ISO/IEC TS 17012
(Main)Conformity assessment — Guidelines for the use of remote auditing methods in auditing management systems
Conformity assessment — Guidelines for the use of remote auditing methods in auditing management systems
This document provides guidance on the use of remote auditing methods in auditing management systems. It is applicable to all organizations that plan and conduct all kinds of internal or external audits (i.e. first-party, second-party and third-party audits) of management systems. This document supports the general principles of auditing given in ISO 19011:2018 and provides further guidance on specific conditions, possibilities and limitations for implementing remote auditing methods. This document is intended to strengthen confidence in the use of remote auditing methods for auditing management systems among customers, regulators, accreditation bodies, certification bodies, scheme owners, industry, employees, consumers, suppliers and other interested parties. The use of remote auditing methods for auditing management systems is not intended to replace on-site audit methods. Instead, remote auditing methods are intended to serve as a tool to effectively and efficiently conduct the audit. NOTE This document can be used for other types of audits and assessments.
Titre manque
Smernice za uporabo metod presojanja na daljavo pri presojanju sistemov vodenja
General Information
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Technical
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ISO/IEC DTS 17012
ISO/CASCO
Guidelines for the use of remote
Secretariat: ISO
auditing methods in auditing
Voting begins on:
management systems
2024-03-19
Voting terminates on:
2024-05-14
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WITH THEIR COMMENTS, NOTIFICATION OF ANY
RELEVANT PATENT RIGHTS OF WHICH THEY ARE AWARE
AND TO PROVIDE SUPPOR TING DOCUMENTATION.
IN ADDITION TO THEIR EVALUATION AS
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO
LOGICAL, COMMERCIAL AND USER PURPOSES, DRAFT
This draft is submitted to a parallel vote in ISO and in IEC.
INTERNATIONAL STANDARDS MAY ON OCCASION HAVE
TO BE CONSIDERED IN THE LIGHT OF THEIR POTENTIAL
TO BECOME STAN DARDS TO WHICH REFERENCE MAY BE
MADE IN NATIONAL REGULATIONS.
Reference number
ISO/IEC DTS 17012:2024(en) © ISO/IEC 2024
FINAL DRAFT
ISO/IEC DTS 17012:2024(en)
Technical
Specification
ISO/IEC DTS 17012
ISO/CASCO
Guidelines for the use of remote
Secretariat: ISO
auditing methods in auditing
Voting begins on:
management systems
Voting terminates on:
RECIPIENTS OF THIS DRAFT ARE INVITED TO SUBMIT,
WITH THEIR COMMENTS, NOTIFICATION OF ANY
RELEVANT PATENT RIGHTS OF WHICH THEY ARE AWARE
AND TO PROVIDE SUPPOR TING DOCUMENTATION.
© ISO/IEC 2024
IN ADDITION TO THEIR EVALUATION AS
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO
LOGICAL, COMMERCIAL AND USER PURPOSES, DRAFT
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
This draft is submitted to a parallel vote in ISO and in IEC.
INTERNATIONAL STANDARDS MAY ON OCCASION HAVE
the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
TO BE CONSIDERED IN THE LIGHT OF THEIR POTENTIAL
or ISO’s member body in the country of the requester.
