Curriculum
- 2 Sections
- 35 Lessons
- 26 Weeks
- ISO5500110
- 1.1Introduction to ISO55001 and Asset Management Systems
- 1.2Clauses 1–3 and Understanding Context in ISO55001
- 1.3Clause 4 – Context of the Organization
- 1.4Clause 5 – Leadership
- 1.5Clause 6 – Planning
- 1.6Clause 7 – Support
- 1.7Clause 8 – Operation and Asset Management Activities
- 1.8Clause 9 – Performance Evaluation
- 1.9Clause 10 – Improvement
- 1.10Practical Considerations for Lead Auditors
- ISO 19011: Guidelines for auditing management systems26
- 2.1Introduction to ISO19011
- 2.2Principles of Auditing
- 2.3Managing an Audit Program
- 2.4Establishing Audit Program Objectives
- 2.5Determining Audit Program Risks and Opportunities
- 2.6Establishing the Audit Program
- 2.7Implementing the Audit Program
- 2.8Monitoring the Audit Program
- 2.9Reviewing and Improving the Audit Program
- 2.10Initiating the Audit
- 2.11Determining Audit Feasibility
- 2.12Preparing Audit Activities
- 2.13Reviewing Documented Information
- 2.14Preparing the Audit Plan
- 2.15Assigning Work to the Audit Team
- 2.16Preparing Working Documents
- 2.17Opening Meeting
- 2.18Communication During the Audit
- 2.19Collecting and Verifying Information
- 2.20Generating Audit Findings
- 2.21Preparing Audit Conclusions
- 2.22Closing Meeting
- 2.23Preparing the Audit Report
- 2.24Completing the Audit
- 2.25Follow-Up Activities
- 2.26ISO55001 Exam120 Minutes40 Questions
Reviewing Documented Information
Reviewing Documented Information
Documented information provides the foundation for evaluating the management system. It describes how the organization plans, controls, and monitors its activities. By reviewing these documents in advance, auditors can develop a clear understanding of the processes that will be examined during the audit. This review also helps auditors identify potential gaps, inconsistencies, or areas that may require further investigation during the audit.
The purpose of reviewing documented information is not only to confirm that documents exist but also to understand whether they are suitable, properly implemented, and aligned with the requirements of the applicable standards.
Organizations maintain a variety of documents and records as part of their management systems. During the document review process, auditors typically examine several key types of documented information.
One important category is policies. Policies define the organization’s intentions and direction related to specific areas such as quality, environmental protection, or occupational health and safety. These policies demonstrate the organization’s commitment to meeting relevant requirements and achieving its objectives.
Another category is procedures. Procedures describe how specific activities or processes should be carried out. They provide guidance to employees and help ensure that operations are performed consistently. Procedures may address areas such as document control, training, purchasing, production, or corrective action.
Auditors may also review work instructions, which provide detailed guidance for performing specific tasks. Work instructions are often used in operational environments where clear step-by-step instructions are required to maintain consistency and quality.
In addition to policies and procedures, auditors examine records. Records provide evidence that processes have been performed and that requirements have been met. Examples of records include training records, inspection results, maintenance logs, calibration records, and audit reports.
Reviewing Management System Documentation
When reviewing documented information, auditors examine whether the documentation supports the requirements of the applicable management system standard. Many organizations implement standards such as ISO 9001, ISO 14001, and ISO 45001. Each of these standards requires organizations to maintain specific types of documented information that demonstrate how their management systems operate.
For example, auditors may review whether the organization has defined its scope, established policies, documented procedures, and maintained records that demonstrate compliance with standard requirements. The document review helps auditors verify that the organization has established a structured management system capable of meeting the audit criteria.
Evaluating Document Suitability
The document review process also involves evaluating whether the documented information is suitable for the organization’s activities. Suitable documentation should be clear, accurate, and relevant to the processes it describes.
Auditors may consider several factors when evaluating documentation, including:
- Whether the documents clearly describe the intended processes
- Whether the documentation reflects the current way of working
- Whether responsibilities and authorities are clearly defined
- Whether document control processes ensure that current versions are used
If documentation is unclear, outdated, or inconsistent, it may lead to confusion or ineffective implementation of processes. Identifying such issues during the document review stage allows auditors to focus on these areas during the audit.
While reviewing documented information, auditors may identify areas that require closer attention during the audit. For example, auditors may notice that certain procedures are missing, incomplete, or inconsistent with other documents.
In some cases, the documentation may appear complete but may not provide enough detail to understand how the process operates in practice. These situations may require auditors to conduct additional interviews or observations during the audit.
The document review stage helps auditors develop questions that will later be asked during interviews or process observations. This preparation improves the effectiveness of the audit by ensuring that auditors are focused on relevant issues.
Reviewing documented information helps determine whether the management system appears to conform to the audit criteria before the audit begins. If significant issues are identified during the document review, the audit team may need to discuss these issues with the auditee before proceeding.
In some cases, the document review may reveal that the organization’s documentation is incomplete or not aligned with the audit criteria. When this occurs, the audit team leader may recommend adjustments to the audit plan or request additional information from the auditee.
This step helps ensure that the audit process proceeds efficiently and that the audit team can focus on evaluating how the management system operates in practice rather than spending excessive time locating or understanding basic documentation.
Supporting Effective Audit Planning
The document review process also supports the development of the audit plan and the preparation of working documents such as checklists and interview questions. By understanding how the organization’s processes are documented, auditors can design more targeted and effective audit activities.
This preparation allows the audit team to approach the audit with a clear understanding of the organization’s management system and the areas that require evaluation. As a result, the audit can be conducted in a structured, systematic, and professional manner while ensuring that reliable evidence is collected to support audit findings.