov vodenja, vključno z načeli presojanja, vodenja programa presojanja in izvajanja presoj sistema vodenja, ter vodilo za vrednotenje kompetence posameznikov, vključenih v postopek presojanja, vključno z osebo, ki vodi program presojanja, revizorji in revizorskimi ekipami.
Velja za vse organizacije, ki morajo opraviti notranje ali zunanje presoje sistemov vodenja ali voditi program presoje.
Mogoča je tudi uporaba tega mednarodnega standarda pri drugih vrstah presoje, če se upoštevajo posebne zahtevane kompetence.

General Information

Status
Withdrawn
Publication Date
14-Nov-2011
Withdrawal Date
03-Jul-2018
Current Stage
9960 - Withdrawal effective - Withdrawal
Completion Date
04-Jul-2018

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Standards Content (Sample)

SLOVENSKI STANDARD
SIST EN ISO 19011:2011
01-december-2011
1DGRPHãþD
SIST EN ISO 19011:2003
Smernice za presojanje sistemov vodenja (ISO 19011:2011)
Guidelines for auditing management systems (ISO 19011:2011)
Leitfaden zur Auditierung von Managementsystemen (ISO 19011:2011)
Lignes directrices pour l'audit des systèmes de management (ISO 19011:2011)
Ta slovenski standard je istoveten z: EN ISO 19011:2011
ICS:
03.120.10 Vodenje in zagotavljanje Quality management and
kakovosti quality assurance
13.020.10 Ravnanje z okoljem Environmental management
SIST EN ISO 19011:2011 en

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN ISO 19011:2011
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SIST EN ISO 19011:2011
EUROPEAN STANDARD
EN ISO 19011
NORME EUROPÉENNE
EUROPÄISCHE NORM
November 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 systèmes de Leitfaden zur Auditierung von Managementsystemen (ISO

management (ISO 19011:2011) 19011:2011)
This European Standard was approved by CEN on 5 November 2011.

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
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR 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.
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SIST EN ISO 19011:2011
EN ISO 19011:2011 (E)
Contents Page

Foreword ..............................................................................................................................................................3

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SIST EN ISO 19011:2011
EN ISO 19011:2011 (E)
Foreword

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 May 2012, and conflicting national standards shall be withdrawn at the

latest by May 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.

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.
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SIST EN ISO 19011:2011
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SIST EN ISO 19011:2011
INTERNATIONAL ISO
STANDARD 19011
Second edition
2011-11-15
Guidelines for auditing management
systems
Lignes directrices pour l’audit des systèmes de management
Reference number
ISO 19011:2011(E)
ISO 2011
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SIST EN ISO 19011:2011
ISO 19011:2011(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2011

All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,

electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISO’s

member body in the country of the requester.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail copyright@iso.org
Web www.iso.org
Published in Switzerland
ii © ISO 2011 – All rights reserved
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SIST EN ISO 19011:2011
ISO 19011:2011(E)
Contents Page

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

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

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

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

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
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SIST EN ISO 19011:2011
ISO 19011:2011(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 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.

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
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SIST 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.

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
purposes
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
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SIST 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.

Annex B provides additional guidance for auditors on planning and conducting audits.

vi © ISO 2011 – All rights reserved
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SIST EN ISO 19011:2011
INTERNATIONAL STANDARD ISO 19011:2011(E)
Guidelines for auditing management systems
1 Scope

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

audit programme, auditors and audit teams.

It is applicable to all organizations that need to conduct internal or external audits of management systems or

manage an audit programme.

The application of this International Standard to other types of audits is possible, provided that special

consideration is given to the specific competence needed.
2 Normative references

No normative references are cited. This clause is included in order to retain clause numbering identical with

other ISO management system standards.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
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 the organization itself, or on its behalf, for

management review and other internal purposes (e.g. to confirm the effectiveness of the management system or to obtain

information for the improvement of the management system). Internal audits can form the basis for an organization’s self-

declaration of conformity. In many cases, particularly in small organizations, independence can be demonstrated by the

freedom from responsibility for the activity being audited or freedom from bias and conflict of interest.

NOTE 2 External audits include 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

independent auditing organizations, such as regulators or those providing certification.

NOTE 3 When two or more management systems of different disciplines (e.g. quality, environmental, occupational

health and safety) 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.

NOTE 5 Adapted from ISO 9000:2005, definition 3.9.1.
3.2
audit criteria

set of policies, procedures or requirements used as a reference against which audit evidence (3.3) is compared

NOTE 1 Adapted from ISO 9000:2005, definition 3.9.3.