TO BECOME STAN DARDS TO WHICH REFERENCE MAY BE
MADE IN NATIONAL REGULATIONS.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland Reference number
ISO/IEC DTS 17012:2024(en) © ISO/IEC 2024
© ISO/IEC 2024 – All rights reserved
ii
ISO/IEC DTS 17012:2024(en)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Principles of auditing . 2
5 Managing an audit programme . 2
5.1 General .2
5.2 Establishing audit programme objectives .2
5.3 Determining and evaluating audit programme risks and opportunities .3
5.4 Establishing the audit programme .5
5.5 Implementation of audit programme .6
5.6 Monitoring the audit programme .6
5.7 Reviewing and improving audit programme .6
6 Conducting an audit using remote auditing methods . 7
6.1 General .7
6.2 Initiating audit .7
6.3 Preparing audit activities .8
6.3.1 Performing review of documented information .8
6.3.2 Audit planning .8
6.4 Conducting audit activities .9
6.4.1 General .9
6.4.2 Assigning roles and responsibilities of support personnel and observers .9
6.4.3 Conducting opening meeting .10
6.4.4 Communicating during the audit .10
6.4.5 Audit information availability and access .11
6.4.6 Reviewing documented information while conducting the audit .11
6.4.7 Collecting and verifying information.11
6.4.8 Generating audit findings .11
6.4.9 Determining audit conclusions . 12
6.4.10 Conducting the closing meeting. 12
6.5 Preparing and distributing audit report . 12
6.6 Completing audit . 12
6.7 Conducting audit follow-up . 12
7 Competence and evaluation of auditors .12
7.1 General . 12
7.2 Determining auditor competence . 12
7.2.1 General . 12
7.2.2 Personal behaviour . 13
7.2.3 Knowledge and skills . 13
7.2.4 Achieving auditor competence .14
7.2.5 Achieving audit team leader competence .14
7.3 Establishing auditor evaluation criteria .14
7.4 Selecting the appropriate auditor evaluation method . 15
7.5 Conducting auditor evaluation . 15
7.6 Maintaining and improving auditor competence . 15
Annex A (informative) Remote auditing methods .16
Annex B (informative) Useful practices . 19
Bibliography .22
© ISO/IEC 2024 – All rights reserved
iii
ISO/IEC DTS 17012:2024(en)
Foreword
ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
Commission) form the specialized system for worldwide standardization. National bodies that are
members of ISO or IEC participate in the development of International Standards through technical
committees established by the respective organization to deal with particular fields of technical activity.
ISO and IEC technical committees collaborate in fields of mutual interest. Other international organizations,
governmental and non-governmental, in liaison with ISO and IEC, also take part in the work.
The procedures used to develop this document and those intended for its further maintenance are described
in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the different types
of document should be noted. This document was drafted in accordance with the editorial rules of the ISO/
IEC Directives, Part 2 (see www.iso.org/directives or www.iec.ch/members_experts/refdocs).
ISO and IEC draw attention to the possibility that the implementation of this document may involve the
use of (a) patent(s). ISO and IEC take no position concerning the evidence, validity or applicability of any
claimed patent rights in respect thereof. As of the date of publication of this document, ISO and IEC had not
received notice of (a) patent(s) which may be required to implement this document. However, implementers
are cautioned that this may not represent the latest information, which may be obtained from the patent
database available at www.iso.org/patents and https://patents.iec.ch. ISO and IEC shall not be held
responsible for identifying any or all such patent rights.
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and expressions
related to conformity assessment, as well as information about ISO's adherence to the World Trade
Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www.iso.org/iso/foreword.html.
In the IEC, see www.iec.ch/understanding-standards.
This document was prepared by the ISO Committee on Conformity Assessment (CASCO).
Any feedback or questions on this document should be directed to the user’s national standards
body. A complete listing of these bodies can be found at www.iso.org/members.html and
www.iec.ch/national-committees.
© ISO/IEC 2024 – All rights reserved
iv
ISO/IEC DTS 17012:2024(en)
Introduction
This document was developed in response to developing technology and changes in working practices
based upon a variety of experiences, including those from the coronavirus pandemic. Implementing remote
auditing methods can bring a variety of benefits for both the auditor and the auditee. This document
provides guidance to ensure
...
ISO/IEC TS DTS 17012:2024(en)
ISO/CASCO
Secretariat: ISO
Date: 2024-02-0903-04
Guidelines for the use of remote auditing methods in auditing management systems
DTS stage
Warning for WDs and CDs
This document is not an ISO International Standard. It is distributed for review and comment. It is subject to
change without notice and may not be referred to as an International Standard.
Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of
which they are aware and to provide supporting documentation.
