Section 5 - ISO 19011

Audit Activities Stages 1 and 2: Section 5 - ISO 19011

Stages one and two of seven:

This is step 5 of 11 in the requirements set out in ISO 19011. If you've been working your way through each step/page of the guideline, congratulations, you're almost half-way done.

Step 5 covers the methods needed to conduct the physical audit from start to finish. If you haven't reviewed the previous four steps, I recommend you do that now before proceeding through this step. Click on the links at the bottom of the page for sections 1 - 4.

It's important to understand the proper sequence of events for developing and implementing an internal audit process. It's also important to have a clear understanding of the definitions of the terms used. One of the most common problems found by certification auditors is an incomplete or inadequately designed and implemented internal audit program.

When the internal audit program is lacking proper structure and implementation, the audits usually lack any meaningful results. When a company has a good internal audit program and competent auditors there should not be any unknown outcomes from the certification or surveillance audits.

I'm not saying that you and the certification auditors will always agree as to whether an issue or condition is okay or not. However, the issue or condition itself must never be a surprise. If the certification auditors find something that takes you by complete surprise, the internal audit program needs to be improved.

Okay, here is the breakdown of step 5:

The audit activities usually consist of seven stages:

1) Initiating the audit

2) Conducting the document review

3) Preparing for the on-site audit

4) Conducting the on-site audit

5) Preparing, approving and distributing the audit report

6) Completing the audit

7) Conducting audit follow-up

Stages 1 and 2 are discussed here. Stages 3 through 7 are discussed in the "ISO 19011 Explanations and Defintions" ebook.

Stage 1 - Initiating the audit consists of the following activities:

a) Appointing the audit leader
b) Defining audit scope, objectives and criteria
c) Determining the feasibility of the audit
d) Selecting the audit team members
e) Contacting the auditee

Stage 2 - Conducting the document review:

The majority of an auditor's time is used to review the documentation that applies to the process or processes to be audit. The auditor must have a thorough understanding of what are the process' inputs, actions, outputs and measurements.

An effective and competent auditor will not start the audit until the process documentation and records have been reviewed and any discrepancies explained or corrected. The document review should provide evidence that the process(es) have been effectively planned and methods of controlling and maintaining them are place.

The process documents/records should also show what monitoring and measuring methods are used to determine if the process(es) are effective at reaching their objectives/goals. 

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

Section 11. ISO 19011 Audit path

Section 12. ISO 19011 Effective communications

Section 13. ISO 19011 Sampling

Section 14. ISO 19011 Audit completion and follow-up

Section 15. ISO 19011 Competence and evaluation of auditors

This represents a summary of the section in ISO 19011:2002. It's suggested that you obtain an copy of "ISO 19011 Explanations and Definitions".