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1、ISO19011DiscussionGroupsSummaryofarticlescoveringthedevelopingstandard.Thesourceofthisinformationis,theweb,andthesourcesandcopyrightsareacknowledged.TO:USTAGstoTC176&TC207,USNationalStandardsPublicCommentors,OtherInterestedPartiesFROM:USDelegatestoISOJointWorkingGroupDevelopingISO19011andChairs,USTA
2、GWorkGroupsJohnStrattonandBartSolomon;TC176BudSmith,GaryJohnson,andTomOtt;TC207SUBJECT:RequestforBallotonISO/DIS19011ISO19011CD3wasrevisedearlierthisyearandpublishedasaDraftInternationalStandard(DIS)inlateMay.Severalimprovementsweremade,butonesignificantissueremains,whichwestronglybelievewillcauseco
3、nfusionwithauditorqualificationandcompetenceandcontributetocontinuedlackofuseforthisstandardinthemarketplace.TheUSLiaisonGroupbetweenourTAGstoTC176andTC207hasdevelopedadetailedwpositionpaperdescribingthebackgroundandrationaleforaproposedUSballot.ISO19011CD3今年早些时候已经修订完成，并在五月后作为DlS发布。作了一系列的改进，但在一个意义重大
4、的发布中仍留有，我们强烈的相信，对于审核员的资格和能力会引起混淆和对这个标准的应用的持续的缺乏。在TAG和TC176之间的美国联系组已经发布了一个详细的定位论文，描述美国人投票的背景和原理。Pleasereviewtheattachedpositionpaper*alongwiththeDIStextpublishedontheUSStandardsGroupwebsite,oraccompanyingthisrequest,and,ifyouagreewiththeposition,voteto“disapprovewithcommentontheballot.Thewordingofage
5、neralcommentwillbepreparedbythedelegationandsubmittedwithourofficialUSresponse.Anysuggestedwordingandadditionalcommentsshouldbepreparedusingthetemplateprovided.Itisagainimportanttostrictlyadheretothetemplateconventionstoallowcompilationofthecommentsbyelectronicmeans.Pleasesubmityourcompletedtemplate
6、toErinHogg,ASQStandardsCoordinator,atnolaterthanAugust31,2001.评价附加的定位论文可以访问下列网站。或如果你同意该定位，WeexpectanothermeetingoftheJWGonAuditingtobeheldlatethisyearduringwhichwehopetorectifythisimportantissuewiththeDIS,andpossibly,publishasecondDIS.Thankyou,inadvance,foryourcommentsandballot,andthankyouforyourcon
7、tinuinginterestinthisimportantstandardforauditingqualityandenvironmentalmanagementsystems.TheUSDelegatestoJWGonAuditingandUSTAGWorkGroupChairsU.S.PositionPaper(15June2001)-U.S.RecommendedActionAuditorCompetenceIssuesinISO/DIS19011ItisrecommendedthattheU.S.TechnicalAdvisoryGroups(TAGs)toISOTechnicalC
8、ommittees176and207submitavotetodisapprovewithcommentsforISO/DIS19011.Theprincipalreasonforthisvoteistosupporttheremovalofreferencestorecommendedorsuggestedlevelsofauditorexperienceforanyspecificauditingsituation.Inclusionofsuchrecommendedlevelsofexperienceisinconsistentwiththestatedgoalsofthestandar
9、dandmaycreateconsiderableconfusionamongusers.Examplesmaybepermitted,butshouldincludeinternalandsupplierauditexamplesinadditiontothird-partycertificationauditsinordertocoverthefullrangeofauditactivities.BackgroundISOisinthelatterstagesofdevelopinganewstandardprovidingguidelinesforauditingbothqualitya
10、ndenvironmentalmanagementsystems.Thisauditingstandard,ISO19011,isintendedtofulfilltheneedsidentifiedforauditsundertheISO9000andISO14000seriesofinternationalmanagementsystemsstandards.ISO19011isbeingdraftedbyaJointWorkGroup(JWG)formedfrommembersofISOTechnicalCommittee176onQualityManagementandISOTechn
11、icalCommittee207onEnvironmentalManagement.AlthoughthestandardhasreachedtheDraftInternationalStandard(DIS)stage,severalimportantissuesremaintoberesolvedintheareaofauditorcompetence.ThegoalofISO19011istoprovideclear,generalguidanceforprinciplesofauditing,managinganauditprogram,conductingauditactivitie
12、s,anddeterminingthecompetenceofauditorsforthefullrangeofauditingactivitiesencompassingfirst,second,andthirdpartyaudits.Whilemostofthedraftstandardappearstohavefulfilledthatgoal,Clause7,CompetenceofAuditors,remainsanawkwardmixofgeneralguidanceandspecificcriteriaforauditorscarryingoutparticularauditas
