Guidelines for Auditing Management Systems

ISO 19011:2018 - Guidelines for auditing management systems

5 Managing an audit programme

5.5 Implementing audit programme

5.5.4 Selecting audit team members

including the team leader and any technical experts needed for the specific audit.

An audit team should be selected, taking into account the competence needed to achieve the objectives of the individual audit within the defined scope. If there is only one auditor, the auditor should perform all applicable duties of an audit team leader.

NOTE Clause 7 contains guidance on determining the competence required for the audit team members and describes the processes for evaluating auditors.

To assure the overall competence of the audit team, the following steps should be performed:

- identification of the competence needed to achieve the objectives of the audit;

- selection of the audit team members so that the necessary competence is present in the audit team.

In deciding the size and composition of the audit team for the specific audit, consideration should be given to the following:

a) the overall competence of the audit team needed to achieve audit objectives, taking into account audit scope and audit criteria;

b) complexity of the audit;

c) whether the audit is a combined or joint audit;

d) the selected audit methods;

e) ensuring objectivity and impartiality to avoid any conflict of interest of the audit process;

f) the ability of the audit team members to work and interact effectively with the representatives of the auditee and relevant interested parties;

g) the relevant external/internal issues, such as the language of the audit, and the auditee’s social and cultural characteristics. These issues may be addressed either by the auditor's own skills or through the support of a technical expert, also considering the need for interpreters;

h) type and complexity of the processes to be audited.

Where appropriate, the individual(s) managing the audit programme should consult the team leader on the composition of the audit team.

If the necessary competence is not covered by the auditors in the audit team, technical experts with additional competence should be made available to support the team.

Auditors-in-training may be included in the audit team, but should participate under the direction and guidance of an auditor.

Changes to the composition of the audit team may be necessary during the audit, e.g. if a conflict of interest or competence issue arises. If such a situation arises, it should be resolved with the appropriate parties (e.g. audit team leader, the individual(s) managing the audit programme, audit client or auditee) before any changes are made.