ISO 19011:2018 Clause 5.2 Establishing audit programme objectives

ISO 19011:2018 19 Minutes

The audit client should ensure that the audit programme objectives are established to direct the planning and conducting of audits and should ensure the audit programme is implemented effectively.
Audit programme objectives should be consistent with the audit client’s strategic direction and support management system policy and objectives.
These objectives can be based on consideration of the following:
a) needs and expectations of relevant interested parties, both external and internal;
b) characteristics of and requirements for processes, products, services and projects, and any changes to them;
c) management system requirements;
d) need for evaluation of external providers;
e) auditee’s level of performance and level of maturity of the management system(s), as reflected in relevant performance indicators (e.g. KPIs), the occurrence of nonconformities or incidents or complaints from interested parties;
f) identified risks and opportunities to the auditee;
g) results of previous audits.
Examples of audit programme objectives can include the following:
— identify opportunities for the improvement of a management system and its performance;
— evaluate the capability of the auditee to determine its context;
— evaluate the capability of the auditee to determine risks and opportunities and to identify and implement effective actions to address them;
— conform to all relevant requirements, e.g. statutory and regulatory requirements, compliance commitments, requirements for certification to a management system standard;
— obtain and maintain confidence in the capability of an external provider;
— determine the continuing suitability, adequacy and effectiveness of the auditee’s management system;
— evaluate the compatibility and alignment of the management system objectives with the strategic direction of the organization.

The audit client should ensure that the audit programme objectives are established to direct the planning and conducting of audits and should ensure the audit programme is implemented effectively. The audit client plays a crucial role in ensuring the success of the audit program. Here are key responsibilities and actions that the audit client should undertake to ensure the effectiveness of the audit program:

  1. Establish Clear Audit Program Objectives: Work collaboratively with the audit team to establish clear and well-defined objectives for the audit program. These objectives should align with the organization’s goals, compliance requirements, and areas for improvement.
  2. Communicate Organizational Priorities: Clearly communicate organizational priorities to the audit team. This information is vital for prioritizing audits, allocating resources appropriately, and focusing on areas that align with the organization’s strategic objectives.
  3. Provide Relevant Context and Information: Furnish the audit team with relevant context, information, and organizational nuances. This includes changes in processes, recent incidents, or any other factors that may impact the audit scope and criteria.
  4. Collaborate in Risk Assessment: Actively participate in the risk assessment process. Collaborate with the audit team to identify and assess risks associated with the audit program. Provide insights into areas that may pose significant risks or opportunities for improvement.
  5. Allocate Adequate Resources: Ensure that the audit team has access to the necessary resources, including personnel, technology, and documentation. Adequate resource allocation is critical for the successful implementation of the audit program.
  6. Support in Audit Planning: Support the audit team in the planning phase by providing input, clarifications, and guidance. Collaborate to determine the scope, criteria, and objectives of each audit within the program.
  7. Facilitate Access to Information: Facilitate access to relevant information, records, and documentation required for the audits. A smooth flow of information is essential for conducting thorough and effective audits.
  8. Address Resource Constraints: If resource constraints are identified, work with the audit team to address these challenges. This may involve reallocating resources, seeking additional support, or adjusting the audit schedule as needed.
  9. Monitor Progress and Adherence to Schedule: Regularly monitor the progress of the audit program and ensure adherence to the established schedule. Timely feedback and intervention can help address any issues that may arise during the implementation phase.
  10. Participate in Review and Improvement Processes: Participate in the review of the audit program. Provide feedback on the effectiveness of the audits, the value of insights gained, and opportunities for improvement. Collaborate on implementing corrective actions and enhancements.
  11. Engage in Continuous Improvement: Foster a culture of continuous improvement within the audit management process. Encourage feedback from the audit client perspective and actively engage in discussions on how the audit program can evolve to better meet organizational needs.
  12. Ensure Alignment with Organizational Objectives: Confirm that the audit program remains aligned with organizational objectives and priorities. If there are shifts in strategy or new initiatives, work with the audit team to realign the program accordingly.
  13. Support Corrective Actions: Support the implementation of corrective actions resulting from audit findings. Work collaboratively to address identified issues, improve processes, and enhance overall organizational performance.
  14. Communication with Stakeholders: Communicate the outcomes of the audit program to relevant stakeholders. Transparency in reporting ensures that key insights are shared, and necessary actions are taken.