NOTE 2 If the audit criteria are legal (including statutory or regulatory) requirements, the terms “compliant” or “non-

compliant” are often used in an audit finding (3.4).
© ISO 2011 – All rights reserved 1
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SIST EN ISO 19011:2011
ISO 19011:2011(E)
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 can be qualitative or quantitative.
[ISO 9000:2005, definition 3.9.4]
3.4
audit findings

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

NOTE 1 Audit findings indicate conformity or nonconformity.

NOTE 2 Audit findings can lead to the identification of opportunities for improvement or recording good practices.

NOTE 3 If the audit criteria are selected from legal or other requirements, the audit finding is termed compliance or

non-compliance.
NOTE 4 Adapted from ISO 9000:2005, definition 3.9.5.
3.5
audit conclusion

outcome of an audit (3.1), after consideration of the audit objectives and all audit findings (3.4)

NOTE Adapted from ISO 9000:2005, definition 3.9.6.
3.6
audit client
organization or person requesting an audit (3.1)

NOTE 1 In the case of internal audit, the audit client can also be the auditee (3.7) or the person managing the audit

programme. Requests for external audit can come from sources such as regulators, contracting parties or potential clients.

NOTE 2 Adapted from ISO 9000:2005, definition 3.9.7.
3.7
auditee
organization being audited
[ISO 9000:2005, definition 3.9.8]
3.8
auditor
person who conducts 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.
[ISO 9000:2005, definition 3.9.10]
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.
2 © ISO 2011 – All rights reserved
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SIST EN ISO 19011:2011
ISO 19011:2011(E)
[ISO 9000:2005, definition 3.9.11]
3.11
observer
person who accompanies the audit team (3.9) but does not audit

NOTE 1 An observer is not a part of the audit team (3.9) and does not influence or interfere with the conduct of the

audit (3.1).

NOTE 2 An observer can be from the auditee (3.7), a regulator or other interested party who witnesses the audit (3.1).

3.12
guide
person appointed by the auditee (3.7) to assist the audit team (3.9)
3.13
audit programme

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

specific purpose
NOTE Adapted from ISO 9000:2005, definition 3.9.2.
3.14
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.
[ISO 9000:2005, definition 3.9.13]
3.15
audit plan
description of the activities and arrangements for an audit (3.1)
[ISO 9000:2005, definition 3.9.12]
3.16
risk
effect of uncertainty on objectives
NOTE Adapted from ISO Guide 73:2009, definition 1.1.
3.17
competence
ability to apply knowledge and skills to achieve intended results

NOTE Ability implies the appropriate application of personal behaviour during the audit process.

3.18
conformity
fulfilment of a requirement
[ISO 9000:2005, definition 3.6.1]
3.19
nonconformity
non-fulfilment of a requirement
[ISO 9000:2005, definition 3.6.2]
© ISO 2011 – All rights reserved 3
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SIST EN ISO 19011:2011
ISO 19011:2011(E)
3.20
management system
system to establish policy and objectives and to achieve those objectives

NOTE A management system of an organization can include different management systems, such as a quality

management system, a financial management system or an environmental management system.

[ISO 9000:2005, definition 3.2.2]
4 Principles of auditing

Auditing is characterized by reliance on a number of principles. These principles should help to make the audit

an effective and reliable tool in support of management policies and controls, by providing information on which

an organization can act in order 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 guidance given in Clauses 5 to 7 is based on the six principles outlined below.

a) Integrity: the foundation of professionalism
Auditors and the person managing an audit programme should:
— perform their work with honesty, diligence, and responsibility;
— observe and comply with any applicable legal requirements;
— demonstrate their competence while performing their work;

— perform their work in an impartial manner, i.e. remain fair and unbiased in all their dealings;

— be sensitive to any influences that may be exerted on their judgement while carrying out an audit.

b) Fair presentation: the obligation to report truthfully and accurately

Audit findings, audit conclusions and audit reports should reflect truthfully and accurately the audit

activities. Significant obstacles encountered during the audit and unresolved diverging opinions between

the audit team and the auditee should be reported. The communication should be truthful, accurate,

objective, timely, clear and complete.
c) Due professional care: the application of diligence and judgement in auditing

Auditors should exercise due care in accordance with the importance of the task they perform and the

confidence placed in them by the audit client and other interested parties. An important factor in carrying

out their work with due professional care is having the ability to make reasoned judgements in all audit

situations.
d) Confidentiality: security of information

Auditors should exercise discretion in the use and protection of information acquired in the course of

their duties. Audit information should not be used inappropriately for personal gain by the auditor or the

audit client, or in a manner detrimental to the legitimate interests of the auditee. This concept includes the

proper handling of sensitive or confidential information.

