ISO 19011:2018 Clause 5.6 Monitoring audit programme

ISO 19011:2018 13 Minutes

The individual(s) managing the audit programme should ensure the evaluation of:
a) whether schedules are being met and audit programme objectives are being achieved;
b) the performance of the audit team members including the audit team leader and the technical experts;
c) the ability of the audit teams to implement the audit plan;
d) feedback from audit clients, auditees, auditors, technical experts and other relevant parties;
e) sufficiency and adequacy of documented information in the whole audit process.
Some factors can indicate the need to modify the audit programme. These can include changes to:
— audit findings;
— demonstrated level of auditee’s management system effectiveness and maturity;
— effectiveness of the audit programme;
— audit scope or audit programme scope;
— the auditee’s management system;
— standards, and other requirements to which the organization is committed;
— external providers;
— identified conflicts of interest;
— the audit client’s requirements.

The individual(s) managing the audit programme should ensure the evaluation of whether schedules are being met and audit programme objectives are being achieved.Evaluating whether schedules are being met and audit program objectives are being achieved is crucial for the effective management of the audit program. Here are steps that individuals managing the audit program can take to assess and monitor the progress:

  1. Define Clear Objectives and Key Performance Indicators (KPIs): Clearly define the objectives of the audit program and establish key performance indicators that align with those objectives. This provides a basis for evaluation.
  2. Develop Detailed Audit Schedules: Create detailed schedules outlining the timing and sequence of audits. These schedules should align with the overall objectives of the audit program.
  3. Regularly Monitor Progress: Implement a system for regular monitoring of audit activities against the established schedules. This may involve periodic reviews, check-ins with audit teams, and assessments of completed audits.
  4. Use Milestones and Checkpoints: Break down the audit program into milestones and checkpoints. This allows for incremental assessments of progress and provides opportunities to address any issues that may arise during the audit process.
  5. Establish Reporting Mechanisms: Develop reporting mechanisms that capture key information related to schedules and objectives. Regular reports can provide insights into the status of ongoing audits, highlight any deviations from schedules, and indicate progress toward objectives.
  6. Collect and Analyze Data: Collect relevant data, such as completion rates, findings, and responses to corrective actions. Analyze this data to assess the overall performance of the audit program and identify trends or areas for improvement.
  7. Seek Feedback from Audit Teams: Engage with audit teams to gather feedback on the challenges and successes encountered during audits. This information can provide valuable insights into the effectiveness of the schedules and the achievement of objectives.
  8. Conduct Periodic Reviews: Schedule periodic reviews of the audit program to assess its overall effectiveness. These reviews should include an examination of whether schedules are being met and objectives are being achieved.
  9. Compare Actual vs. Planned Performance: Regularly compare actual performance against the planned schedules and objectives. Identify any gaps or discrepancies and take corrective actions as needed.
  10. Implement Continuous Improvement Practices: Foster a culture of continuous improvement by using lessons learned from each audit to refine future schedules and objectives. Encourage open communication and collaboration among audit team members.
  11. Address Nonconformities Promptly: If deviations from schedules or objectives are identified, address them promptly. Implement corrective actions and, if necessary, adjust future schedules to prevent recurring issues.
  12. Document and Report Findings: Document the findings of the evaluations and assessments. Report the results to relevant stakeholders, including senior management and those responsible for oversight.

By implementing these steps, individuals managing the audit program can proactively evaluate whether schedules are being met and audit program objectives are being achieved. This approach enables a dynamic and responsive management of the audit program, contributing to its overall success and effectiveness.

The individual(s) managing the audit programme should ensure the evaluation of the performance of the audit team members including the audit team leader and the technical experts. Evaluating the performance of audit team members, including the team leader and technical experts, is crucial for ensuring the effectiveness of the audit program. Here are steps that individuals managing the audit program can take to evaluate the performance of audit team members:

