Volume 8 · Issue 3 · March 2003
Drafting of US Supplement to EA/QA Standard Begins
US JTG May Have "19011S" Ready by Years
Drafting of a supplemental document that will provide additional
guidance for internal, second-party and simple third-party
management system audits began March 12-13, 2003, in Dallas.
The Joint Task Group on 19011 Supplement (JTG) began the drafting
process at its second meeting and expects to complete a first
draft that will circulate for review within the ANSI ASC Z1
Committee and the US Technical Advisory Groups (TAGs) to ISO
Technical Committee (TC) 207 and TC 176 by the time they meet
in August 2003. The US supplementtentatively titled
19011Scould be approved and published by late 2003 or
At a time when the American National Standards Institute
(ANSI) ASC Z1 Committee on QEDS (Quality, Environment, Dependability
and Statistics) is balloting ISO 19011:2002, Guidelines
for quality and/or environmental management systems auditing,
for adoption as an American National Standard, the JTG has
begun the development of a US supplement to ISO 19011 that
will address those areas where the US TAGs and their auditing
SubTAGs have identified a strong need for additional guidance.
The JTG is a Z1 task group made up of auditing experts from
the Z1 subcommittees on environmental and quality management.
It was created after Z1 balloting on a New Work Item Proposal
for a US supplement to ISO 19011 concluded with overwhelming
approval on August 19, 2002.
Development of 19011S is the by-product of efforts by the
US delegation to the Joint Working Group on Quality and Environmental
Auditing (JWG) to have additional guidance incorporated in
ISO 19011 at the Draft International Standard (DIS) stage
on the following areas:
- Internal auditing program management and selection of
- Second-party audit program management and auditor competency
- Third-party audits of a small to medium-sized enterprise
(SME) and required auditor competency.
After the JWG declined to consider a US proposed rewrite
of one section of ISO/DIS 19011 and some proposed additional
guidance in several other sections dealing with audit program
management and the conducting of an audit, the US delegates
and the auditing subgroups of the US TAGs decided to propose
development of a US supplement once ISO 19011 was published.
The JTG held its first meeting on August 28, 2002, in Washington,
DC, during the concurrent meetings of the US TAGs to TC 207
and TC 176. In a report to the US TAG to TC 176 on March 13,
2003, John H. Stratton, Chair of US Task Group (TG) 19011
to TC 176s Subcommittee (SC) 3 and Co-Chair of the JTG,
indicated that the JTG planned to complete draft language
in Dallas on the two most complex parts of ISO 19011, which
also require the most significant additional guidance:
- Section 5, Managing an Audit Programme
- Section 7, Competence of Auditors.
According to Stratton, who served as Chair of the US delegation
to the JWG, the JTG completed draft language to supplement
Section 5 on March 12 and expected to complete draft language
for Section 7 by the conclusion of its meeting on March 13.
"A subgroup of the JTG will complete the draft by developing
guidance where needed to supplement the other sections of
ISO 19011," noted Stratton, who added, "The draft
should circulate within the JTG for review, comment and revision
this spring, with the expectation that we will be able to
circulate the draftor a revisionmore widely by
the summer. Our expectation is that a draft will be out for
review by the Z1 subcommittees by the time of the TAG meetings
the week of August 25, 2003."
Technically, the JTG is an ANSI ASC Z1 on QEDS task group;
therefore, anything it produces will be circulated for balloting
only by active ASC Z1 on QEDS members. Z1 is responsible for
adopting ISO and other international standards as American
National Standards and drafting American National Standards
in areas that include environmental and quality management.
However, members of the US TAGs to TC 207 and TC 176 are
eligible for Z1 membership if they have participated actively
in balloting within Z1. The JTG is likely to also seek the
feedback of these TAGs, which developed the US positions on
and provided the US delegates for the drafting of ISO 19011.