13、signments.ThatsectionoftheISO/DIS19011includesspecificrecommendedexpectationsforauditorexperienceforthirdpartyauditors.Similar“recommendations“arenotprovidedforinternalandsecondpartyauditors.Suchsuggestionsmaybeconfusingtomanypotentialusersofthestandardandmaybebetteraddressedbyothergroupshavingdirec
14、tresponsibilitiesforauditcertification.TheIssue:ProcessversusRecommendedValues-PossibleOptionsISOistheinternationallyaccepteddeveloperofthestandardsforqualityandenvironmentalmanagementsystemsandfortheprocessesinvolvedinauditingthem,butISOitselfdoesnotaccreditoroperateauditprograms.Intheearlyplanning
15、stagesoftheISO19011standard,theJWGidentifiedseveralgroupsashavingnaturalrolesandinterestsinauditorcompetence.TheInternationalAccreditationForum(IAF)isagroupofaccreditationbodies,representingdifferentcountries,withinterestinthel,third-partycertificationprocessforqualityandenvironmentalmanagementsyste
16、msbasedontheISO9001and14001standards.ThesecertificationsdependlargelyonauditorswhoconformtoISOauditingstandards.Inaddition,theInternationalAuditorandTrainingCertificationAssociation(IATCA)isagroupofauditortrainingandcertificationbodieswithinterestsinassuringauditorcompetence.BoththeIAFandIATCAcanbri
17、ngparticularstrengthsandemphasistotheauditorcompetenceissue.ThecurrentISOauditingstandardsforqualitymanagement(i.e.,ISO10011Parts1,2,and3)andforenvironmentalmanagement(i.e.,ISO14010,14011,and14012),provideguidancefortheauditprocessandforspecificauditorcompetencecriteriarecognizedasappropriatefor“thi
18、rd-partyapplications.Astheimplementationofqualityandenvironmentalmanagementsystemsincreased,otherapplicationsofauditprocessesincreasedaswelltoincludefirstpartyorinternalauditsandsecondpartyorsupplieraudits.Itbecameclearthatanynewauditingguidanceneededtoaddressthefullrangeofauditingactivitiesthatuser
19、swouldencounter.ThisrecognitionwasincludedinthescopeofISO19011fromitsinception.Inthecurrentauditingstandards,thecompetencecriterialistedwerenotappropriateforallauditors,especiallytheinternalauditors*whomayauditlessfrequentlyand/ormayauditonlyaportionofasystem.Thecurrentstandardswouldappeartorequires
20、uchinternalauditorstohaveameasureofucompetenceequivalenttothatforthirdpartycertificationauditors.ThisconcepthasbeencarriedovertoISO19011andcreatesasignificantissuethatneedsresolution.WhiletheDISliststheauditorcompetencecriteriaas“illustrations“ofworkexperiencethatarerecommended“forcertificationaudit
21、s,validquestionshavebeenraisedastowhetherISOshouldrecommendsuchcriteriaorwhetheritshouldremainfocusedonauditingprocesses.MuchofClause7dealswithgeneralprocessesforinitiallyevaluatingauditorsandforassuringtheirongoingcompetence.ItisquestionablewhetherISOshould,in19011,gofurthertoassumetheroleoforganiz
22、ationsandinternationalandnationalaccreditingbodiesbysettingrecommendedworkexperiencenumericguidelines.Auditprograms,evenforthird-partycertification,mayvaryamongusercountriesandtheirneeds.Certainly,auditorcompetencecriteriaforinternalandsupplierauditswillbesetultimatelybyindividualorganizationstomeet
23、theparticularneedsoftheirmanagementsystems.Similarly,thespecificcriterialevelsproposedinISO/DIS19011mightnotbeapplicableinallcountrieswithsomeoptingforhigherorlowerlevels.ThesespecificdecisionsshouldbelefttotheorganizationinthecaseofinternalauditprogramsortheConformityAssessmentProcessandauditorcert
24、ificationbodiesinthecaseofexternal,third-partycertification/registrationauditprograms.Severaloptionsareavailable: ISOcancontinuetoprovidetheguidanceforauditingmanagementsystemsandprovideastandardforspecificauditorcompetencecriteria, ISOcancontinuetoprovidetheguidanceforauditingmanagementsystemsandle
25、avespecificauditorcompetencecriteriatoothers,or ISOcanpartnerwithIAF,IATCA,andanyotherinterestedparties,toestablishtheacceptablecriteriaforcertificationofauditorcompetence.TheU.S.believesthat,asaminimum,thestandardshouldcontainguidanceforauditingmanagementsystemsandleavethesettingofspecificauditorco