By actively engaging with the audit team and taking these proactive measures, the audit client contributes significantly to the success and impact of the audit program within the organization. Collaboration between the audit client and the audit team is essential for achieving the intended objectives and driving continuous improvement.

Audit programme objectives should be consistent with the audit client’s strategic direction and support management system policy and objectives. Aligning audit program objectives with the audit client’s strategic direction and supporting the management system policy and objectives is crucial for ensuring that the audits contribute meaningfully to the organization’s overall goals. Here’s why this alignment is important and how it can be achieved:

  1. Strategic Alignment: The audit program should be strategically aligned with the broader goals and direction of the audit client. This ensures that audit activities are focused on areas that are most critical to the organization’s success.
  2. Contribution to Strategic Objectives: The audit program objectives should directly contribute to achieving the strategic objectives of the audit client. This alignment ensures that audit findings and recommendations address key areas that impact the organization’s overall performance.
  3. Support for Management System Policy: The audit program objectives should be in harmony with the organization’s management system policy. This includes adherence to quality standards, environmental practices, safety protocols, or any other relevant policies that guide the organization’s operations.
  4. Integration with Objectives: Integrate the audit program objectives seamlessly with the broader management system objectives. This integration ensures a unified approach to achieving excellence in various aspects of the organization’s functions.
  5. Risk-Based Approach: Consider the organization’s strategic risks and opportunities when defining audit program objectives. This risk-based approach helps prioritize audits in areas where risks may have a significant impact on strategic goals.
  6. Continuous Improvement Alignment: Ensure that the audit program objectives support the organization’s commitment to continuous improvement. Audits should not only identify non-conformities but also highlight opportunities for enhancing processes and systems.
  7. Adaptability to Organizational Changes: Audit program objectives should be adaptable to changes in the organization’s strategic direction. As the organization evolves, the audit program should evolve as well to address new challenges and opportunities.
  8. Communication of Objectives: Clearly communicate the audit program objectives to all relevant stakeholders, including top management, audit teams, and other key personnel. This ensures a shared understanding of the goals and purpose of the audit program.
  9. Incorporate Organizational Values: Consider the organization’s values and principles when setting audit program objectives. This ensures that the audit process aligns with the ethical and cultural aspects of the organization.
  10. Feedback Mechanisms: Establish feedback mechanisms to gather insights from top management and other stakeholders on the relevance and effectiveness of the audit program objectives. Use this feedback to make adjustments as needed.
  11. Measurable Objectives: Ensure that audit program objectives are measurable. This allows for the assessment of progress and the demonstration of how audit activities contribute to achieving strategic and management system goals.
  12. Documentation and Reporting: Clearly document the alignment of audit program objectives with the organization’s strategic direction and management system policy. Include this information in audit reports to provide context for findings and recommendations.

By integrating the audit program objectives with the strategic direction and management system policies of the audit client, organizations can maximize the value of audits in driving continuous improvement and ensuring alignment with overall organizational objectives.

These objectives can be based on consideration of the needs and expectations of relevant interested parties, both external and internal. Considering the needs and expectations of relevant interested parties, both external and internal, is a fundamental aspect of establishing meaningful and effective audit program objectives. Here’s how the incorporation of stakeholder needs and expectations can enhance the overall alignment and success of the audit program:

  1. Identification of Interested Parties: Begin by identifying and understanding the various interested parties that have a stake in the organization’s performance. These parties can include customers, regulators, employees, suppliers, and other stakeholders.
  2. Stakeholder Needs and Expectations Analysis: Conduct a thorough analysis of the needs and expectations of identified interested parties. This involves gathering feedback, conducting surveys, and engaging in dialogue to understand what each stakeholder group considers important in terms of the organization’s performance.
  3. Integration into Audit Program Objectives: Integrate the identified needs and expectations of interested parties into the formulation of audit program objectives. This ensures that audits are designed to address areas that are of significance to key stakeholders.
  4. Relevance to Strategic Goals: Align the stakeholder needs and expectations with the organization’s strategic goals. This alignment ensures that the audit program contributes directly to meeting the overarching objectives of the organization.
  5. Incorporate Regulatory and Legal Requirements: Consider regulatory and legal requirements as part of the stakeholder needs and expectations. Ensure that the audit program objectives encompass compliance with relevant laws and regulations, addressing the concerns of external stakeholders.
  6. Enhanced Risk Identification: The consideration of stakeholder needs aids in identifying potential risks and opportunities for improvement. Audits can then be designed to assess and mitigate these risks, contributing to overall organizational resilience.
  7. Communication and Transparency: Clearly communicate to stakeholders how their needs and expectations are factored into the audit program objectives. Transparency builds trust and demonstrates the organization’s commitment to addressing stakeholder concerns.
  8. Continuous Feedback Mechanism: Establish a continuous feedback mechanism with stakeholders to stay informed about evolving needs and expectations. Periodically review and adjust audit program objectives based on the changing landscape of stakeholder requirements.
  9. Measurement of Stakeholder Satisfaction: Consider incorporating measures of stakeholder satisfaction and perception into the evaluation of audit program effectiveness. This provides a holistic view of how well the organization is meeting the expectations of its various stakeholders.
  10. Integration with Management System: Ensure that the audit program objectives, derived from stakeholder needs, are integrated seamlessly with the organization’s management system. This alignment contributes to a cohesive and integrated approach to performance improvement.
  11. Empowerment of Internal Stakeholders: Involve internal stakeholders, such as employees and management, in the audit program. Their insights and perspectives contribute to a more comprehensive understanding of organizational performance and improvement opportunities.
  12. Sustainability Considerations: If sustainability is a concern for stakeholders, incorporate relevant audit program objectives to assess and improve the organization’s environmental, social, and economic impacts.

By basing audit program objectives on the needs and expectations of relevant interested parties, organizations can ensure that audits are not only compliant and efficient but also strategic in addressing the broader concerns of those who have a vested interest in the organization’s success. This approach contributes to a more holistic and stakeholder-oriented audit program.

These objectives can be based on consideration of the characteristics of and requirements for processes, products, services and projects, and any changes to them. Considering the characteristics and requirements of processes, products, services, and projects, as well as any changes to them, is crucial for defining relevant and targeted audit program objectives. Here’s how this consideration enhances the effectiveness of audit program objectives:

Process Understanding and Improvement: Audit program objectives should address the characteristics and requirements of key processes within the organization. This includes understanding how processes are designed, executed, monitored, and improved.
Product and Service Quality:Consider the quality requirements of products and services provided by the organization. Audit program objectives should ensure that audits focus on areas critical to maintaining and enhancing the quality of deliverables.
Project Management Effectiveness: If the organization is engaged in projects, audit program objectives should reflect considerations related to project management. This includes evaluating project planning, execution, risk management, and adherence to project timelines.
Adaptation to Changes: Audit program objectives should be flexible and adaptive to changes in processes, products, services, and projects. This ensures that audits remain relevant in dynamic organizational environments.
Risk-Based Approach: Consider the risks associated with processes, products, services, and projects. Audit program objectives can prioritize areas with higher inherent risks, ensuring that audits provide insights into critical risk mitigation measures.
Compliance with Standards and Specifications: Ensure that audit program objectives encompass compliance with relevant standards, specifications, and requirements applicable to processes, products, services, and projects. This is particularly important in regulated industries.
Efficiency and Effectiveness: Audit program objectives should address the efficiency and effectiveness of processes. This includes assessing whether processes are streamlined, resource-efficient, and consistently delivering desired outcomes.
Change Management: If changes are implemented in processes, products, services, or projects, the audit program objectives should account for the effectiveness of change management processes. This ensures that changes are well-planned and smoothly executed.
Customer Satisfaction and Feedback: Consider customer satisfaction and feedback as part of the characteristics of products and services. Audit program objectives can include assessments of customer feedback mechanisms and actions taken to improve customer satisfaction.
Innovation and Improvement: Audit program objectives should encourage a focus on innovation and continuous improvement. This involves evaluating processes and practices for opportunities to introduce new ideas, technologies, or methodologies.
Integration with Quality Management Systems: Ensure that audit program objectives align with the principles of quality management systems, such as ISO 9001. This alignment contributes to the organization’s commitment to quality and customer satisfaction.
Life Cycle Considerations:Consider the life cycle stages of products, services, and projects. Audit program objectives should address different phases, from conceptualization and design to delivery, maintenance, and eventual decommissioning or conclusion.
Traceability and Accountability: Audit program objectives can emphasize traceability and accountability in processes, ensuring that actions and decisions are well-documented, and responsible parties are identified.
By incorporating these considerations into audit program objectives, organizations can ensure that audits are tailored to address the specific characteristics and requirements of their processes, products, services, and projects. This approach enhances the relevance and impact of audits in driving overall organizational performance and compliance.