© ISO #### – All rights reserved
ISO/IEC DTS 17012
© ISO/IEC 2024
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no
part of this publication may be reproduced or utilized otherwise in any form or by any means,
electronic or mechanical, including photocopying, or posting on the internet or an intranet, without
prior written permission. Permission can be requested from either ISO at the address below or
ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.orgwww.iso.org
Published in Switzerland
ii © ISO #### – All rights reserved
Contents
Foreword . vii
Introduction . viii
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Principles of auditing . 2
5 Managing an audit programme . 2
5.1 General . 2
5.2 Establishing audit programme objectives . 2
5.3 Determining and evaluating audit programme risks and opportunities . 3
5.4 Establishing the audit programme . 6
5.5 Implementation of audit programme . 6
5.6 Monitoring the audit programme . 7
5.7 Reviewing and improving audit programme . 7
6 Conducting an audit using remote auditing methods . 8
6.1 General . 8
6.2 Initiating audit . 8
6.3 Preparing audit activities . 9
6.3.1 Performing review of documented information . 9
6.3.2 Audit planning . 9
6.4 Conducting audit activities . 10
6.4.1 General . 10
6.4.2 Assigning roles and responsibilities of support personnel and observers . 10
6.4.3 Conducting opening meeting . 11
6.4.4 Communicating during the audit . 11
6.4.5 Audit information availability and access . 12
6.4.6 Reviewing documented information while conducting the audit . 12
6.4.7 Collecting and verifying information . 12
6.4.8 Generating audit findings . 13
6.4.9 Determining audit conclusions. 13
6.4.10 Conducting the closing meeting . 13
6.5 Preparing and distributing audit report . 13
6.6 Completing audit . 13
6.7 Conducting audit follow-up . 13
7 Competence and evaluation of auditors . 14
7.1 General . 14
7.2 Determining auditor competence . 14
7.2.1 General . 14
7.2.2 Personal behaviour . 14
7.2.3 Knowledge and skills. 15
7.2.4 Achieving auditor competence . 16
7.2.5 Achieving audit team leader competence . 16
7.3 Establishing auditor evaluation criteria . 16
7.4 Selecting appropriate auditor evaluation method . 16
7.5 Conducting auditor evaluation . 16
7.6 Maintaining and improving auditor competence . 17
Annex A Remote auditing methods (informative) . 18
© ISO/IEC 2024 – All rights reserved
iii
ISO/IEC DTS 17012
A.1 Types of audits using remote Methods.18
A.1.1 Fully Remote .18
A.1.2 Using a Combination of Methods .18
A.2 Technological considerations .18
A.3 Examples of methods’ implementation .19
A.3.1 Auditing documented information: .19
A.3.2 Auditing the organization’s Digital Twin: .20
A.3.3 Use of Surrogate Auditors .20
A.3.4 Document Reviews .20
A.3.5 Personnel Interviews .20
A.3.6 Witnessing of activities .21
Annex B Useful practices (informative) .22
B.1 Generic best practice .22
B.2 Managing the audit programme .22
B.2.1 Process for investigation .22
B.2.2 Selecting the audit team and ICT methods .23
B.2.3 Examples of methods .23
B.3 Conducting the audit .24
B.3.1 Reviewing information .24
B.3.2 Collecting and verifying information .25
B.3.3 Opening meeting .25
Bibliography .26
Foreword . iv
Introduction . v
1 Scope . 6
2 Normative references . 6
3 Terms and definitions . 6
4 Principles of auditing . 6
5 Managing an audit programme . 7
5.1 General . 7
5.2 Establishing audit programme objectives . 7
5.3 Determining and evaluating audit programme risks and opportunities . 8
5.4 Establishing the audit programme .10
5.5 Implementation of audit programme .10
5.6 Monitoring the audit programme .11
5.7 Reviewing and improving audit programme .11
6 Conducting an audit using remote auditing methods .11
6.1 General .11
6.2 Initiating audit .12
6.3 Preparing audit activities .12
6.3.1 Performing review of documented information .12
iv © ISO #### – All rights reserved
6.3.2 Audit planning . 12
6.4 Conducting audit activities . 13
6.4.1 General . 13
6.4.2 Assigning roles and responsibilities of support personnel and observers . 13
6.4.3 Conduc
...
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