BS EN ISO,Guidelines for auditing management systems.You can download BS EN ISO pdf file for free here. Page 1 of 6 - มาตรฐาน ISO 19011 ภาษาไทย - posted in ระบบคุณภาพ: เอาบทความที่เรียบเรียงมาตรฐาน ISO 19011 ภาคภาษาไทย ทำไว้นานแล้ว ตั้งใจจะเอาไปลงในวารสาร แต่เปลี่ยนใจ เลย.
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5. Audit Program
5.1. Create your audit program (or programme).
• Establish a management system audit program.
• Use your audit program to evaluate the overall
effectiveness of your auditee’s management systems.
• Monitor and measure the implementation
of your management system audit program.
• Review your management system audit program
in order to identify possible improvements.
5.2. Set your program objectives.
• Ensure that audit program objectives are established.
• Make sure that your audit program objectives support
and are consistent with management system objectives.
• Consider all relevant information when you
establish your audit program objectives.
• Use program objectives to ensure that your audit
program is implemented and applied effectively.
• Use program objectives to direct audit planning.
• Use program objectives to direct audit activities.
5.3. Establish your audit program.
5.3.1. Perform audit program management tasks.
• Clarify the extent of your audit program.
• Define auditors’ roles and responsibilities.
• Develop procedures to manage audit program.
• Determine the resources that program needs.
• Implement and apply your audit program.
• Establish records for your audit program.
• Monitor your management system audit program.
• Review your management system audit program.
• Improve your management system audit program.
• Discuss your audit program with top management.
5.3.2. Clarify manager’s competence requirements.
• Make sure that your audit manager is competent.
• Make sure that audit manager has the competence
to manage the program efficiently and effectively.
• Make sure that your audit manager has the
appropriate specialized knowledge and skills.
• Ensure that audit manager continues to be competent.
• Ensure that audit manager continues to carry out
appropriate professional development activities.
5.3.3. Specify the extent of your audit program.
• Establish the extent of your management
system audit program (its focus and reach).
• Consider the nature of your audits.
• Consider the nature of your audit criteria.
• Consider the nature of the auditee organization.
• Consider the nature of the systems being audited.
• Consider the nature and results of previous reviews.
5.3.4. Consider potential audit program risks.
• Consider the risks that could potentially affect the
achievement of your audit program objectives.
• Identify and evaluate program planning risks.
• Identify and evaluate program resource risks.
• Identify and evaluate program staffing risks.
• Identify and evaluate program implementation risks.
• Identify and evaluate program record keeping risks.
• Identify and evaluate program monitoring risks.
• Identify and evaluate program review risks.
5.3.5. Develop procedures to manage program.
• Establish procedures to manage and control
your management system audit program.
• Use procedures to manage and control
your management system audit program.
5.3.6. Identify program resource requirements.
• Identify financial resource requirements.
• Identify methodological resource requirements.
• Identify technological resource requirements.
• Identify human resource requirements.
5.4. Implement your audit program.
5.4.1. Apply your unique audit program.
• Communicate and share pertinent information
about the audit program with all relevant parties.
• Define objectives for each individual audit.
• Coordinate and control program activities.
• Appoint competent audit team members.
• Provide needed resources to audit teams.
5.4.2. Define the focus of each individual audit.
• Define and document the objectives
that each individual audit should achieve.
• Define and document the scope of each audit.
• Define and document the criteria that
individual audits use to assess conformity.
5.4.3. Select methods for each individual audit.
• Select and determine the methods that
should be used to conduct audits.
• Make sure that all audit managers agree on audit
methods whenever two or more auditing organizations
need to conduct a joint audit of the same auditee.
5.4.4. Appoint personnel for each individual audit.
• Appoint audit team members for each separate audit.
• Appoint an audit team leader for each separate audit.
• Appoint technical experts for each separate audit.
5.4.5. Assign responsibility for individual audits.
• Assign responsibility for an individual
audit to a specific audit team leader.
• Give the audit team leader enough time to plan the
audit whenever audit assignments are allocated.
• Give the audit team leader the information that
he or she needs in order to carry out the audit.
5.4.6. Manage your audit program outcomes.
• Ensure that audit program outcomes
are managed efficiently and effectively.
• Ensure that audit findings are evaluated.
• Ensure that root cause analyses are reviewed.
• Ensure that remedial actions are reviewed.
• Ensure that audit reports are reviewed.
5.4.7. Establish and maintain audit records.
• Ensure that audit program records
are established and maintained.
• Ensure that a record of each individual
audit is established and maintained.
• Ensure that audit personnel records
are established and maintained.
5.5. Monitor and modify your program.
• Monitor the implementation of your program.
• Modify your audit program whenever
evidence indicates that change is required.
5.6. Review and improve your program.
• Review your management system audit program.
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• Summarize your results and report to top management.
• Improve your management system audit program.
This page contains additional information and links to other web sites that provide information helpful for management system auditing.
Introduction to ISO Auditing Standards
ISO 19011:2011, Guidelines for management systems auditing is an international consensus standard that provides general auditing guidelines on the following topics:
- Audit principles
- Managing an audit program
- Conducting audit activities
- Competence and evaluation of auditors
Go to the Introduction to ISO 19011 page for more information about this standard and to download the ENLAR White Paper, Introduction to ISO 19011, Guidelines for Auditing Management Systems.
Registrars, organizations that provide 3rd party certification to management system standards, are required to conform to ISO 17021. For more information on ISO 17021, click here.
Other Auditing Standards
There are also auditing standards and guidelines that have been developed by other organizations – for compliance audits, management system audits and financial audits.
The United States Government Accountability Office (GAO) has issued standards for auditing conducted by governmental auditors in the U.S. Although these standards primarily apply to financial audits, they also cover performance audits. They include a detailed discussion of auditor independence and avoiding conflict of interest when auditing. Click here to access these GAO audit standards.
Pre-Audit Preparation and Planning
Good preparation is important to the performance of an effective audit.
Most organizations use a variety of resources to assist their auditors with audit planning.
One of the documents commonly used by EHS auditors are audit checklists or protocols. Creating your own customized audit protocols is important to an effective audit program.
There are a variety of resources available for creating audit checklists / protocols. Some are free; others are expensive.
Checklists come in different lengths, formats and depths of coverage. Some are long and complex; others are short and simple.
Some of the companies offering audit checklists / protocols you can purchase include:
A word of caution – don’t rely solely on a generic checklist for your audits – you need to customize it to your own organization and audit program objectives. Checklists that are prepared by others should be used as a starting point for developing ones of your own. You MUST include audits of your organization’s “planned arrangements” and no generic checklist can provide that for you.
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Conducting an Internal Audit
The primary focus when an auditor is conducting an audit is the collection of audit evidence.
To download a copy of a handout that discusses Evidence-Based Auditing, click here.
Writing Audit Findings & Audit Reports
Writing good audit findings takes work. Using a template can help you write good findings.
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Most organizations use a standard audit report template.
For some internal audit programs, a separate formal audit report may not actually be developed. Instead audit findings are developed and entered into directly into the corrective action database for follow-up action.
Whatever the form your audit documentation takes, the following issues need to be addressed:
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- Confidentiality
- Information control and security
- Measuring and monitoring audit program effectiveness
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Last revised 9/2/2016