TPL INTERNAL AUDITOR

TRAINING PROGRAMME
ISO 19011 2002
Guidelines for quality and /or
environmental management systems
auditing

 ISO 19011: 2002 provides guidance on the principles of auditing,

managing audit Programmes, conducting quality management system
audits and environmental management system audits, as well as
guidance on the competence of quality and environmental
management system auditors.
It is applicable for internal & external audits
Normative Reference :
ISO 9000:2000. Quality management systems- Fundamentals and
vocabulary.
ISO 14050 :2002. Environmental management - Vocabulary

Terms and definitions

Audit :

Systematic, independent and documented process for

obtaining audit evidence and evaluating it objectively to
determine the extent to which the audit criteria are fulfilled.

Audit Criteria:
Audit evidence:

set of polices, procedures or requirements

Records, statement of fact or other information which are
relevant to audit criteria and verifiable.

Audit conclusion:

out come of an audit provided by the audit team after

consideration of the audit objectives and all audit findings

Audit plan:

description of the activities and arrangements for an audit

Audit scope:

extent and boundaries of an audit

Types of Audits
First Party :
Audits

Internal Audits, some times called first party audits, are

conducted by or on behalf of the organization itself for
management review and other internal purposes

Second party :
Audits

Third Party :
Audits

External audits conducted by parties having an interest in

the organization , such as customers, or by other persons
on their behalf
Conducted by external, independent organizations, such as
those providing registration or certification of conformity to
the requirements

Principles of Auditing
The following 5 principles relate to auditors;
Ethical Conduct - Trust, integrity, confidentially and
discretion are essential to auditing
Fair presentation - Audit findings
Due professional care
Independence
Evidence based approach

Managing Audit Programme

An audit programme may include one or more audits, depending
upon the size, nature and complex of the organization to be
audited

Objectives to be established for an audit program to direct the

planning & conduct of audits which can be based on
consideration of
Management priorities
Management system requirements & other requirements
Statutory and regulatory requirements
Customer requirements
Needs of other interested parties
Risks to the organization

Extent of an audit programme

The extent of an audit programme may vary and influenced by the

size, nature and complex of the organization to be audited.
Scope, objective and duration of each audit
Ensure that significant environmental aspects are taken into
account in the EMS
Frequency of audits
Standards, statutory and regulatory requirements
Concern of interested parties
Significant changes to an organisation or its operations

Audit programme responsibilities and resources

Audit programme responsibilities:
The responsibility for managing an audit programme is
assigned normally to Mgt Rep & responsible to
Establish the objectives and extent of the audit programme
Establish the responsibilities and procedures and ensure
resources are provided
Ensure the implementation of the audit programme & Organize
audits with one or more competent auditors
Ensure the appropriate audit programme records are maintained
Monitor and improve the audit programme

Audit Programme procedure

Planning and scheduling audits
Assuring the competence of auditors and audit teams
Selecting appropriate audit teams and assigning their roles
and responsibilities
Conducting audits to ensure conformity with the reqts. Ex
use of reporting forms & checklists
Conducting audit follow up , if applicable
Maintaining audit programme records
Monitoring the performance and effectiveness of the audit
programme
Reporting to top management on the overall performance of
the audit

Audit programme implementation

Communicating the audit programme to relevant

parties
Coordinating and scheduling audits
and other
au
activities relevant to the audit programme
Ensuring control of records of the audit activities

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Audit programme monitoring and review

The ability of the audit to implement the audit plan
Conformity with audit Programmes and schedules
Feed back from auditee clients, auditees and auditors
Results and trends from monitoring
conformity with procedures
Alternative or new auditing practices
Consistency in performance between audit teams in
similar situations

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Audit objectives, scope and criteria

To determine the extent of conformity with Std reqts.
and other criteria
Compliance with statutory, regulatory and contractual
requirements
Evaluation of the effectiveness of the management
system in meeting its specified objectives
Identification of the areas for potential improvement of
the management system.
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Document review
Prior to the audit document review to be carried
Records
Audit reports
External communication

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Preparing for the onsite audits

Audit Plan
Audit objectives
Reference documents
Units to be audited
Dates and places
Time
Meetings with the departments
Audit report
Logistic arrangements
Confidentially
Audit follow up actions

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Preparing work documents

Checklists
Forms for recording information
Audit findings
Meetings

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Communication

During the audit the auditor periodically communicate

the progress of the audit
Significant risk should related to safety and
environment to be reported without any delay to the
concerned client

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Collecting and verifying information

Information
Audit evidence
Audit findings
Audit reports
Methods to collect to the information
- interviews
- observations of the activities
- review of documents
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QMS Audit to use process approach methodology involving activities

- To verify interaction between processes i.e Business Development ( Mktg )
design service provision delivery to customer .
i.e samples are to be collected and traced forward
- Processes are defined & controlled. Emphasis is on achievement of results
i.e Meeting of customer requirements , Objectives achievement , &
continual improvements. Provision of requisite resources
- Processes are measured & monitored for improvements or any actions
- Prioritization clauses of importance to be prioritized
Ex Design 5.4.1, 8.2.3, 8.5.1, 8.5.3, 8.5.2, 7.3 , 6.2.1
- Resolution of customer Complaints.
Need to have clarity on what clauses are applicable to what processes /
functions
Emphasis is on effectiveness & efficiency

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EMS & OHSAS can be departmental wise

Emphasis is to be on
- objectives achievements
- Continual improvements
- Compliance with legal & other requirements
- Conformance with applicable clauses
- Actions on customer / interested party concerns
including complaints

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Generating the audit findings

Audit evidence should be evaluated against audit criteria
Audit findings can identify an opportunity for improvement
Review of the audit findings
Non conformities and their supporting audit evidence should be
recorded
- Statement of NC to be system oriented.
- Reference to clause number of the standard & Deptl. procedure
- To be followed with evidences .

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 Review of the audit findings

Audit conclusion

To agree on the audit conclusions

To prepare recommendations
To discuss the audit follow up
Closing meeting in which the findings are
communicated. Any follow verifications required also to
be covered.

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Preparing
the audit report
Pre
Audit findings
Audit reports
Audit plan
Agreed follow-up actions
Distribution of the audit report
Conducting the audit follow-up
Verification of Corrective action on any reported Ncs
for effectiveness.
Indicate the need for any preventive actions as
applicable
Reporting the results to MR as per procedures
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Competence and evaluation of auditors

Personal attributes
Fair, truthful , honest and discreet
Willing to consider alternative ideas
Tactful in dealing with the people
Adjust readily to different situations
Persistent, focused on achieving objectives
Acts and functions independently while interacting
effectively with others
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Knowledge and Skill

To apply audit principles and techniques

To plan & organize the work effectively
To focus on significance matters
Collection of information through interviews, listening, observation
and reviewing documents and records
To verify the accuracy of the information
To use work documents to record audit activities
To prepare the audit reports
To maintain the confidentially and security of the information
To organize and lead the audit team to reach conclusions for the
team leader
To prevent and resolve conflicts
Familiar with Environmental legislation
Sector specific knowledge
Knowledge on monitoring and measurement methods
Knowledge on pollution control technologies

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Auditor competence
Education
Work experience
Auditor training
Audit experience
( standard provided example in Table 1 Defining
competence criteria for auditors of QMS/EMS & for both
as well as for team leader which is applied mostly for
3 rd party auditors )
Auditors need to maintain competence in knowledge etc
and also on auditing ability

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