JTG Starts With ISO/DIS 19011 Language
Stratton indicated that the JTG had used the proposed
language submitted in balloting on ISO/DIS 19011 as a starting
point for the drafting of 19011S. As reported in late 2001
and early 2002, the US comments on the DIS proposed a rewrite
of Section 7 to increase the guidance it offered on the selection
of auditors for a variety of audit program types and sizes,
not just for complex third-party auditing. The proposed revision
involved reorganization of existing text, with some content
being placed into Practical Help boxes, and the addition of
limited new text to provide more balance to ISO 19011s
guidance so that it covered all types of audits, not just
The US proposal also expanded on what is in Table 1, Example
of Levels of Education, Work Experience, Auditor Training
and Audit Experience for Auditors Conducting Certification
or Similar Audits, which is geared in ISO 19011 to the competency
required for complex third-party audit situations. The proposed
revision incorporated several Practical Help boxes to add
illustrations of competence levels for internal auditors and
for external auditors of less complicated organizations.
Gary L. Johnson, Environmental Engineer at the US Environmental
Protection Agency, who is a representative of the US TAG to
TC 207, was a US delegate to the JWG and is Co-Chair of the
JTG, told THE OUTLOOK that he and Stratton had evaluated
the draft language that the United States had proposed on
the DIS to see what could be used now that ISO 19011 has been
published. "We will need to make some adjustments, since
what the JTG develops has to be a supplement to ISO 19011.
For example, part of the proposed rewrite of Section 7 involved
putting Table 1 into a Practical Help Box and adding several
more boxes with examples suitable to internal, second-party
and SME third-party audits. But Table 1 in ISO 19011 is in
the text, not a box."
Stratton indicated to the US TAG to TC 176 that the JTG is
exploring if 19011S could include the verbatim text of ISO
19011, or the American National Standard equivalent, in boxes.
The supplemental guidance would be outside the boxes, as was
done in ISO 9004:2000 where the text of ISO 9001:2000 is contained
in boxes. "There are copyright and other issues that
we will need to explore," noted Stratton.
Another idea being considered by the JTG is the inclusion
of an annex to 19011S to address issues surrounding the concept
of process auditing. During an initial presentation by Stratton
at the opening plenary of the US TAG to TC 176 on March 12,
several TAG members recommended that the JTG consider addressing
the concept of process auditing or the auditing of a process-based
management system. TC 176 and the TAG have identified this
concept as one that many auditors, internal and external,
have been having a great deal of difficulty understanding
and effectively accomplishing.
"I brought this suggestion to the JTG and we considered
including this in the supplement," acknowledged Stratton
in his report on March 13. "However, auditing of a process
approach-based system is not appropriate to the scope of the
supplement, but it would be suitable to include an annex that
would begin to propose solutions to the process auditing problem."
The JTG will also be consulting with several sector groups
to discuss auditing guidance that has been developed to support
sector-specific QMS requirements. For instance, the JTG is
expected to contact a group within the Automotive Industry
Action Group that developed auditing guidelines for use in
the automotive sector with ISO Technical Specification 16949:2002,
which is aligned with ISO 9001:2000 and therefore requires
QS-9000-conforming organizations to transition to process
approach-based management systems and the auditing of them.
THE OUTLOOK will provide additional coverage of 19011S
as the JTG continues its work on the draft and on the balloting
of ISO 19011 for adoption as an American National Standard.
The US SubTAG to TC 207/SC 2, which is responsible for auditing
standards in the ISO 14000 series, did not meet in Dallas,
although several members of SubTAG 2 participated in the JTG
meeting, which occurred simultaneous to the US TAG to TC 176
Visit the ISO 9000:2000 Product Support Initiative web pages,
located at the ASQ Standards Group web site (http://standardsgroup.asq.org),
to obtain additional information about the PSI, survey results
and ISO 9000:2000
A report will also be provided in the April 2003 issue on
the meeting of the US TAG to TC 176 in Dallas, which included
reports on the revision of several existing standards in the
ISO 9000 series, reports on and sessions relating to the drafting
of several new standards, consideration of proposed comments
on the second committee draft of ISO 14001, a presentation
from the American Petroleum Institute on the revision of API
Q1 to align with ISO 9001:2000 and meetings of US TG 9001/9004
and of the ISO 9000:2000 Product Support Initiative (PSI).
Among the activities discussed at the PSI meeting was the
posting of an ISO 9004:2000 Survey on the PSI web site to
obtain feedback on the performance improvements standard and
its use. The latest issue of PSIs ISO Curves
provides a snapshot of the responses to three questions on
the ISO 9004:2000 Survey. All issues of the ISO Curves
can be found at the ISO 9000:2000 Product Support Initiative
web pages, located at the ASQ Standards Group web site (http://standardsgroup.asq.org).