ISO19011DiscussionGroups.docx

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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.BoththeIAFandIATCAcanbringparticularstrengthsandemphasistotheauditorcompetenceissue.ThecurrentISOauditingstandardsforqualitymanagement(i.e.,ISO10011Parts1,2,and3)an