ANSI ASQ 19011-2011 Guidelines for auditing management systems (T883E).pdf
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1、AMERICAN NATIONAL STANDARDGuidelines for auditing managementsystemsAMERICAN SOCIETY FOR QUALITY600 N. PLANKINTON AVENUEMILWAUKEE, WI 53203-2914ASQ/ANSI/ISO 19011:2011(This page intentionally left blank) AMERICAN NATIONAL STANDARD Guidelines for auditing management systems Approved as an American Nat
2、ional Standard by: American Society for Quality November 11, 2011 American National Standards: An American National Standard implies a consensus of those substantially concerned with is scope and provisions. An American National Standard is intended as a guide to aid the manufacturer, the consumer,
3、and the general public. The existence of an American National Standard does not in any respect preclude anyone, whether he or she has approved the standard or not, from manufacturing, purchasing, or using products, processes, or procedures not conforming to the standard. American National Standards
4、are subject to periodic review and users are cautioned to obtain the latest edition. Caution Notice: This American National Standard may be revised or withdrawn at any time. The procedures of the American National Standards Institute require that action be taken to reaffirm, revise, or withdraw this
5、 standard no later than five years from the date of publication. Purchasers of American National Standards may receive current information on all standards by calling of writing the American National Standards Institute. ASQ/ANSI/ISO 19011:2011iii 2012 by ASQCopyright Protection Notice for the ASQ/A
6、NSI/ISO 19011:2011 Standard. This standard is subject to copyright claims of ISO, ANSI, and ASQ. Not for resale. No part of this publication may be reproduced in any form, including an electronic retrieval system, without the prior written permission of ASQ. All requests pertaining to the ASQ/ANSI/I
7、SO 19011:2011 Standard should be submitted to ASQ.Note: As used in this document, the term “International Standard” refers to the American National Standard adoption of this and other International Standards.ASQ will consider requests for change and information on the submittal of such requests rega
8、rding this Standard. All requests should be in writing to the attention of the Standards administrator at the address below.ASQ Mission: The American Society for Quality advances individual and organizational performance excellence worldwide by providing opportunities for learning, quality improveme
9、nt, and knowledge exchange.Published by:COPYRIGHT PROTECTED DOCUMENTPDF disclaimerThis PDF file may contain embedded typefaces. In accordance with Adobes licensing policy, this file may be viewed but shall not be edited or printed. In downloading this file, parties therein accept the responsibility
10、of not infringing on Adobes licensing policy. ASQ accepts no liability in this area.Adobe is a trademark of Adobe Systems Incorporated.Details of the software products used to create this PDF file can be found in the General Info relative to the file; the PDF-creating parameters were optimized for p
11、rinting. Every care has been taken to ensure that the file is suitable for use by our customers. In the unlikely event that a problem relating to it is found, please inform ASQ at the address below.ASQ/ANSI/ISO 19011:2011ivAlso available from ASQ Quality Press: The ASQ Auditing Handbook, Third Editi
12、on J.P. Russell, editing director The Internal Auditing Pocket Guide: Preparing, Performing, Reporting and Follow-up, Second Edition J.P. Russell The Management System Auditors Handbook Joe Kausek The Process Auditing Techniques Guide, Second Edition J.P Russell Quality Audits for Improved Performan
13、ce, Third Edition Dennis R. Arter ANSI/ISO/ASQ Q9001-2008: Quality management systemsRequirements ASQ ANSI/ISO/ASQ E14004-2004: Environmental management systemsGeneral guidelines on principles, systems and support techniques ASQ ISO 9001:2008 Internal Audits Made Easy: Tools, Techniques, and Step-By
14、-Step Guidelines for Successful Internal Audits, Third Edition (e-Book) Ann W. Phillips ISO Lesson Guide 2008: Pocket Guide to ISO 9001-2008, Third Edition Dennis R. Arter and J.P. Russell The Quality Toolbox, Second Edition Nancy R. Tague Root Cause Analysis: Simplified Tools and Techniques, Second
15、 Edition Bjrn Andersen and Tom Fagerhaug The Certified Manager of Quality/Organizational Excellence Handbook, Third Edition Russell T. Westcott, editor To request a complimentary catalog of ASQ Quality Press publications, call 800-248-1946, or visit our Web site at www.asq.org/quality-press. ASQ/ANS
16、I/ISO 19011:2011v(This page intentionally left blank) Contents Page Foreword .viii Introduction x 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 . 8 5.3 Es
17、tablishing the audit programme 8 5.4 Implementing the audit programme 11 5.5 Monitoring the audit programme . 15 5.6 Reviewing and improving the audit programme 15 6 Performing an audit 16 6.1 General . 16 6.2 Initiating the audit . 17 6.3 Preparing audit activities . 18 6.4 Conducting the audit act
18、ivities 21 6.5 Preparing and distributing the audit report 26 6.6 Completing the audit 27 6.7 Conducting audit follow-up . 27 7 Competence and evaluation of auditors . 28 7.1 General . 28 7.2 Determining auditor competence to fulfil the needs of the audit programme 28 7.3 Establishing the auditor ev
19、aluation criteria . 33 7.4 Selecting the appropriate auditor evaluation method . 33 7.5 Conducting auditor evaluation 33 7.6 Maintaining and improving auditor competence . 33 Annex A (informative) Guidance and illustrative examples of discipline-specific knowledge and skills of auditors . 35 Annex B
20、 (informative) Additional guidance for auditors for planning and conducting audits . 42 Bibliography . 49 ASQ/ANSI/ISO 19011:2011vii)oreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing Inte
21、rnational 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 wi
22、th 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 technic
23、al 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 t
24、o 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, Su
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