These objectives can be based on consideration of the management system requirements. Considering the management system requirements is a fundamental aspect of defining relevant and effective audit program objectives. Here’s how aligning with management system requirements enhances the overall audit program:

  1. Adherence to Standards: Ensure that audit program objectives align with the specific requirements outlined in relevant management system standards. This alignment is crucial for demonstrating compliance and achieving certification in areas such as quality (e.g., ISO 9001), environmental management (e.g., ISO 14001), or information security (e.g., ISO 27001).
  2. Integration of Multiple Standards: If the organization adheres to multiple management system standards, audit program objectives should integrate requirements from each standard. This promotes an integrated management system approach, enhancing efficiency and effectiveness.
  3. Identification of Legal and Regulatory Compliance: Consider management system requirements related to legal and regulatory compliance. Audit program objectives should address how the organization ensures conformity with applicable laws, regulations, and other compliance obligations.
  4. Continuous Improvement: Management system standards often emphasize the importance of continuous improvement. Audit program objectives should reflect this by focusing on areas where improvements can be made in processes, procedures, and overall system effectiveness.
  5. Documentation and Record-Keeping: Audit program objectives can emphasize the documentation and record-keeping requirements outlined in management system standards. This ensures that the organization maintains accurate and complete records as required.
  6. Risk-Based Approach: Management system standards increasingly advocate for a risk-based approach. Audit program objectives can incorporate this approach by prioritizing audits in areas with higher inherent risks to the achievement of management system objectives.
  7. Top Management Commitment: Consider management system requirements related to top management commitment. Audit program objectives should assess the effectiveness of leadership in promoting a culture of quality, environmental responsibility, information security, or other relevant aspects.
  8. Resource Management: Management system standards typically address the effective use of resources. Audit program objectives should evaluate how resources are allocated, utilized, and monitored to support the organization’s management system objectives.
  9. Communication and Stakeholder Engagement: Audit program objectives can align with requirements related to communication and stakeholder engagement. This includes assessing how the organization communicates internally and externally about its management system performance.
  10. Emergency Preparedness and Response: If applicable, audit program objectives should address requirements related to emergency preparedness and response. This ensures that the organization is adequately prepared to handle emergencies and crises.
  11. Internal Audit Requirements: Management system standards often include requirements for internal audits. Audit program objectives should align with these requirements and assess the effectiveness of the organization’s internal audit process.
  12. Corrective and Preventive Action: Consider management system requirements related to corrective and preventive action. Audit program objectives should evaluate how the organization identifies, addresses, and prevents nonconformities.
  13. Performance Monitoring and Measurement: Audit program objectives can focus on the monitoring and measurement requirements of the management system standards. This includes assessing how the organization tracks performance indicators and key metrics.

By considering and aligning with management system requirements, audit program objectives ensure that audits are not only compliant but also contribute to the organization’s overall commitment to excellence, continual improvement, and the achievement of management system objectives.