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

Auditors should be independent of the activity being audited wherever practicable, and should in all

cases act in a manner that is free from bias and conflict of interest. For internal audits, auditors should

be independent from the operating managers of the function being audited. Auditors should maintain

4 © ISO 2011 – All rights reserved
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SIST EN ISO 19011:2011
ISO 19011:2011(E)

objectivity throughout the audit process to ensure that the audit findings and conclusions are based only

on the audit evidence.

For small organizations, it may not be possible for internal auditors to be fully independent of the activity

being audited, but every effort should be made to remove bias and encourage objectivity.

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

in a systematic audit process

Audit evidence should be verifiable. It will in general be based on samples of the information available,

since an audit is conducted during a finite period of time and with finite resources. An appropriate use of

sampling should be applied, since this is closely related to the confidence that can be placed in the audit

conclusions.
5 Managing an audit programme
5.1 General

An organization needing to conduct audits should establish an audit programme that contributes to the

determination of the effectiveness of the auditee’s management system. The audit programme can include

audits considering one or more management system standards, conducted either separately or in combination.

The top management should ensure that the audit programme objectives are established and assign one or

more competent persons to manage the audit programme. The extent of an audit programme should be based

on the size and nature of the organization being audited, as well as on the nature, functionality, complexity

and the level of maturity of the management system to be audited. Priority should be given to allocating

the audit programme resources to audit those matters of significance within the management system. These

may include the key characteristics of product quality or hazards related
...

SLOVENSKI SIST EN ISO 19011
STANDARD
december 2011
Smernice za presojanje sistemov vodenja (ISO 19011:2011)
Guidelines for auditing management systems (ISO 19011:2011)
Leitfaden zur Auditierung von Managementsystemen (ISO 19011:2011)
Lignes directrices pour l’audit des systèmes de management (ISO 19011:2011)
Referenčna oznaka
ICS 03.120.10; 13.020.10 SIST EN ISO 19011:2011 (sl,en)
Nadaljevanje na straneh II in od 1 do 73

© 2013-03. Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN ISO 19011 : 2011
NACIONALNI UVOD

Standard SIST EN ISO 19011 (sl,en), Smernice za presojanje sistemov vodenja (ISO 19011:2011),

2011, ima status slovenskega standarda in je enakovreden evropskemu standardu EN ISO 19011,

Guidelines for auditing management systems (ISO 19011:2011), 2011.
NACIONALNI PREDGOVOR

Besedilo standarda EN ISO 19011:2011 je pripravil tehnični odbor ISO/TC 176 "Vodenje in

zagotavljanje kakovosti". Slovenski standard SIST EN ISO 19011:2011 je prevod angleškega besedila

evropskega standarda EN ISO 19011:2011. V primeru spora glede besedila slovenskega prevoda v

tem standardu je odločilen izvirni evropski standard v angleškem jeziku. Slovensko-angleško izdajo

standarda je pripravil SIST/TC VZK Vodenje in zagotavljanje kakovosti.

Odločitev za privzem tega standarda je dne 25. novembra 2011 sprejel SIST/TC VZK Vodenje in

zagotavljanje kakovosti.
OSNOVA ZA IZDAJO STANDARDA
– privzem standarda EN ISO 19011:2011
PREDHODNA IZDAJA
– SIST EN ISO 19011:2003
OPOMBE

– Povsod, kjer se v besedilu standarda uporablja izraz “mednarodni standard”, v SIST EN ISO

19011:2011 to pomeni “slovenski standard”.
– Nacionalni uvod in nacionalni predgovor nista sestavni del standarda.

– Ta nacionalni dokument je istoveten EN ISO 19011:2011 in je objavljen z dovoljenjem

CEN
Avenue Marnix 17
1050 Bruselj
Belgija

This national document is identical with EN ISO 19011:2011 and is published with the permission of

CEN
Avenue Marnix 17
1050 Bruxelles
Belgium
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EVROPSKI STANDARD EN ISO 19011
EUROPEAN STANDARD
EUROPÄISCHE NORM
NORME EUROPÉENNE november 2011
ICS: 03.120.10; 13.020.10 Nadomešča EN ISO 19011:2002
Slovenska izdaja
Smernice za presojanje sistemov vodenja (ISO 19011:2011)

Guidelines for auditing Lignes directrices pour l'audit des Leitfaden zur Auditierung von

management systems systèmes de management Managementsystemen
(ISO 19011:2011) (ISO 19011:2011) (ISO 19011:2011)
Ta evropski standard je CEN sprejel 5. novembra 2011.

