ISO 9001 Lead Auditor Training

4.3    Audit Program Responsibilities, Resources And Procedures

4.3.1 ISO 9001 Audit Program Responsibilities
The responsibilities for managing an audit program should be assigned to one or more individuals with a general understanding of audit principles, of the competence of auditors and the application of audit techniques. They should have management skills, as well as, technical and business understanding relevant to the activities to be audited.

ISO 9000 Auditor Training - Those assigned responsibility for managing the audit program should:
a) Establish the objectives and extent of the audit program
b) Establish the responsibilities and procedures, and ensure that resources are provided
c) Ensure the implementation of the audit program
d) Ensure the appropriate audit program records are maintained
e) Monitor, review and improve the audit program

4.3.2 ISO 9001 Audit Program Resources
Consider the following when identifying resources:
a) Financial resources necessary to develop, implement, manage and improve audit activities
b) Audit techniques
c) Processes to achieve and maintain the competence of auditors appropriate to the particular audit program objectives
d) The extent of the audit program
e) Traveling time, accommodation and other auditing needs

4.3.3 Audit Program Procedures
Audit program procedures should address:
a) Planning and scheduling audits
b) Assuring the competence of auditors and audit team leaders
c) Selecting appropriate audit teams and assigning their roles and responsibilities
d) Conducting audits
e) Conducting audit follow-ups, if necessary
f) Maintaining audit program records
g) Monitoring the performance and effectiveness of the audit program
h) Reporting to top management on the overall achievements of the audit program

ISO 9000 Training - For smaller organizations, the activities above can be addressed in a single procedure.

4.4 Audit Program Implementation
Implementation should address:
a) Communicating the audit program to relevant parties
b) Coordinating and scheduling audits and other activities to the audit program
c) Establishing and maintaining a process for the evaluation of auditors and their continual professional development
d) Ensuring the selection of audit teams
e) Providing necessary resources to the audit teams
f) Ensuring the conduct of audits according to the audit program
g) Ensuring the control of records of the audit activities
h) Ensuring review and approval of the audit records and their distribution to the audit client and other specified parties
i) Ensuring follow-up if applicable

4.5 Audit Program Records
Records should be maintained to demonstrate the implementation of the audit program and should include the following:
a) Records related to individual audits such as audit plans, audit and nonconformity reports, corrective and preventive action reports, and audit follow-up reports
b) Results of the audit program review
c) Records related to the audit personnel regarding:
o Auditor competence and performance evaluation
o Audit team selection
o Maintenance and improvement of competence

Records should be retained and suitably safeguarded.

4.6 Audit Program monitoring and reviewing
The implementation of the audit program should be monitored and at appropriate intervals, reviewed to assess whether its objectives have been met and to identify opportunities for improvement. The results should be reported to top management.
ISO 9000 Lead Auditor Training - Performance indicators should be used to monitor characteristics such as:
- Ability of the audit team to implement the audit plan
- Conformity with audit program and schedules
- Feedback from audit clients, auditees and auditors

The audit program 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
- Consistency in performance between audit teams in similar situations

Results of audit program reviews can lead to corrective and preventive actions and the improvement of the audit program.

ISO 9001 FAQ provides answers to commonly asked questions about the ISO 9000 family of quality management standards.