These objectives can be based on consideration of the need for evaluation of external providers. Considering the need for the evaluation of external providers is an important aspect of defining comprehensive audit program objectives. When organizations engage with external providers (suppliers, vendors, contractors, etc.), the audit program can be designed to assess and ensure the effectiveness of these relationships. Here’s how incorporating this consideration can enhance audit program objectives:

Supplier Performance and Compliance: Audit program objectives can focus on evaluating the performance and compliance of external providers. This includes assessing whether suppliers meet contractual requirements, deliver products/services on time, and adhere to quality standards.
Risk Management in the Supply Chain: Consider the need to evaluate the risk associated with external providers. Audit program objectives can prioritize audits in areas where risks in the supply chain could impact the organization’s operations, quality, or reputation.
Compliance with Legal and Regulatory Requirements: Audit program objectives should address the compliance of external providers with relevant legal and regulatory requirements. This ensures that the organization’s supply chain remains in alignment with applicable laws and standards.
Communication and Information Flow: Assess the effectiveness of communication and information flow between the organization and external providers. Audit program objectives can include evaluations of how information is exchanged, documented, and managed.
Quality Assurance and Control: Evaluate the quality assurance and control measures implemented by external providers. Audit program objectives can focus on ensuring that suppliers have robust quality management systems in place.
Capacity and Capability of External Providers: Audit program objectives should consider the capacity and capability of external providers to meet the organization’s needs. This includes evaluating whether suppliers have the resources, skills, and infrastructure to fulfill contractual obligations.
Continuous Improvement in the Supply Chain: Encourage a focus on continuous improvement within the supply chain. Audit program objectives can assess whether external providers have mechanisms in place for identifying and implementing improvements in their processes.
Contractual and Performance Metrics: Align audit program objectives with contractual obligations and performance metrics outlined in agreements with external providers. This ensures that audits are targeted towards areas critical for maintaining a successful relationship.
Security and Confidentiality: Consider the need to evaluate the security and confidentiality measures of external providers, especially if they handle sensitive information. Audit program objectives can assess whether appropriate safeguards are in place.
Disaster Recovery and Business Continuity: Assess the disaster recovery and business continuity plans of key external providers. Audit program objectives can include evaluations of the preparedness of suppliers to handle disruptions and maintain continuity.
Supplier Audits and Qualification: Audit program objectives can involve conducting periodic audits of critical external providers to ensure ongoing compliance and qualification. This is particularly important for suppliers integral to the organization’s operations.
Alignment with Organizational Values: Ensure that external providers align with the organization’s values, ethics, and sustainability practices. Audit program objectives can assess whether suppliers share the same commitment to responsible business practices.
By incorporating the need for the evaluation of external providers into audit program objectives, organizations can strengthen their supply chain management, reduce risks, and enhance overall performance. This approach ensures that audits are not only focused on internal processes but also extend to critical external relationships that contribute to organizational success.

These objectives can be based on consideration of the auditee’s level of performance and level of maturity of the management system(s), as reflected in relevant performance indicators (e.g. KPIs), the occurrence of nonconformities or incidents or complaints from interested parties. Considering the auditee’s level of performance and the maturity of the management system(s) is crucial for designing meaningful and targeted audit program objectives. This approach ensures that audits are aligned with the organization’s current state, objectives, and areas requiring improvement. Here’s how this consideration enhances the effectiveness of audit program objectives:

  1. Performance Indicator Alignment: Audit program objectives should align with relevant performance indicators (e.g., Key Performance Indicators – KPIs) of the auditee. This ensures that audits focus on areas that directly impact the organization’s overall performance and strategic goals.
  2. Maturity Assessment: Consider the maturity of the auditee’s management system(s). Audit program objectives can be designed to assess the level of maturity in processes, policies, and practices, identifying areas for enhancement and optimization.
  3. Nonconformities and Incidents: Align audit program objectives with the occurrence of nonconformities and incidents within the auditee’s operations. This includes evaluating the effectiveness of corrective and preventive actions taken in response to previous nonconformities.
  4. Complaints from Interested Parties: Consider complaints from interested parties as an indicator of areas that may need attention. Audit program objectives can address specific concerns raised by customers, regulators, or other stakeholders, ensuring that audits are responsive to external feedback.
  5. Strategic Objectives and Goals: Audit program objectives should be aligned with the auditee’s strategic objectives and goals. This ensures that audits contribute directly to the achievement of broader organizational aspirations.
  6. Continuous Improvement Focus: Encourage a focus on continuous improvement within the auditee’s management system. Audit program objectives can assess the effectiveness of improvement initiatives and the organization’s commitment to learning from past experiences.
  7. Risk-Based Approach: Utilize a risk-based approach when defining audit program objectives. Prioritize audits in areas where risks may have a significant impact on performance and where opportunities for improvement exist.
  8. Benchmarking Against Standards: Benchmark the auditee’s performance against relevant standards and industry best practices. Audit program objectives can aim to assess conformity with these benchmarks, driving the organization toward excellence.
  9. Effectiveness of Monitoring and Measurement: Evaluate the effectiveness of the auditee’s monitoring and measurement processes. Audit program objectives can focus on ensuring that the organization’s data collection and analysis activities are robust and contribute to informed decision-making.
  10. Resource Management and Allocation: Assess how the auditee manages and allocates resources. Audit program objectives can target areas where resource optimization can enhance efficiency and contribute to improved performance.
  11. Customer Satisfaction and Feedback: Align audit program objectives with customer satisfaction indicators and feedback. This ensures that audits address areas impacting customer experience and that the organization is responsive to customer needs.
  12. Management System Maturity Levels: Consider the maturity levels of various aspects of the auditee’s management system, such as policies, procedures, training, and communication. Audit program objectives can be tailored to different maturity levels across the organization.