Člani CEN morajo izpolnjevati notranje predpise CEN/CENELEC, s katerimi je predpisano, da mora

biti ta standard brez kakršnih koli sprememb sprejet ko nacionalni standard. Seznami najnovejših izdaj

teh nacionalnih standardov in njihovi bibliografski podatki so na zahtevo na voljo pri Upravnem centru

CEN-CENELEC ali pri kateremkoli članu CEN.

Ta evropski standard obstaja v treh uradnih izdajah (angleški, francoski, nemški). Izdaje v drugih

jezikih, ki jih člani CEN na lastno odgovornost prevedejo in izdajo ter prijavijo pri Upravnem centru

CEN-CENELEC, veljajo kot uradne izdaje.

Člani CEN so nacionalni organi za standarde Avstrije, Belgije, Bolgarije, Cipra, Češke republike,

Danske, Estonije, Finske, Francije, Grčije, Hrvaške, Irske, Islandije, Italije, Latvije, Litve,

Luksemburga, Madžarske, Malte, Nemčije, Nizozemske, Norveške, Poljske, Portugalske, Romunije,

Slovaške, Slovenije, Španije, Švedske, Švice in Združenega kraljestva.
CEN
Evropski komite za standardizacijo
European Committee for Standardization
Europäisches Komitee für Normung
Comité Européen de Normalisation
Upravni center: Avenue Marnix 17, B-1000 Bruselj

© 2011. Lastnice avtorskih pravic so vse države članice CEN Ref. oznaka: EN ISO 19011:2011 E

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SIST EN ISO 19011 : 2011
Vsebina StranContents Page

Predgovor k evropskemu standardu................3 Foreword to the european standard ................... 3

Predgovor k mednarodnemu standardu........... 4 Foreword to the international standard............... 4

Uvod.................................................................6 Introduction .......................................................... 6

1 Področje uporabe .......................................... 9 1 Scope................................................................ 9

2 Zveza s standardi .......................................... 9 2 Normative references....................................... 9

3 Izrazi in definicije ........................................... 9 3 Terms and definitions....................................... 9

4 Načela presojanja........................................ 13 4 Principles of auditing ......................................13

5 Vodenje programa presoj............................14 5 Managing an audit programme......................14

5.1 Splošno..................................................... 14 5.1 General .......................................................14

5.2 Določitev okvirnih ciljev programa 5.2 Establishing the audit programme

presoj ........................................................... 17 objectives ........................................................17

5.3 Določitev programa presoj........................18 5.3 Establishing the audit programme..............18

5.4 Izvedba programa presoj.......................... 21 5.4 Implementing the audit programme............21

5.5 Nadzorovanje programa presoj ................ 27 5.5 Monitoring the audit programme.................27

5.6 Pregledovanje in izboljševanje 5.6 Reviewing and improving the audit

programa presoj........................................... 27 programme......................................................27

6 Izvedba presoje...........................................28 6 Performing an audit........................................28

6.1 Splošno.....................................................28 6.1 General........................................................28

6.2 Začetek presoje........................................ 29 6.2 Initiating the audit ........................................29

6.3 Priprava aktivnosti presoje.......................31 6.3 Preparing audit activities.............................31

6.4 Izvajanje aktivnosti presoje ...................... 34 6.4 Conducting the audit activities ....................34

6.5 Priprava in razdelitev poročila o presoji.... 41 6.5 Preparing and distributing the audit report .41

6.6 Dokončanje presoje.................................. 42 6.6 Completing the audit ...................................42

6.7 Izvajanje aktivnosti po presoji...................43 6.7 Conducting audit follow-up..........................43

7 Kompetentnost in vrednotenje 7 Competence and evaluation

presojevalcev ............................................... 43 of auditors .......................................................43

7.1 Splošno.....................................................43 7.1 General........................................................43

7.2 Ugotavljanje kompetentnosti presojevalcev 7.2 Determining auditor competence to

za izpolnjevanje potreb programa presoj..... 44 fulfil the needs of the audit programme..........44

7.3 Določitev kriterijev za vrednotenje 7.3 Establishing the auditor evaluation

presojevalcev ............................................... 50 criteria..............................................................50

7.4 Izbira ustrezne metode za vrednotenje 7.4 Selecting the appropriate auditor

presojevalcev ............................................... 50 evaluation method ..........................................50

7.5 Izvedba vrednotenja presojevalcev.......... 51 7.5 Conducting auditor evaluation ....................51

7.6 Vzdrževanje in izboljševanje 7.6 Maintaining and improving auditor

kompetentnosti presojevalcev...................... 52 competence ....................................................52

