El programa de auditoría según la norma ISO 19011

Introduction and Apologies

The speaker greets the audience and apologizes for not being able to conduct the webinar last week due to illness.

• The speaker greets the audience from Spain and apologizes for any technical difficulties.

• Apologizes to those who were unable to attend the previous webinar due to his illness.

Importance of ISO 19011

The speaker discusses the importance of ISO 19011, an international standard for auditing management systems.

• ISO 19011 is a standard for auditing management systems.

• The speaker expresses excitement about discussing this topic through webinars.

• Previous webinars have covered various aspects of ISO 19011.

• This webinar focuses on the audit program within ISO 19011.

Background on ISO 19011 Webinars

The speaker provides background information on previous webinars conducted on ISO 19011.

• The Business School has been conducting webinars on ISO 19011 for over a year.

• Previous webinars covered topics such as introduction to audits, conducting audits, and responsibilities of participants in audits.

• A recent webinar focused on introducing audit exhibitions.

• These webinars aim to cater to both newcomers and experienced professionals in management systems and auditing.

Focus on Audit Program

The speaker explains that this webinar will focus specifically on the audit program within ISO 19011.

• Due to high interest in ISO 19011, more webinars are planned.

• Two main aspects of ISO 19011 are audit program management and conducting audits.

• Today's session will focus on audit program management.

• All content presented is part of a course on ISO 19011 offered by The Business School.

Changes in the New Version of ISO 19011

The speaker discusses how the management of an audit program has changed in the new version of ISO 19011.

• The management of an audit program is one of the significant changes in the new version.

• The previous version, released in 2012, had limited guidance on managing an audit program.

• Experts recommended expanding this section, leading to its inclusion in the 2018 version.

• The management of an audit program follows a cycle of plan-do-check-act.

Phases of Audit Program Management

The speaker explains the phases involved in managing an audit program within ISO 19011.

• Audit program management consists of three main phases: planning, implementation, and review/improvement.

• Planning phase includes establishing objectives, determining and evaluating risks and opportunities.

• Implementation phase involves executing the audit program.

• Review/improvement phase focuses on monitoring and improving the audit program.

Technical Nature of Today's Session

The speaker acknowledges that today's session is more technical and detailed compared to previous webinars.

• This session is intended for individuals familiar with ISO 19011 and its concepts.

• It will provide more detailed information based on feedback from previous sessions' participants.

• Participants are encouraged to ask questions during or after Angel's presentation.

Timestamps beyond this point were not provided.

Programa Auditoría - Overview

In this section, the speaker discusses the importance of a program audit within a management system. They explain that a program audit summarizes all the activities to be carried out in terms of auditing within an organization. The characteristics and variations of audit programs are also mentioned.

Characteristics of Audit Programs

• Audit programs can include audits for one or more standards.

• Audits can be conducted individually or in combination.

• Examples given include auditing ISO 9001 and ISO 14001 separately or combined.

• Audit programs can encompass various types of audits such as external, internal, supplier audits, etc.

• The complexity and extent of an audit program depend on factors like the size, nature, functionality, risks, and opportunities of the audited organization.

Designing an Audit Program

• Important decisions regarding the design of an audit program should be made by considering where crucial decisions are taken within the organization.

• For organizations with multiple locations or functions contracted externally, special attention should be given to planning and validating the audit program.

• The size and complexity of an organization influence the complexity and multisite aspects of the audit program.

• ISO 19011 emphasizes effective planning to understand the context of the audited organization.

Considerations for Audit Program Design

• An audit program should consider objectives, both internal and external issues affecting the audited organization, stakeholder expectations, security and confidentiality requirements.

• External factors like weather conditions or production peaks may impact when certain audits can be conducted effectively.

• Those responsible for managing the program must ensure integrity and avoid undue influence on audits.

• Adequate resources including competent auditors must be allocated to conduct successful audits using appropriate methods.

Information Included in an Audit Program

• An audit program should include information based on requirements from relevant standards as well as organizational considerations such as objectives, risks, opportunities, scope, calendar, audit types, criteria, methods, human resources, and necessary documented information.

• The program should be regularly monitored and evaluated to improve its effectiveness.

Priorities and Resources in Audit Programs

This section focuses on the priorities and allocation of resources in audit programs. The speaker emphasizes the importance of maintaining integrity, selecting competent auditors, and ensuring sufficient resources for successful audits.

Priorities in Audit Programs

• The integrity of auditors and those involved in designing the program is crucial.

• The primary objective should be continuous improvement rather than pursuing any other improper objectives.

• Allocation of resources is essential for a well-executed audit program.

• Adequate human, financial, and material resources are necessary to conduct audits effectively.

• Competent auditors should be selected based on their qualifications and expertise.

Methods and Risks in Audit Programs

• Different methods of auditing should be considered when designing an audit program.

• Understanding high risks areas and low-performance levels is important for evaluating an audit program's effectiveness.

Documentation and Monitoring of Audit Programs

This section highlights the importance of documentation and monitoring in audit programs. It emphasizes the need to plan, communicate, implement, monitor, evaluate, and improve the program.

Documentation Requirements

• An audit program must include relevant information as required by standards but can also include additional information deemed appropriate by the organization.

• Key elements to consider for documentation include objectives coverage, risks/opportunities management plans, scope (countries/centers), calendar duration (start/end dates), types of audits (internal/external/supplier), criteria used for evaluation or assessment methods employed during audits.

Monitoring an Audit Program

• An audit program should not only be planned but also monitored throughout its implementation.

• Monitoring helps identify any issues or deviations from the planned activities.

• By monitoring, improvements can be made to the program based on feedback and lessons learned.

