ISO 19011-2026-管理体系审核指南

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Guidelines for auditing

management systems

Lignes directrices pour l'audit des systèmes de management

Reference number

ISO 19011:2026(en)

International

Standard

ISO 19011

Fourth edition

2026-05

◎ISO 2026

ISO 19011:2026(en)

@ISO 2026

may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or

posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the

address below or ISO's member body in the country of the requester.

ISO copyright office

CP401·Ch. de Blandonnet 8

CH-1214 Vernier, Geneva

Phone:+41227490111

Email:copyright@iso.org

Website: www.iso.org

Published in Switzerland

iii

ISO 19011:2026(en)

Contents Page

Foreword ....................................................................................................................................................................... V

Introduction ........................................................................................................................................................... vi

1 Scope ............................................................................................................................................................... 1

2 Normative references .................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................1

4 Principles of auditing.................................................................................................................................... 5

4.1 General ....................................................................................................................................................... 5

4.2 Integrity....................................................................................................................................................... 5

4.3 Fair presentation........................................................................................................................................ 5

4.4 Due professional care .............................................................................................................................. 5

4.5 Confidentiality............................................................................................................................................. 6

4.6 Independence............................................................................................................................................ 6

4.7 Evidence-based approach .......................................................................................................................6

4.8 Risk-based approach ............................................................................................................................... 6

5Managing an audit programme...................................................................................................................6

5.1 General........................................................................................................................................................ 6

5.2 Establishing audit programme objectives.............................................................................................. 9

5.3 Determining and evaluating audit programme risks and opportunities ........................................... 9

5.4 Establishing the audit programme........................................................................................................ 10

5.4.1 Roles and responsibilities of individual(s) managing the audit programme ................... 10

5.4.2 Competence of individual(s) managing the audit programme............................................11

5.4.3 Establishing the scope of the audit programme ................................................................. 11

5.4.4 Determining audit programme resources...............................................................................12

5.5 Implementing the audit programme......................................................................................................12

5.5.1 General ........................................................................................................................................12

5.5.2 Defining the objectives, scope, and criteria for an individual audit ...................................13

5.5.3 Selecting and determining auditing methods ...................................................................... 14

5.5.4 Selecting audit team members .................................................................................................14

5.5.5 Assigning responsibility for an individual audit to the audit team leader ......................... 15

5.5.6 Managing audit programme results ........................................................................................16

5.5.7 Managing audit-related records .............................................................................................. 16

5.6 Monitoring the audit programme ......................................................................................................... 17

5.7 Reviewing and improving the audit programme ............................................................................... 17

6Conducting an audit................................................................................................................................... 18

6.1 Genera ......................................................................................................................................................18

6.2 Initiating the audit ................................................................................................................................... 18

6.2.1 General ........................................................................................................................................18

6.2.2 Establishing contact with the auditee .....................................................................................18

6.2.3 Determining the feasibility of the audit ...................................................................................19

6.3 Preparing auditing activities ................................................................................................................19

6.3.1 Performing the review of documented information ..............................................................19

6.3.2 Audit planning ........................................................................................................................... 19

6.3.3 Assigning work to the audit team ............................................................................................21

6.3.4 Preparing documented information for the audit ..................................................................21

6.4 Conducting auditing activi.tie…s ………………………………………………………………… 21

6.4.1 General ........................................................................................................................................21

6.4.2 Assigning the roles and responsibilities of guides and observers .................................... 21

6.4.3 Conducting the opening meeting ........................................................................................... 22

6.4.4 Communicating during the audit ............................................................................................ 23

6.4.5 Providing access to audit information ................................................................................... 23

6.4.6 Reviewing documented information while conducting the audit ...................................... 23

6.4.7 Collecting and verifying information ....................................................................................... 24

6.4.8 Generating the audit findings ................................................................................................. 25

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GuidelinesforauditingmanagementsystemsLignesdirectricespourl'auditdessystèmesdemanagementReferencenumberISO19011:2026(en)InternationalStandardISO19011Fourthedition2026-05◎ISO2026iiISO19011:2026(en)COPYRIGHTPROTECTEDDOCUMENT@ISO2026Allrightsreserved.Unlessotherwisespecified,orrequiredinthecontextofit...

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