26、mpetencecriteriatoappropriateusersofthestandard.Thoseusersmaybeindividualcompaniesororganizations,nationalcertificationoraccreditationbodies,ororganizationslikeIAFandIATCA.TheISOprocessforthereviewandrevisionofastandardrequiresseveralyearsandnormallyoccursonlyonafive-yearcycle.Itisreasonabletoquesti
27、onwhetherornotISOcanrespondtochangingneedsintheauditingcommunityquicklyenoughtobeeffective.Ontheotherhand,theIAF,IATCA5andnationalcertificationoraccreditationprocessesarecapableofmuchquickerresponsetotheneedsoftheauditorcommunityfortrainingandcertification.TheJWGinitiallyplannedtoprovideonlygeneralg
28、uidanceinthenewISO19011auditingstandardandtolettheIAFsetauditorcompetencecriteriaforCertificationZregistrationauditorsincooperationwithIATCAwhichplaysakeyroleinhelpingtoassureauditorcompetence.RationaleforRecommendedActionsTheU.S.believesthatISO19011shouldprovidethegeneralguidanceforestablishingandi
29、mplementingauditprogramsandauditactivitiesforallmanagementsystemauditsandprovidetheguidanceforestablishingandevaluatingauditorcompetence.Inthisway,theoverallgoalofISO19011toprovideguidanceonthefullrangeofauditactivitiescanbestbeachieved.Thespecificlevelsorworkandauditexperiencearebestlefttobedefined
30、bytheindividualcompaniesororganizations,nationalcertificationoraccreditationorganizations,IAF,andIATCA.ThetextinClause7shouldberevisedtoremovereferencestorecommendedorsuggestedlevelsofauditorexperienceforanyspecificauditingsituation.Ifexamplesareincluded,theyshouldaddressinternalandsupplierauditexam
31、plesinadditiontothird-partycertificationauditsandbeincorporatedinoneormoreannexestotheStandard.Unfortunately,ISOrulesrequireanegativevoteduringballotingonaDISinorderforasubstantiverevisiontobemade.TheJWGleadershipacknowledgedintheclosingplenarysessioninSydneythatsubstantivecommentswouldbeaccepted,bu
32、ttherequirementforanegativevotewasnotmentioned.ISODIS19011hasgenerallyappropriateguidanceinallareasexcepttheauditorevaluationsectionofClause7oncompetenceofauditors.WhiletheU.S.recognizestheadequacyofmostofthetextinISODIS19011,theU.S.ispreparedtovote“no”OntheDISballotinordertoassurethatoriginalstated
33、purposeofthestandardissatisfiedbyanappropriaterevisiontoClause7.WeurgetheU.S.stakeholdersreviewingthisDraftInternationalStandardtocasttheirvoteas“disapprovewithcommentsnontheDISballotontheStandardinordertosupportthisclearlynecessaryimprovement.TheNewISO19011-AuditingGuidelinesforISO9001:2000ByJimRob
34、ison,3rdPartyRegistrarLeadAuditorISO19011.Haveyouheardaboutityet?Ifnot,youwillsoon.ThisislatestISOauditingguidelinethatwillbereleasedinmid2001.ItisnowinaCommitteeDraft(CD)stageandworkcontinuestomakethisthecoreAuditorguidelineforISO9001:2000QualityManagementSystems(QMS)andISO14001EnvironmentalManagem
35、entSystem(EMS)auditing.ISO19011willreplacethecurrentauditingguidelinecalledISO10011.NeWTermsISO19011hasseveralnewtermsthatbothInternalandLeadAuditorsneedtolearn.Forexample,thetermAuditCriteriahasbeenintroduced.AuditcriteriaarenowdefinedasThesetofpolicies,proceduresorotherrequirementsagainstwhichcoll
36、ectedevidenceiscompared.Also,thetermAuditFindingsisredefinedunderISO19011asTheresultsoftheevaluationofthecollectedauditevidenceagainstauditcriteria.ManyofususedtocallaFindingatypeofNoncompliance,butnotanymoreunder19011.TermssuchasConcerns,Observations,andOpportunitiesforImprovements,aswellasPositive
37、ObservationsandNoncompliancesmaynowbedefinedasAuditFindings.ISO19011definesAuditConclusionsasTheoutcomeofanauditreachedbytheauditteamafterconsiderationofalltheauditfindings.Confusing?Notreally,youwilljusthavetolearnthenewterms.Termsanddefinitionsneedtobeunderstoodandusedconsistentlybyauditorsunderth