Dodatek A (informativni): Napotki in Annex A (informative) Guidance and

primeri prikaza specifičnega strokovnega illustrative examples of discipline-specific

znanja in veščin presojevalcev .................... 53 knowledge and skills of auditors ....................53

Dodatek B (informativni): Dodatni napotki Annex B (informative): Additional guidance

presojevalcem za načrtovanje in izvajanje for auditors for planning and conducting

presoj ........................................................... 62 audits ............................................................62

Literatura......................................................... 72 Bibliography.......................................................72

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SIST EN ISO 19011 : 2011
Predgovor k evropskemu standardu Foreword to the european standard

Ta dokument (EN ISO 19011:2011) je pripravil This document (EN ISO 19011:2011) has been

tehnični odbor ISO/TC 176 "Vodenje in prepared by Technical Committee ISO/TC 176
zagotavljanje kakovosti". "Quality management and quality assurance".

Ta evropski standard mora z objavo istovetnega This European Standard shall be given the

besedila ali z razglasitvijo dobiti status status of a national standard, either by

nacionalnega standarda najpozneje do maja publication of an identical text or by

2012, nacionalne standarde, ki so v nasprotju s endorsement, at the latest by May 2012, and

tem standardom, pa je treba umakniti najpozneje conflicting national standards shall be withdrawn

do maja 2012. at the latest by May 2012.

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

elementov tega dokumenta predmet patentnih the elements of this document may be the

pravic. CEN [in/ali CENELEC] ne prevzema subject of patent rights. CEN [and/or CENELEC]

odgovornosti za identifikacijo katerih koli ali vseh shall not be held responsible for identifying any

takih patentnih pravic. or all such patent rights.

Ta dokument nadomešča EN ISO 19011:2002. This document supersedes EN ISO 19011:2002.

V skladu z notranjimi predpisi CEN/CENELEC According to the CEN/CENELEC Internal
morajo ta evropski standard obvezno uvesti Regulations, the national standards

nacionalne organizacije za standardizacijo organizations of the following countries are

naslednjih držav: Avstrije, Belgije, Bolgarije, bound to implement this European Standard:

Cipra, Češke republike, Danske, Estonije, Austria, Belgium, Bulgaria, Croatia, Cyprus,

Finske, Francije, Grčije, Hrvaške, Irske, Islandije, Czech Republic, Denmark, Estonia, Finland,

Italije, Latvije, Litve, Luksemburga, Madžarske, France, Germany, Greece, Hungary, Iceland,

Malte, Nemčije, Nizozemske, Norveške, Poljske, Ireland, Italy, Latvia, Lithuania, Luxembourg,

Portugalske, Romunije, Slovaške, Slovenije, Malta, Netherlands, Norway, Poland, Portugal,

Španije, Švedske, Švice in Združenega Romania, Slovakia, Slovenia, Spain, Sweden,

kraljestva. Switzerland and the United Kingdom.
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SIST EN ISO 19011 : 2011
Predgovor k mednarodnemu standardu Foreword to the international standard

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 bodies).

ponavadi pripravljajo tehnični odbori ISO. Vsak The work of preparing International Standards is

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

katero je bil ustanovljen tehnični odbor, ima committees. Each member body interested in a

pravico biti zastopan v tem odboru. Pri delu subject for which a technical committee has been

sodelujejo tudi mednarodne vladne in nevladne established has the right to be represented on

organizacije, povezane z ISO. V vseh zadevah, that committee. International organizations,

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

elektrotehnike, ISO tesno sodeluje z with ISO, also take part in the work. ISO

Mednarodno elektrotehniško komisijo (IEC). 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, 2. del. accordance with the rules given in the ISO/IEC

Directives, Part 2.

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

mednarodnih standardov. Osnutki mednarodnih prepare International Standards. Draft

standardov, ki jih sprejmejo tehnični odbori, se International Standards adopted by the technical

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

mednarodnega standarda je treba pridobiti for voting. Publication as an International

soglasje najmanj 75 odstotkov članov, ki so Standard requires approval by at least 75 % of

glasovali. the member bodies casting a vote.

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

elementov tega dokumenta predmet patentnih the elements of this document may be the

pravic. ISO ne prevzema odgovornosti za subject of patent rights. ISO shall not be held

identifikacijo katerih koli ali vseh takih patentnih responsible for identifying any or all such patent

pravic. rights.

