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Document the Audit Program
Audit program implementation needs to be
carefully planned and then documented. Why? The standards require
certain things in the audit program be documented. And, if your
company is going for it's certification, the certification body
auditors will need to review these issues. Here are a few of the
things that need to be considered:
a) Communicating the audit program to relevant parties;
b) Coordinating and scheduling audits and other activities relevant
to the audit program;
c) Establishing and maintaining a process for the evaluation of the
auditors and their continual professional development;
d) Ensuring the selection of audit teams;
e) Providing necessary resources to the audit teams
ISO 19011:2002 contains a more extensive description and should be
reviewed before implementing the audit program. It's better to plan
for all contingencies than have to fix something after it goes bad.
Audit
program records
You need to keep records of the program implementation for your
third party auditors to review, as well as your management team. Be
sure to keep the audit plans, audit reports, nonconformity reports,
corrective action reports, audit follow-up reports.
Don't forget. The audit program also needs to be audited. This audit
should be performed by an auditor that has NOT performed other
audits in the program that could possibly bias the results. Keep the
records of the audit program review.
You should have records related to auditor competence and
performance, audit team selection and, maintenance and improvement
of competence.
These records should be retained and safeguarded from damage for at
least 3 years.
Audit
program monitoring and reviewing
The implementation of the audit program needs to be monitored and
reviewed to assess whether its objectives have been met and to
identify opportunities for improvement. The results must be reported
to top management.
Some of the performance indicators that a company can use include:
- the ability of the auditors to implement the individual audit
plans they are assigned
- overall conformity with the audit program and schedule, and
- feedback from audit clients, auditees and auditors
The audit program review should consider, for example,
- Results and trends from monitoring
- Conformity with procedures
- Evolving needs and expectations of interested parties
- Audit program records
- Alternative or new auditing practices, and
- Consistency in performance between audit teams in similar
situations.
The reviews of the audit program can lead to corrective or
preventive action and improvement of the audit program. It is always
better that the company find any weaknesses in their audit program
in lieu of their 3rd party auditor finding the weaknesses.
The links below are excerpts from the our
e-book "Explanations and Definitions
for ISO 19011:2002"
Section 1. ISO 19011 Scope
reference and definitions
Section 2. ISO 19011 Principles of
auditing
Section 3. ISO 19011 Managing an
audit program
Section 5. ISO 19011 Audit
activities
Section 6. ISO 19011 Preparing for
onsite activities
Section 7. ISO 19011 Conducting
onsite activities
Section 8. ISO 19011 What the
auditor is looking for
Section 9 ISO 19011 Audit
reporting
Section 10. ISO 19011 Audit
techniques
Section 11. ISO 19011 Audit path
Section 12. ISO 19011 Effective
communications
Section 13. ISO 19011 Sampling
Section 14. ISO 19011 Audit
completion and follow-up
Section 15. ISO 19011 Competence
and evaluation of auditors
This represents a summary of the section in ISO 19011:2002. It's
suggested that you obtain an actual copy of the standard to refer to
for auditing program purposes.
EBook
"Explanations and Definitions for ISO 19011:2002"
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