By considering the auditee’s level of performance, maturity of management systems, and relevant performance indicators, audit program objectives become strategic tools for driving improvement, ensuring compliance, and enhancing overall organizational effectiveness. This approach also facilitates a more targeted and tailored audit process that addresses the specific needs and challenges of the auditee.

These objectives can be based on consideration of the identified risks and opportunities to the auditee and the results of previous audits. Considering the identified risks and opportunities to the auditee, along with the results of previous audits, is a proactive and strategic approach to shaping audit program objectives. This consideration ensures that audits are aligned with the organization’s risk management processes and capitalize on opportunities for improvement. Here’s how this approach enhances the effectiveness of audit program objectives:

  1. Risk-Based Approach: Align audit program objectives with the identified risks to the auditee. Prioritize audits in areas where risks have been identified, ensuring that the organization’s risk management processes are effectively implemented.
  2. Opportunity Recognition: Consider opportunities for improvement within the auditee’s operations. Audit program objectives can be designed to identify and leverage opportunities that can enhance efficiency, innovation, and overall organizational performance.
  3. Continuous Improvement Focus: Encourage a focus on continuous improvement by aligning audit program objectives with the organization’s improvement initiatives. Assess the effectiveness of actions taken in response to previous audits and the commitment to learning from experiences.
  4. Integration with Risk Registers: Integrate audit program objectives with the organization’s risk registers. This ensures that audits are targeted toward areas with higher inherent risks and that the audit process contributes to risk mitigation.
  5. Adaptability to Changes: Ensure that audit program objectives are adaptable to changes in the risk landscape. As the organization’s context evolves, audit program objectives should be revised to address emerging risks and opportunities.
  6. Results of Previous Audits: Learn from the results of previous audits. Audit program objectives should consider findings, recommendations, and corrective actions from past audits, ensuring a systematic approach to addressing recurring issues and measuring progress.
  7. Benchmarking Against Best Practices: Benchmark the auditee’s performance against best practices in the industry. Audit program objectives can aim to assess conformity with these practices, providing insights into areas where the organization can excel.
  8. Strategic Risk Management: Consider audit program objectives as part of the organization’s strategic risk management. Assess how audits contribute to the overall risk management strategy and help the organization achieve its strategic objectives.
  9. Resource Allocation for Risk Mitigation: Align audit program objectives with resource allocation for risk mitigation. Ensure that audits focus on areas where resource optimization can effectively address identified risks and capitalize on opportunities.
  10. Innovation and Emerging Trends: Assess the auditee’s approach to innovation and the ability to adapt to emerging trends. Audit program objectives can include evaluations of the organization’s readiness to embrace new technologies, methodologies, or market changes.
  11. Alignment with Organizational Goals: Ensure that audit program objectives align with the auditee’s organizational goals. This ensures that audits contribute directly to the achievement of strategic objectives and support the organization’s overall mission.

By considering identified risks and opportunities, as well as leveraging insights from previous audits, audit program objectives become strategic tools for enhancing risk management, fostering continuous improvement, and contributing to the overall success of the organization. This approach ensures that audits are not only compliance-focused but also forward-looking, supporting the auditee in navigating challenges and seizing opportunities.