ISO 19011 je pripravil tehnični odbor ISO/TC 176 ISO 19011 was prepared by Technical

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

SC 3 Podporne tehnologije. and quality assurance, Subcommittee SC 3,
Supporting technologies.

Ta druga izdaja razveljavlja in nadomešča prvo This second edition cancels and replaces the

izdajo (ISO 19011:2002), ki je tehnično first edition (ISO 19011:2002), which has been

revidirana. technically revised.

Glavne razlike v primerjavi s prvo izdajo so: The main differences compared with the first

edition are as follows:

– področje uporabe je s presojanja sistemov – the scope has been broadened from the

vodenja kakovosti in ravnanja z okoljem auditing of quality and environmental
razširjeno na presojanje katerega koli management systems to the auditing of
sistema vodenja; any management systems;

– razjasnjena je povezava med ISO 19011 in – the relationship between ISO 19011 and

ISO/IEC 17021; ISO/IEC 17021 has been clarified;

– uvedeni so metode presoje na daljavo in – remote audit methods and the concept of

koncept tveganja; risk have been introduced;
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SIST EN ISO 19011 : 2011

– kot novo načelo presojanja je dodana – confidentiality has been added as a new

zaupnost; principle of auditing;
– točke 5, 6 in 7 so preoblikovane; – Clauses 5, 6 and 7 have been reorganized;

– v nov dodatek B so zaradi odstranitve – additional information has been included in

okvirov za pomoč vključene dodatne a new Annex B, resulting in the removal of
informacije; help boxes;
– okrepljen je proces določanja in – the competence determination and
vrednotenja kompetentnosti; evaluation process has been
strengthened;

– v nov dodatek A so vključeni primeri – illustrative examples of discipline-specific

prikaza specifičnega strokovnega znanja in knowledge and skills have been included

veščin; in a new Annex A;

– dodatne smernice so na voljo na spletni – additional guidelines are available at the

strani: www.iso.org/19011auditing. following website: www.iso.org/19011auditing
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SIST EN ISO 19011 : 2011
Uvod Introduction

Odkar je bila leta 2002 izdana prva izdaja tega Since the first edition of this International

mednarodnega standarda, so bili objavljeni Standard was published in 2002, a number of

številni novi standardi za sisteme vodenja. Zato new management system standards have been

sta nastopili potrebi po upoštevanju širšega published. As a result, there is now a need to

obsega presojanja sistemov vodenja in po consider a broader scope of management

zagotavljanju splošnejših navodil. system auditing, as well as providing guidance

that is more generic.

Leta 2006 je Odbor ISO za ugotavljanje In 2006, the ISO committee for conformity

skladnosti (CASCO) razvil standard ISO/IEC assessment (CASCO) developed ISO/IEC

17021, ki podaja zahteve za certificiranje 17021, which sets out requirements for third

sistemov vodenja tretje stranke in je delno party certification of management systems and

temeljil na smernicah iz prve izdaje tega which was based in part on the guidelines

mednarodnega standarda. contained in the first edition of this International
Standard.

Leta 2011 izdana druga izdaja ISO/IEC 17021 The second edition of ISO/IEC 17021, published

je bila razširjena v tem pogledu, da so bili in 2011, was extended to transform the guidance

napotki iz tega mednarodnega standarda offered in this International Standard into

spremenjeni v zahteve za presoje certificiranja requirements for management system

sistemov vodenja. Prav v tem okviru podaja certification audits. It is in this context that this

druga izdaja tega mednarodnega standarda second edition of this International Standard

napotke za vse uporabnike, vključno z majhnimi provides guidance for all users, including small

in srednje velikimi organizacijami, ter posveča and medium-sized organizations, and

posebno pozornost t. i. "notranjim presojam" concentrates on what are commonly termed

(prva stranka) in "presojam, ki jih odjemalci “internal audits” (first party) and “audits

izvajajo pri svojih dobaviteljih" (druga stranka). conducted by customers on their suppliers”

Tistim, ki izvajajo presoje certificiranja sistemov (second party). While those involved in

vodenja po zahtevah standarda ISO/IEC management system certification audits follow

17021:2011, pa bi utegnili koristiti tudi napotki iz the requirements of ISO/IEC 17021:2011, they

tega mednarodnega standarda. might also find the guidance in this International
Standard useful.

