ISO 10011-3 1991 Standard in Plain English

Guidelines for Managing Quality Audit Programs

Also see our Plain English Audit Tools and Programs

Develop audit
management
process 

• Develop an audit management process that is 
  formally separate and entirely independent of 
  the quality system to be audited.

Select audit
manager 

• Select an audit manager. Your manager must:

  • Have practical quality system audit experience. 

  • Identify the quality standards that will be 
    used to perform the quality system audit. 

  • Ensure that audit teams will be competent 
    and capable of performing quality audits.

  • Select auditors and lead auditors. However, 
    a separate auditor evaluation panel should 
    approve the audit manager's selection.

Select auditors 

• Your audit manager should select auditors who:

  • Understand the standards that will
    be applied during the audit. 

  • Are familiar with the auditee's
    products, services, and activities. 

  • Have studied the regulations that
    govern the auditee's activities. 

  • Have the technical qualifications
    needed to carry out an audit. 

  • Have the professional qualifications
    needed to carry out an audit.

Select lead
auditor 

• Your audit manager should select a lead auditor who
  has the appropriate knowledge and skill, and who
  also knows how to:

  • Manage and motivate the audit team. 

  • Exploit the talent and expertise of team members.

Manage the
audit process 

• Your audit manager should manage the audit
  process. The audit manager should:

  • Ensure that all auditors and lead auditors
    are knowledgeable and suitably trained. 

  • Develop and enforce a code of ethics
    to govern the audit process. 

  • Monitor and evaluate the performance 
    of their audit team in order to improve 
    their efficiency and effectiveness. 

  • Ensure that all auditors make the same 
    observations and draw the same conclusions 
    when confronted with the same evidence. Audit 
    managers should help guarantee consistency.

Support the
audit process 

• Your audit manager should support the audit
  process. The audit manager should:

  • Plan and schedule audit activities. 

  • Perform the audit reporting process. 

  • Control the audit follow-up process. 

  • Protect the confidentiality of audit information. 

  • Ensure that auditors have the resources they need.

Support
continuous improvement 

• Your audit manager should support and encourage 
  both auditors and other personnel to continuously 
  improve the audit process.

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