  1. Establish Clear Performance Criteria: Define clear and measurable performance criteria for audit team members. These criteria should align with the objectives of the audit program and the roles and responsibilities of each team member.
  2. Define Competency Requirements: Clearly outline the competencies and skills required for each role within the audit team. This may include technical expertise, communication skills, attention to detail, and adherence to ethical standards.
  3. Use Competency Frameworks: Implement competency frameworks or job profiles for different roles within the audit team. These frameworks can serve as a reference point for evaluating performance against established criteria.
  4. Regularly Assess Competence: Conduct regular assessments of the competence of audit team members. This can include evaluations of technical knowledge, problem-solving abilities, and communication skills.
  5. Utilize Feedback Mechanisms:Establish feedback mechanisms for team members to provide input on their own performance and that of their colleagues. This can include self-assessment and peer feedback.
  6. Review Audit Reports:Evaluate the quality of audit reports produced by team members. Assess the clarity, completeness, and accuracy of the reports in conveying audit findings and recommendations.
  7. Monitor Adherence to Standards:Ensure that audit team members adhere to relevant standards, policies, and procedures. Evaluate their ability to conduct audits in compliance with established guidelines.
  8. Assess Leadership Skills (for Team Leaders):If applicable, assess the leadership skills of team leaders. This includes their ability to effectively lead and coordinate the audit team, manage conflicts, and communicate with stakeholders.
  9. Evaluate Communication Skills:Assess the communication skills of team members, including their ability to effectively communicate with auditees, present findings, and document audit activities.
  10. Consider Problem-Solving Abilities:Evaluate the problem-solving abilities of team members. Assess their capacity to identify issues, analyze root causes, and propose appropriate corrective actions.
  11. Conduct Performance Reviews: Conduct formal performance reviews at regular intervals. Provide constructive feedback on strengths and areas for improvement. Establish action plans for professional development where needed.
  12. Encourage Professional Development:Support ongoing professional development for audit team members. This may involve providing training opportunities, mentorship, or access to relevant resources.
  13. Recognize and Reward Excellence:Acknowledge and reward outstanding performance. Recognition can motivate team members and foster a positive and collaborative audit team environment.
  14. Seek Input from Auditees:Solicit feedback from auditees regarding the conduct and professionalism of the audit team. This external perspective can provide valuable insights.
  15. Document Performance Evaluations:Document the results of performance evaluations. Maintain records of individual performance assessments, feedback, and development plans.

Regular performance evaluations contribute to the continuous improvement of the audit team and the overall effectiveness of the audit program. By implementing these steps, individuals managing the audit program can ensure that the audit team operates at a high level of competence and professionalism.

The individual(s) managing the audit programme should ensure the evaluation of the ability of the audit teams to implement the audit plan. Evaluating the ability of audit teams to implement the audit plan is crucial for ensuring the success and effectiveness of the audit program. Here are steps that individuals managing the audit program can take to evaluate the implementation of the audit plan by audit teams:

  1. Clearly Communicate Audit Objectives and Plan: Ensure that the audit objectives and plan are clearly communicated to the audit teams. This includes providing detailed instructions, expectations, and any specific criteria or standards to be followed.
  2. Provide Adequate Training and Resources: Ensure that audit team members are adequately trained and have access to the necessary resources to carry out their assigned tasks. This includes technical training, access to documentation, and any required tools.
  3. Conduct Pre-Audit Meetings:Hold pre-audit meetings to review the audit plan with the entire audit team. This provides an opportunity for clarifications, questions, and alignment of expectations.
  4. Assess Team Composition: Evaluate the composition of the audit team to ensure that it includes members with the appropriate skills and expertise to address the specific objectives outlined in the audit plan.
  5. Monitor Adherence to Schedule: Regularly monitor the progress of audit activities against the established schedule. Assess whether audit teams are adhering to the planned timelines and milestones.
  6. Check for Compliance with Procedures: Verify that audit teams are following established audit procedures and protocols. This includes adherence to documentation standards, communication protocols, and ethical guidelines.
  7. Evaluate Documentation Practices: Assess the quality and completeness of documentation produced by audit teams. This includes audit reports, evidence collection, and any other records required by the audit plan.
  8. Review Findings and Conclusions: Review the findings and conclusions reported by audit teams. Evaluate the accuracy, relevance, and significance of the identified issues and recommendations.
  9. Assess Communication with Auditees: Evaluate how well audit teams communicate with auditees. This includes assessing the clarity of communication, professionalism, and responsiveness to auditee inquiries.
  10. Conduct Mid-Audit Reviews: Conduct mid-audit reviews to assess progress and address any challenges faced by audit teams. This provides an opportunity for timely intervention if adjustments to the audit plan are needed.
  11. Seek Feedback from Team Members:Encourage feedback from audit team members regarding the feasibility and effectiveness of the audit plan. This feedback can help identify potential improvements for future audits.
  12. Facilitate Problem-Solving: Provide support and resources to address any challenges or roadblocks encountered by audit teams during the implementation of the audit plan. Facilitate problem-solving discussions as needed.
  13. Evaluate Adaptability: Assess the ability of audit teams to adapt to unforeseen circumstances or changes in the audit environment. This includes their responsiveness to emerging risks or issues.
  14. Document Lessons Learned: Document lessons learned from each audit. This information can be used for continuous improvement, refining future audit plans, and enhancing the overall effectiveness of the audit program.
  15. Conduct Post-Audit Reviews: After the completion of each audit, conduct post-audit reviews to assess overall performance. Analyze what worked well and identify areas for improvement in both the audit plan and its implementation.