V preglednici 1 so prikazane povezave med The relationship between this second edition of

drugo izdajo tega mednarodnega standarda in this International Standard and ISO/IEC

ISO/IEC 17021:2011. 17021:2011 is shown in Table 1.
Preglednica 1: Področje uporabe tega Table 1 – Scope of this International
mednarodnega standarda in njegova Standard and its relationship with
povezava z ISO/IEC 17021:2011 ISO/IEC 17021:2011
Zunanja presoja External auditing
Notranja Internal
Presoja Presoja tretje Supplier Third party
presoja auditing
dobaviteljev stranke auditing auditing
Za pravne, For legal, regulatory
regulativne in Sometimes and similar purposes
Včasih Včasih Sometimes
podobne namene called For certification
imenovana imenovana
called first
Za certificiranje second (see also the
presoja prve presoja druge party audit
(glej tudi zahteve v party audit requirements in
stranke stranke
ISO/IEC ISO/IEC 17021:2011)
17021:2011)

Ta mednarodni standard ne navaja zahtev, This International Standard does not state

temveč podaja napotke za vodenje programa requirements, but provides guidance on the

presoj, načrtovanje in izvajanje presoje sistema management of an audit programme, on the

vodenja ter za kompetentnost in ovrednotenje planning and conducting of an audit of the

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SIST EN ISO 19011 : 2011
posameznega presojevalca in presojevalne management system, as well as on the
skupine. competence and evaluation of an auditor and
an audit team.

V organizaciji lahko deluje več formalnih Organizations can operate more than one formal

sistemov vodenja. Da bi poenostavili berljivost management system. To simplify the readability

tega mednarodnega standarda, je uporabljena of this International Standard, the singular form

edninska oblika "sistem vodenja", bralec pa of “management system” is preferred, but the

lahko izvajanje napotkov prilagodi svojim reader can adapt the implementation of the

razmeram. To se nanaša tudi na uporabo guidance to their own particular situation. This

samostalnikov "oseba" in "osebe", "presojevalec" also applies to the use of “person” and “persons”,

in "presojevalci". “auditor” and “auditors”.

Ta mednarodni standard je namenjen širokemu This International Standard is intended to apply

krogu morebitnih uporabnikov, vključno s to a broad range of potential users, including

presojevalci, organizacijami, ki izvajajo sisteme auditors, organizations implementing manage-

vodenja, in organizacijami, ki morajo iz ment systems, and organizations needing to

pogodbenih ali regulativnih razlogov izvajati conduct audits of management systems for

presojo sistemov vodenja. Uporabniki tega contractual or regulatory reasons. Users of this

mednarodnega standarda pa lahko te napotke International Standard can, however, apply this

uporabijo tudi za pripravo lastnih zahtev v zvezi s guidance in developing their own audit-related

presojo. requirements.

Napotki iz tega mednarodnega standarda se The guidance in this International Standard can

lahko uporabljajo tudi za samodeklariranje in also be used for the purpose of self-declaration,

lahko koristijo organizacijam, ki izvajajo and can be useful to organizations involved in

usposabljanje presojevalcev ali certificiranje auditor training or personnel certification.

osebja.

Napotki iz tega mednarodnega standarda se The guidance in this International Standard is

lahko prilagajajo. Kot je razvidno iz različnih intended to be flexible. As indicated at various

delov besedila, se lahko uporaba teh napotkov points in the text, the use of this guidance can

razlikuje glede na velikost in stopnjo zrelosti differ depending on the size and level of maturity

sistema vodenja organizacije, na naravo in of an organization’s management system and on

kompleksnost presojane organizacije ter tudi the nature and complexity of the organization to

glede na cilje in obseg predvidenih presoj. be audited, as well as on the objectives and

scope of the audits to be conducted.

Ta mednarodni standard v presojanje sistemov This International Standard introduces the

vodenja uvaja koncept tveganja. Privzeti pristop concept of risk to management systems

se nanaša tako na tveganje, da proces presoje auditing. The approach adopted relates both to

ne bo dosegel svojih ciljev, kot tudi na možnost the risk of the audit process not achieving its

poseganja presoje v dejavnosti in procese objectives and to the potential of the audit to

presojanca. Ne daje pa posebnih napotkov glede interfere with the auditee’s activities and

procesa obvladovanja tveganja organizacije, processes. It does not provide specific guidance

temveč dopušča, da organizacije osredotočijo on the organization’s risk management process,

presojo na zadeve, ki so pomembne za sistem but recognizes that organizations can focus

vodenja. audit effort on matters of significance to the
management system.
V tem mednarodnem standardu je sprejet This International Standard adopts the

pristop, da se skupno presojanje dveh ali več approach that when two or more management

sistemov vodenja imenuje "kombinirana presoja". systems of different disciplines are audited

Kadar so ti sistemi povezani v en sistem together, this is termed a “combined audit”.

vodenja, so načela in procesi presojanja enaki Where these systems are integrated into a

kot pri kombinirani presoji. single management system, the principles and
processes of auditing are the same as for a
combined audit.
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SIST EN ISO 19011 : 2011

V točki 3 so podani ključni izrazi in definicije, ki Clause 3 sets out the key terms and definitions

se uporabljajo v tem mednarodnem standardu. used in this International Standard. All efforts

Pri tem je bilo v največji možni meri poskrbljeno, have been taken to ensure that these definitions

da te definicije niso v nasprotju z definicijami, do not conflict with definitions used in other

uporabljenimi v drugih standardih. standards.