38、enewISO9001:2000andISO140001standards.PrinciplesofISO19011ISO19011isfocusedonreemphasizingsolidauditingprinciples.Thesearethemostprominent:1. Independence:Auditorscannotauditworkwhereaconflictofinterestwouldarise.2. EthicalConduct:Actionsthatmayinfluencetheresultsofanauditshouldbeavoided.3. FairPres
39、entation:Obligationtotruthfully&accuratelyreportQMSinadequacies.4. Evidence:Therationalbasisforreachingauditconclusionsbasedonauditcriteria.5. DueAuditCare:Thereasonablecareinallmattersandthecompletenessoftheauditreport.Auditorsshouldavoiderrorsthatmaycompriseanyoftheabove-mentionedprinciples.Auditi
40、ngunderISO19011UndertheseISO19011principles,theauditoutputshouldresultinanauditcontainingthesedistinctivecharacteristics:* Objective,systematicandindependentauditswhichproduceinformationfrommanagementtoimproveoperations.* Authorized,plannedandproperlymanagedauditsthathaveaclearpurposeanduseddefinedt
41、echniques.* Relevant,reliable,sufficientandconsistenceauditevidenceandauditconclusionsthatarereproducible.* Competentauditorsfreefrombiasesandanyconflictofinterest.* Arelationshipbetweenallpartiesinvolvedintheauditthatensuresconfidentialityoftheresults.Appropriateauditsamplingtoobtaintherequiredevid
42、enceofconformance.Itistheresponsibilityoftheauditor,clientandauditeetocontrolthesestatedfeaturesofanauditactivity,whicharetheirresponsibilitiestoensurethehighestvaluepossible.ConclusionsISO19011offersanewandrefreshingapproachtothespellthemyththatAuditorsmustfindfaultwithonesQMS,ortheyarenotdoingthei
43、rjob.ItsfocusoncontinuousimprovementandvalueaddedauditingmakesthisamustreadforanyonethatwillbeperformingISO9001:2000andISO14001audits.BesuretoincludeISO19011inyoursearchforaLeadAuditorTransitioncourseorthe5-dayLeadAuditorcoursetraining.NewarticleThefollowingtexthasbeenliftedfromthegooglediscussiongr
44、oupsgoogle.quality(datedendFeb2002)Iwasinterestedintheissueofauditorcompetencewithregardtothedifferenttypesofaudit.Ihaveanissuewithhowwelltrainedshouldaninternalemsauditorbetoactuallycarryoutthatfunctioneffectively.veseensomedreadfulattemptsatauditingbypersonswhodontreallyunderstandwhattheyredoing.T
45、hesameexists,ofcourse,forQMSauditors. IunderstandfromreadingaroundthewebthatUSisconcernedthatISO 19011isspecifyingminimumrequirementsforauditorqualifications andexperience.TheargumentisthatISOisnotexpertinthisareaas itdoesntdoauditsandthatthisareashouldbedealtwithbyIAFandIATCA.Ihaveabitofinsidetrack
46、onISO19011butIhadntheardthiscommentasenvironmentalmanagement,orphotographicfilmspeeds.TheISOstandardsdevelopmentprocessinvolvestechnicalcommitteescomprisedofexpertsfromthemembercountrieswhodothedevelopmentoftheparticularstandard;ISOis,ineffect,justaclearinghousepublisherforthosecommitteesfinalIsuspe
47、ctthatIAFjIATCAmaybegriping.Iam*SURE*thatRABisgriping,andthatmaybeoneofbiggestreasonsforthedelayinreleaseof19011.Thequasi-for-profitstructures,andsomewhateincestuousoriginofASQ/RABassisterwingsofthegovernmentofficeANSIhascreatedsomehardwired,permanentdysfunctionswithinthoseorganizationsthatarecounte
48、rtotheirSurelyISO19011shouldprovidesomespecificguidanceonwhatcouldberecognisedasexpectedcompetenciesfor3rd,2ndand1stpartyauditors?Amen.ISO10011providedsomeadministrativebackground,withatouchofASQ-Iikeethics(which,ironically,ASQitselfusuallyturnsablindeyeto.)Itwasweak,butitprovidedsomeinterpretivegui
49、delinesduringTofurtherpollutethings,thetimelineforISO9001:2000wasthis:ISOReleasesthestandard,whichincludesreference(inISO9000:2000)toISO19011-RAB/IATCAreleasesguidelinesforISO9K2KTransitionCoursesforauditors-Providersreleasetheirtransitioncourses-trainingisconducted-ISOreleases19011.Theproblem,ofcourse,isthatthetimelineisbackwards.Oratleastsideways.RAB/IATCAshouldhavewaitedfor19011beforereleasin
