SIST-TS ISO/IEC TS 17012:2024

Technical
Specification
ISO/IEC TS 17012
First edition
Conformity assessment —
2024-07
Guidelines for the use of remote
auditing methods in auditing
management systems
Reference number
© ISO/IEC 2024
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© ISO/IEC 2024 – All rights reserved
ii
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Principles of auditing . 2
5 Managing an audit programme . 2
5.1 General .2
5.2 Establishing audit programme objectives .2
5.3 Determining and evaluating audit programme risks and opportunities .3
5.4 Establishing the audit programme .5
5.5 Implementation of audit programme .5
5.6 Monitoring the audit programme .6
5.7 Reviewing and improving audit programme .6
6 Conducting an audit using remote auditing methods . 6
6.1 General .6
6.2 Initiating audit .7
6.3 Preparing audit activities .7
6.3.1 Performing review of documented information .7
6.3.2 Audit planning .7
6.4 Conducting audit activities .8
6.4.1 General .8
6.4.2 Assigning roles and responsibilities of support personnel and observers .9
6.4.3 Conducting the opening meeting .9
6.4.4 Communicating during the audit .10
6.4.5 Audit information availability and access .10
6.4.6 Reviewing documented information while conducting the audit .10
6.4.7 Collecting and verifying information.10
6.4.8 Generating audit findings .11
6.4.9 Determining audit conclusions .11
6.4.10 Conducting the closing meeting.11
6.5 Preparing and distributing audit report .11
6.6 Completing audit .11
6.7 Conducting audit follow-up . 12
7 Competence and evaluation of auditors .12
7.1 General . 12
7.2 Determining auditor competence . 12
7.2.1 General . 12
7.2.2 Personal behaviour . 12
7.2.3 Knowledge and skills . 13
7.2.4 Achieving auditor competence .14
7.2.5 Achieving audit team leader competence .14
7.3 Establishing auditor evaluation criteria .14
7.4 Selecting the appropriate auditor evaluation methods .14
7.5 Conducting auditor evaluation .14
7.6 Maintaining and improving auditor competence . 15
Annex A (informative) Remote auditing methods .16
Annex B (informative) Useful practices .20
Bibliography .24

© ISO/IEC 2024 – All rights reserved
iii
Foreword
ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
Commission) form the specialized system for worldwide standardization. National bodies that are
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© ISO/IEC 2024 – All rights reserved
iv
Introduction
This document was developed in response to rapidly developing technology and changes in working
practices based upon a variety of experiences, including those from the coronavirus pandemic. Applying
remote auditing methods can bring a variety of benefits for all parties involved in the audit. This document
provides guidance on how an audit can be effectively conducted and how audit objectives can be achieved
when remote auditing methods are used.
Remote auditing methods can improve the efficiency of an audit by reducing travel-time and expense and
achieving an improvement in the overall carbon footprint, as well as avoiding travel risk, enabling virtual
access to more sites. A further benefit is facilitating diversity of participation in the audit and the increased
involvement of technical experts within the audit. This includes cross-border activities that can improve the
overall efficiency of the audit, whilst maintaining business continuity, especially in challenging situations
and conditions.
The objective of this document is to provide assurance that remote auditing methods represent an additional
sustainable and flexible way to conduct audits of management systems and provide confidence to customers,
regulators, scheme owners and other interested parties.
This document includes guidance on a risk-based approach to be followed for planning and implementing the
remote auditing methods that can apply to all types and sizes of organizations. Table 1 and Table 2 provide
examples of risks and opportunities.
This document can be used to support an on-site, a remote or a hybrid approach to auditing management
systems.
NOTE ISO 19011:2018, Table 1 gives examples of different types of audits.
This document can al
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