V točki 4 so opisana načela, na katerih temelji Clause 4 describes the principles on which

presojanje. Ta načela pomagajo uporabniku auditing is based. These principles help the user

razumeti bistvene značilnosti presojanja in so to understand the essential nature of auditing

pomembna za razumevanje napotkov v točkah and they are important in understanding the

od 5 do 7. guidance set out in Clauses 5 to 7.

V točki 5 so podani napotki za določitev in Clause 5 provides guidance on establishing and

vodenje programa presoj, določitev ciljev managing an audit programme, establishing the

programa presoj in koordiniranje aktivnosti audit programme objectives, and coordinating

presojanja. auditing activities.

V točki 6 so podani napotki za načrtovanje in Clause 6 provides guidance on planning and

vodenje presoje sistema vodenja. conducting an audit of a management system.

V točki 7 so podani napotki glede kompetentnosti Clause 7 provides guidance relating to the

in vrednotenja presojevalcev in presojevalnih competence and evaluation of management

skupin za sisteme vodenja. system auditors and audit teams.

Dodatek A ponazarja uporabo napotkov iz točke Annex A illustrates the application of the

7 v različnih strokah. guidance in Clause 7 to different disciplines.
Dodatek B podaja dodatne napotke za Annex B provides additional guidance for

presojevalce glede načrtovanja in izvajanja auditors on planning and conducting audits.

presoj.
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SIST EN ISO 19011 : 2011
Smernice za presojanje sistemov Guidelines for auditing management
vodenja systems
1 Področje uporabe 1 Scope

Ta mednarodni standard podaja napotke o This International Standard provides guidance

presojanju sistemov vodenja, vključno z načeli on auditing management systems, including the

presojanja, vodenjem programa presoj in principles of auditing, managing an audit

izvajanjem presoj sistema vodenja, ter tudi programme and conducting management

napotke glede vrednotenja kompetentnosti system audits, as well as guidance on the

posameznikov, zajetih v proces presoje, vključno evaluation of competence of individuals

z osebo, ki vodi program presoj, presojevalci in involved in the audit process, including the

presojevalnimi skupinami. person managing the audit programme,
auditors and audit teams.

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

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

vodenja ali voditi program presoj. systems or manage an audit programme.

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

drugih vrstah presoj, če se pri tem posebna other types of audits is possible, provided that

pozornost posveti potrebni specifični special consideration is given to the specific

kompetentnosti. competence needed.
2 Zveza s standardi 2 Normative references

Standard ne vsebuje sklicevanj na druge No normative references are cited. This clause is

standarde. Ta točka je vključena zgolj zato, da included in order to retain clause numbering

se ohrani istovetno številčenje z drugimi identical with other ISO management system

standardi ISO za sisteme vodenja. standards.
3 Izrazi in definicije 3 Terms and definitions

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

naslednji izrazi in definicije: following terms and definitions apply.
3.1 3.1
presoja 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

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

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

presoje prve stranke, izvaja organizacija sama audits, are conducted by the organization itself,

ali nekdo v njenem imenu za vodstveni or on its behalf, for management review and

pregled in druge notranje namene (npr. za other internal purposes (e.g. to confirm the

potrditev uspešnosti sistema vodenja ali effectiveness of the management system or to

pridobitev informacij za izboljšanje sistema obtain information for the improvement of the

vodenja). Notranje presoje so lahko podlaga management system). Internal audits can form

za samodeklariranje organizacije o skladnosti. the basis for an organization’s self-declaration

V številnih primerih, zlasti v manjših of conformity. In many cases, particularly in

organizacijah, se lahko neodvisnost izkazuje z small organizations, indepen-dence can be

neodgovornostjo za aktivnost, ki se presoja, demonstrated by the freedom from

ali z odsotnostjo predsodkov in nasprotja responsibility for the activity being audited or

interesov. freedom from bias and conflict of interest.
...

Questions, Comments and Discussion

Ask us and Technical Secretary will try to provide an answer. You can facilitate discussion about the standard in here.