ISO19011DiscussionGroups.docx

ISO19011DiscussionGroupsSummaryofarticlescoveringthedevelopingstandard.Thesourceofthisinformationis,theweb,andthesourcesandcopyrightsareacknowledged.TO:USTAGstoTC176&TC207,USNationalStandardsPublicCommentors,OtherInterestedPartiesFROM:USDelegatestoISOJointWorkingGroupDevelopingISO19011andChairs,USTAGWorkGroupsJohnStrattonandBartSolomon;TC176BudSmith,GaryJohnson,andTomOtt;TC207SUBJECT:RequestforBallotonISO/DIS19011ISO19011CD3wasrevisedearlierthisyearandpublishedasaDraftInternationalStandard(DIS)inlateMay.Severalimprovementsweremade,butonesignificantissueremains,whichwestronglybelievewillcauseconfusionwithauditorqualificationandcompetenceandcontributetocontinuedlackofuseforthisstandardinthemarketplace.TheUSLiaisonGroupbetweenourTAGstoTC176andTC207hasdevelopedadetailedwpositionpaper"describingthebackgroundandrationaleforaproposedUSballot.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。Pleasereviewtheattached"positionpaper*alongwiththeDIStextpublishedontheUSStandardsGroupwebsite,oraccompanyingthisrequest,and,ifyouagreewiththeposition,voteto“disapprovewithcommentontheballot.ThewordingofageneralcommentwillbepreparedbythedelegationandsubmittedwithourofficialUSresponse.Anysuggestedwordingandadditionalcommentsshouldbepreparedusingthetemplateprovided.Itisagainimportanttostrictlyadheretothetemplateconventionstoallowcompilationofthecommentsbyelectronicmeans.PleasesubmityourcompletedtemplatetoErinHogg,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,andthankyouforyourcontinuinginterestinthisimportantstandardforauditingqualityandenvironmentalmanagementsystems.TheUSDelegatestoJWGonAuditingandUSTAGWorkGroupChairsU.S.PositionPaper(15June2001)-U.S.RecommendedActionAuditorCompetenceIssuesinISO/DIS19011ItisrecommendedthattheU.S.TechnicalAdvisoryGroups(TAGs)toISOTechnicalCommittees176and207submitavoteto''disapprovewithcomments"forISO/DIS19011.Theprincipalreasonforthisvoteistosupporttheremovalofreferencestorecommendedorsuggestedlevelsofauditorexperienceforanyspecificauditingsituation.Inclusionofsuchrecommendedlevelsofexperienceisinconsistentwiththestatedgoalsofthestandardandmaycreateconsiderableconfusionamongusers.Examplesmaybepermitted,butshouldincludeinternalandsupplierauditexamplesinadditiontothird-partycertificationauditsinordertocoverthefullrangeofauditactivities.BackgroundISOisinthelatterstagesofdevelopinganewstandardprovidingguidelinesforauditingbothqualityandenvironmentalmanagementsystems.Thisauditingstandard,ISO19011,isintendedtofulfilltheneedsidentifiedforauditsundertheISO9000andISO14000seriesofinternationalmanagementsystemsstandards.ISO19011isbeingdraftedbyaJointWorkGroup(JWG)formedfrommembersofISOTechnicalCommittee176onQualityManagementandISOTechnicalCommittee207onEnvironmentalManagement.AlthoughthestandardhasreachedtheDraftInternationalStandard(DIS)stage,severalimportantissuesremaintoberesolvedintheareaofauditorcompetence.ThegoalofISO19011istoprovideclear,generalguidanceforprinciplesofauditing,managinganauditprogram,conductingauditactivities,anddeterminingthecompetenceofauditorsforthefullrangeofauditingactivitiesencompassingfirst,second,andthirdpartyaudits.Whilemostofthedraftstandardappearstohavefulfilledthatgoal,Clause7,CompetenceofAuditors,remainsanawkwardmixofgeneralguidanceandspecificcriteriaforauditorscarryingoutparticularauditassignments.ThatsectionoftheISO/DIS19011includesspecific"recommended"expectationsforauditorexperienceforthirdpartyauditors.Similar“recommendations“arenotprovidedforinternalandsecondpartyauditors.Suchsuggestionsmaybeconfusingtomanypotentialusersofthestandardandmaybebetteraddressedbyothergroupshavingdirectresponsibilitiesforauditcertification.TheIssue:ProcessversusRecommendedValues-PossibleOptionsISOistheinternationallyaccepteddeveloperofthestandardsforqualityandenvironmentalmanagementsystemsandfortheprocessesinvolvedinauditingthem,butISOitselfdoesnotaccreditoroperateauditprograms.IntheearlyplanningstagesoftheISO19011standard,theJWGidentifiedseveralgroupsashavingnaturalrolesandinterestsinauditorcompetence.TheInternationalAccreditationForum(IAF)isagroupofaccreditationbodies,representingdifferentcountries,withinterestinthel,third-partycertificationprocessforqualityandenvironmentalmanagementsystemsbasedontheISO9001and14001standards.ThesecertificationsdependlargelyonauditorswhoconformtoISOauditingstandards.Inaddition,theInternationalAuditorandTrainingCertificationAssociation(IATCA)isagroupofauditortrainingandcertificationbodieswithinterestsinassuringauditorcompetence.BoththeIAFandIATCAcanbringparticularstrengthsandemphasistotheauditorcompetenceissue.ThecurrentISOauditingstandardsforqualitymanagement(i.e.,ISO10011Parts1,2,and3)an