By implementing these steps, individuals managing the audit program can effectively evaluate the ability of audit teams to implement the audit plan. This approach promotes continuous improvement, enhances the efficiency of audit processes, and contributes to the overall success of the audit program.

The individual(s) managing the audit programme should ensure the evaluation of feedback from audit clients, auditees, auditors, technical experts and other relevant parties. Evaluating feedback from various stakeholders, including audit clients, auditees, auditors, technical experts, and other relevant parties, is crucial for enhancing the effectiveness of the audit program. Here are steps that individuals managing the audit program can take to evaluate and make use of feedback:

  1. Establish Feedback Channels: Set up structured channels for receiving feedback from different stakeholders. This could include surveys, interviews, suggestion boxes, or regular meetings.
  2. Specify Feedback Criteria: Clearly define criteria for what constitutes valuable feedback. Identify key aspects such as communication effectiveness, professionalism, adherence to standards, and the overall audit experience.
  3. Utilize Surveys and Questionnaires: Develop surveys or questionnaires to gather quantitative and qualitative feedback. Ensure that questions are clear, specific, and designed to capture insights relevant to the audit program’s objectives.
  4. Conduct Stakeholder Interviews: Conduct one-on-one interviews with key stakeholders, including audit clients, auditees, auditors, and technical experts. Personal interviews can provide in-depth insights into their perspectives.
  5. Anonymous Feedback Mechanisms: Offer anonymous feedback mechanisms to encourage honest and open communication, particularly when dealing with sensitive issues or concerns.
  6. Regularly Review Customer Satisfaction: Implement regular reviews of customer satisfaction with the audit process. Assess satisfaction levels based on the feedback received from audit clients and other stakeholders.
  7. Monitor Adherence to Ethical Standards: Evaluate feedback regarding the ethical conduct of auditors and audit teams. This includes assessing the perception of fairness, impartiality, and confidentiality during the audit process.
  8. Analyze Technical Expertise: Assess feedback related to the technical expertise of the audit team. Evaluate whether technical experts provided valuable contributions and whether their knowledge was effectively utilized.
  9. Identify Improvement Opportunities: Analyze feedback to identify areas for improvement in the audit process. Look for recurring themes or patterns that indicate systematic issues that need attention.
  10. Address Concerns Promptly: Promptly address any concerns or issues raised in the feedback. This demonstrates a commitment to continuous improvement and responsiveness to stakeholder needs.
  11. Promote a Feedback Culture: Foster a culture that values and encourages feedback. Emphasize the importance of constructive criticism and suggestions for improvement from all stakeholders.
  12. Benchmark Performance: Benchmark audit program performance against industry standards or best practices. This can provide context for understanding the significance of feedback received.
  13. Engage in Continuous Improvement: Use feedback as a catalyst for continuous improvement. Implement changes to the audit program based on the lessons learned from stakeholder feedback.
  14. Document and Analyze Trends: Document feedback over time and analyze trends. This helps in identifying whether improvements made in response to earlier feedback have had a positive impact.
  15. Communicate Changes Made: Communicate to stakeholders the changes or improvements made as a result of their feedback. This demonstrates that their input is valued and has a real impact on the audit program.

By systematically collecting, analyzing, and acting upon feedback from various stakeholders, individuals managing the audit program can ensure that the program evolves to meet the needs and expectations of all parties involved. This iterative feedback loop is essential for fostering a culture of continual improvement within the audit program.

The individuals managing the audit programme should ensure the evaluation of sufficiency and adequacy of documented information in the whole audit process. Evaluating the sufficiency and adequacy of documented information throughout the audit process is crucial for maintaining the integrity and effectiveness of the audit program. Here are steps that individuals managing the audit program can take to assess the completeness and adequacy of documented information:

  1. Define Documentation Requirements: Clearly define the documentation requirements for each phase of the audit process. This includes planning, execution, reporting, and follow-up. Establish standards for the types of documents, formats, and level of detail expected.
  2. Review Audit Plans: Evaluate the completeness of audit plans. Ensure that they provide a clear roadmap for the entire audit process, including objectives, scope, criteria, resources, and the overall approach.
  3. Checklists and Templates: Provide audit teams with checklists and templates to facilitate consistent and thorough documentation. These tools can help ensure that critical information is not overlooked during the audit.
  4. Assess Objectivity and Impartiality: Evaluate whether documented information reflects the principles of objectivity and impartiality. Ensure that audit documentation is free from bias and accurately represents the findings and conclusions.
  5. Documented Evidence: Assess the sufficiency and reliability of documented evidence collected during the audit. Verify that evidence supports the audit findings and conclusions.
  6. Review Working Papers: Evaluate the working papers prepared by audit teams. These documents should provide a detailed record of audit procedures, evidence collected, and the reasoning behind conclusions.
  7. Documented Communication: Review documented communication between the audit team and auditees. Ensure that communications are clear, professional, and appropriately recorded.
  8. Check Nonconformity Reports: Examine nonconformity reports for completeness and accuracy. Ensure that they clearly document identified nonconformities, including the nature, location, criteria, and any supporting evidence.
  9. Verify Corrective Action Documentation: Assess the documentation related to corrective actions taken by auditees. Verify that corrective action plans are well-documented, addressing the root causes of nonconformities.
  10. Review Audit Reports: Evaluate the completeness and adequacy of audit reports. Verify that reports include all required elements, such as the scope of the audit, findings, conclusions, and recommendations.
  11. Cross-Reference Documents: Cross-reference different documents to ensure consistency and alignment. For example, verify that audit findings in the report correspond accurately to the evidence documented in working papers.
  12. Verify Compliance with Standards: Ensure that documented information complies with relevant standards, regulations, and organizational policies. This includes adherence to documentation requirements specified in ISO standards or industry-specific guidelines.
  13. Audit Program Reviews: Conduct periodic reviews of the entire audit program, focusing on the adequacy of documented information. Identify areas where improvements or enhancements are needed.
  14. Feedback from Stakeholders: Seek feedback from stakeholders, including auditees, audit team members, and external reviewers. Their perspectives can provide valuable insights into the sufficiency and adequacy of documented information.
  15. Continuous Improvement: Use the evaluation results to drive continuous improvement in documentation practices. Implement changes to templates, processes, or training based on lessons learned.

By systematically assessing the sufficiency and adequacy of documented information at various stages of the audit process, individuals managing the audit program can ensure that the program maintains high standards of quality, consistency, and reliability. This, in turn, contributes to the overall success and credibility of the audit program.

Some factors can indicate the need to modify the audit programme. Modifying the audit program in response to changes is a key aspect of maintaining its relevance and effectiveness. Here are considerations for modifying the audit program when there are changes to various aspects:

  1. Audit Findings:
    • Reason for Modification: Significant findings during an audit may necessitate adjustments to the audit program to address corrective actions, additional investigations, or follow-up activities.
    • Action: Modify the program to include any necessary follow-up audits or corrective actions based on the findings.
  2. Demonstrated Level of Auditee’s Management System Effectiveness and Maturity:
    • Reason for Modification: If there are significant changes in the effectiveness or maturity of the auditee’s management system, the audit program may need adjustments to reflect the new context.
    • Action: Reassess the audit objectives, criteria, and scope to align with the updated understanding of the auditee’s management system.
  3. Effectiveness of the Audit Programme:
    • Reason for Modification: Continuous improvement of the audit program requires periodic reviews and adjustments to enhance its efficiency and effectiveness.
    • Action: Regularly assess the performance of the audit program, gather feedback, and implement modifications for improvement.
  4. Audit Scope or Audit Programme Scope:
    • Reason for Modification: Changes in business processes, organizational structure, or external factors may necessitate adjustments to the audit scope.
    • Action: Modify the audit program to reflect changes in scope, ensuring that it remains aligned with organizational objectives and risks.
  5. The Auditee’s Management System:
    • Reason for Modification: Changes in the auditee’s management system, such as restructuring, acquisitions, or new processes, may require corresponding adjustments to the audit program.
    • Action: Review and modify the audit program to accommodate changes in the auditee’s management system.
  6. Standards and Other Requirements:
    • Reason for Modification: Updates to relevant standards or regulatory requirements may impact the audit program’s criteria and focus areas.
    • Action: Regularly review and update the audit program to align with changes in standards or other requirements.
  7. External Providers:
    • Reason for Modification: Changes in external providers, including suppliers or contractors, may impact the organization’s risk profile and require adjustments to the audit program.
    • Action: Modify the program to assess and address the impact of changes in external providers on the auditee’s management system.
  8. Identified Conflicts of Interest:
    • Reason for Modification: The identification of conflicts of interest may necessitate adjustments to ensure the objectivity and impartiality of the audit process.
    • Action: Modify the audit program to address and mitigate conflicts of interest, ensuring that audit integrity is maintained.
  9. The Audit Client’s Requirements:
    • Reason for Modification: Changes in the audit client’s requirements may impact the audit objectives, criteria, or reporting expectations.
    • Action: Communicate with the audit client to understand changes and modify the audit program accordingly.

Regularly reviewing and updating the audit program in response to these changes ensures that the audit process remains effective, relevant, and aligned with the organization’s evolving context and objectives. This adaptability is critical for the continued success of the audit program in contributing to organizational improvement and compliance.

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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