  1. Identify Opportunities for Improvement:
    • Objective: Assess the management system to identify areas where improvements can be made, leading to enhanced overall performance, efficiency, and effectiveness.
  2. Evaluate Capability to Determine Context:
    • Objective: Evaluate the auditee’s capability to determine its context, including understanding internal and external factors that may affect its ability to achieve intended outcomes.
  3. Evaluate Capability to Determine Risks and Opportunities:
    • Objective: Assess the auditee’s capability to identify and evaluate risks and opportunities, ensuring that effective actions are identified and implemented to address them.
  4. Conform to Relevant Requirements:
    • Objective: Verify compliance with all relevant requirements, such as statutory and regulatory obligations, compliance commitments, and requirements for certification to a specific management system standard.
  5. Obtain and Maintain Confidence in External Providers:
    • Objective: Evaluate and ensure confidence in the capability of external providers, verifying that they meet contractual requirements and contribute positively to the auditee’s operations.
  6. Determine Continuing Suitability, Adequacy, and Effectiveness:
    • Objective: Assess and verify the continuing suitability, adequacy, and effectiveness of the auditee’s management system in achieving its objectives and meeting relevant criteria.
  7. Evaluate Compatibility and Alignment of Objectives:
    • Objective: Examine the compatibility and alignment of the management system objectives with the strategic direction of the organization, ensuring coherence and congruence.

These examples cover various aspects of a management system and highlight the diverse objectives that can be incorporated into an audit program. By addressing these objectives, the audit process becomes a strategic tool for driving improvement, ensuring compliance, and supporting the overall success of the auditee’s organization. Additionally, these objectives are in line with principles such as continuous improvement, risk-based thinking, and alignment with organizational goals.

Published by Pretesh Biswas

Pretesh Biswas has wealth of qualifications and experience in providing results-oriented solutions for your system development, training or auditing needs. He has helped dozens of organizations in implementing effective management systems to a number of standards. He provide a unique blend of specialized knowledge, experience, tools and interactive skills to help you develop systems that not only get certified, but also contribute to the bottom line. He has taught literally hundreds of students over the past 5 years. He has experience in training at hundreds of organizations in several industry sectors. His training is unique in that which can be customized as to your management system and activities and deliver them at your facility. This greatly accelerates the learning curve and application of the knowledge acquired. He is now ex-Certification body lead auditor now working as consultancy auditor. He has performed hundreds of audits in several industry sectors. As consultancy auditor, he not just report findings, but provide value-added service in recommending appropriate solutions. Experience Consultancy: He has helped over 100 clients in a wide variety of industries achieve ISO 9001,14001,27001,20000, OHSAS 18001 and TS 16949 certification. Industries include automotive, metal stamping and screw machine, fabrication, machining, assembly, Forging electrostatic and chrome plating, heat-treating, coatings, glass, plastic and rubber products, electrical and electronic equipment, assemblies & components, batteries, computer hardware and software, printing, placement and Security help, warehousing and distribution, repair facilities, consumer credit counseling agencies, banks, call centers, etc. Training: He has delivered public and on-site quality management training to over 1000 students. Courses include ISO/TS -RAB approved Lead Auditor, Internal Auditing, Implementation, Documentation, as well as customized ISO/TS courses, PPAP, FMEA, APQP and Control Plans. Auditing: He has conducted over 100 third party registration and surveillance audits and dozens of gap, internal and pre-assessment audits to ISO/QS/TS Standards, in the manufacturing and service sectors. Other services: He has provided business planning, restructuring, asset management, systems and process streamlining services to a variety of manufacturing and service clients such as printing, plastics, automotive, transportation and custom brokerage, warehousing and distribution, electrical and electronics, trading, equipment leasing, etc. Education & professional certification: Pretesh Biswas has held IRCA certified Lead Auditor for ISO 9001,14001 and 27001. He holds a Bachelor of Engineering degree in Mechanical Engineering and is a MBA in Systems and Marketing. Prior to becoming a business consultant 6 years ago, he has worked in several portfolios such as Marketing, operations, production, Quality and customer care. He is also certified in Six Sigma Black belt .

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