Section 9 ISO 19011 - Quality Training

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Section 9 - ISO 19011

Audit Activities Stage 5 - Section 9 ISO 19011

Preparing, approving and distributing the audit report:

The audit report is generally the final stage in the audit activities. It is prepared after the closing meeting where the audit conclusions were presented and agreed to. All items from the closing meeting should be in the audit report. This reinforces the need to keep minutes of the opening and closing meetings.

Technically, if an audit conclusion is not shown in the audit report, it didn't happen. If your company's procedures call for the auditor or audit team to oversee any corrective actions required due to audit nonconformances, the audit report should include a statement to that effect.

Preparing the audit report:

The audit team leader should be responsible for the preparation and contents of the audit report. The audit report should provide a complete, accurate, concise and clear record of the audit, and should include or refer to the following:

a) The audit objectives,

b) The audit scope, particularly identification of the organizational and functional units or processes audited and the time period covered,

c) Identification of the audit client,

d) Identification of the audit team leader and members,

e) The dates and places the on-site audit activities were conducted,

f) The audit criteria,

g) The audit findings,

h) The audit conclusions.

The audit report may also include or refer to the following, as appropriate:

a) The audit plan,

b) A list of the auditee representatives,

c) A summary of the audit process, including the uncertainty and/or obstacles encountered that could decrease the reliability of the audit conclusions,

d) Confirmation that the audit objectives have been accomplished within the audit scope in accordance with the audit plan,

e) Any areas not covered, although they are within the audit scope,

f) Any unresolved diverging audit opinions between the audit team and the auditee,

g) Recommendations for improvement, if specified in the audit objectives,

h) Agreed follow-up action plans, if any,

i) A statement of the confidential nature of the audit contents, and

j) The audit report distribution list.

Approving and distributing the audit report:

The audit report should be issued within the agreed time period. If this not possible, the reasons for the delay should be communicated to the audit client and the new issue date should be agreed.

The audit report should be dated, reviewed and approved in accordance with the audit program procedures.

The approved audit report should then be distributed to recipients designated by the audit client, and maintain the confidentiality of the report.

Section 1. ISO 19011 Scope reference and definitions

Section 2. ISO 19011 Principles of auditing

Section 3. ISO 19011 Managing an audit program

Section 4. ISO 19011 Audit program implementation

Section 5. ISO 19011 Audit activities

Section 6. ISO 19011 Preparing for onsite activities

Section 7. ISO 19011 Conducting onsite activities

Section 8. ISO 19011 What the auditor is looking for

Section 9 ISO 19011 Audit reporting

Section 10. ISO 19011 Audit techniques