[t=0:11:28] Conclusion

In conclusion, an audit program is a crucial document within a management system that outlines the activities to be conducted for auditing purposes. The design of an audit program should consider various factors such as the size, nature, risks, and opportunities of the audited organization. Priorities should focus on integrity, resource allocation, competent auditors, and continuous improvement. Documentation and monitoring play vital roles in ensuring the effectiveness of an audit program.

Objectives of the Program

The objectives of the program are established to guide and carry out the planning. The program's objectives should be consistent with the client's strategic direction. It is important to consider factors such as stakeholder expectations, characteristics, requirements, and management system standards.

Key Points:

• Objectives of the program must align with the client's strategic direction.

• Consider stakeholder expectations, characteristics, requirements, and management system standards when setting objectives.

Importance of Stakeholder Expectations

It is crucial to take into account the expectations of stakeholders when defining program objectives. Different norms have specific requirements related to quality, environment, and health and safety.

Key Points:

• Stakeholder expectations play a significant role in defining program objectives.

• Quality, environment, and health and safety are three important components addressed by ISO 9001, ISO 14001, and OHSAS 18001/ISO 45001 standards.

• Other reference norms include ISO 50001 for energy management or ISO 27001 for information security.

Examples of Program Audit Objectives

Defining clear program audit objectives is essential for effective planning. These objectives help determine areas for improvement in management processes and performance.

Key Points:

• Examples of program audit objectives include identifying opportunities for improvement in management and performance evaluation.

• Assessing auditee capabilities in determining context and risk is another objective.

• Program audit objectives provide direction for planning activities.

Risk Evaluation in Program Audits

Evaluating risks and opportunities associated with a program audit is crucial. This aspect was not adequately addressed in previous versions of the standard but is now well-defined in the new version.

Key Points:

• Risks and opportunities are inherent in program audits.

• The responsible individuals should identify and communicate risks and opportunities to the audit client.

• Risks can be associated with various aspects, such as planning, resource selection, communication, and implementation.

Risks Associated with Program Audits

There are several risks that need to be considered when conducting program audits. These risks can be related to resource availability, coordination, communication, and documentation.

Key Points:

• Risks associated with program audits include inadequate resources for mitigation or elimination of identified risks.

• Planning-related risks may arise from setting objectives or determining the scope, duration, locations, and schedule of audits.

• Communication and coordination risks can occur if there is a lack of alignment between auditors and auditees.

Importance of Competence in Audit Team Selection

Selecting an audit team with appropriate competence is crucial for successful program audits. Inadequate competence can lead to ineffective auditing or inability to meet specific requirements.

Key Points:

• Competence plays a vital role in ensuring effective program audits.

• It is essential to select auditors who possess the necessary skills and knowledge for auditing specific management system standards.

• Lack of competence can result in subpar audit outcomes.

Coordinating Audit Timing with Local Factors

Coordinating audit timing with local factors is important for efficient program audits. Consideration should be given to factors such as local customs, holidays, climate conditions, etc., which may impact the audit process.

Key Points:

• Effective coordination ensures that audit timing aligns with local factors.

• Factors such as local holidays, climate conditions, or cultural practices should be taken into account.

• Poor coordination can lead to challenges during the audit process.

Importance of Documented Information in Audits

Having appropriate and up-to-date documented information is crucial for conducting effective audits. The availability and cooperation of auditees in providing necessary information are essential for successful audits.

Key Points:

• Documented information must be appropriate and up-to-date for audits.

• Auditors rely on the availability and cooperation of auditees to obtain necessary information.

• Inadequate or outdated documented information can hinder the audit process.

The transcript provided is a mix of English and Spanish. I have translated the relevant sections into English while maintaining the structure and content as accurately as possible.

Risks and Opportunities in Audit Program Planning

In this section, the speaker discusses the risks and opportunities involved in planning an audit program.

Identifying Opportunities to Minimize Time and Distance

• It is important to find ways for auditors to efficiently travel to the audit site.

• By minimizing time and distance, auditors can maximize their productivity during the audit.

Aligning Competence with Convenience

• Auditors should have the necessary competence level for the audit team.

• If an auditor lacks certain skills or knowledge, it presents an opportunity for them to complement their expertise through collaboration or training.

Ensuring Availability of Key Personnel

• It is crucial to align the dates of the audit with the availability of key personnel.

• Audits should not be conducted if essential individuals are unavailable, as it may require rescheduling and additional costs.

Overview of Audit Program Design

The speaker provides an overview of designing an audit program according to ISO standards.

Understanding Audit Program Requirements

• The design phase involves creating a comprehensive plan for conducting audits.

• The program outlines how audits will be deployed over a specific timeframe.

Roles and Responsibilities in Audit Program Design

This section focuses on defining roles and responsibilities within an audit program design.

Differentiating Roles and Responsibilities

• Roles and responsibilities within an audit program design are distinct from those during actual audits.

• For example, roles within a program design refer to individuals responsible for creating the program itself, while roles during audits involve auditors and auditees.

Establishing Program Extension and Scope

• The extension of the audit program needs to be determined, including which areas will be audited and until when.

• Internal and external factors, as well as risks and opportunities, should be considered when defining the program's scope.

Selecting Competent Audit Teams

• The selection of competent auditors is crucial for the success of the audit program.

• Factors such as availability, language proficiency, and competence should be taken into account when assembling audit teams.

Coordinating Resources and Communication

This section discusses the coordination of resources and communication within an audit program design.

Coordinating Audit Teams

• In larger organizations, it is essential to appoint a coordinator for the audit program.

• A coordinator ensures effective communication and coordination among multiple locations or departments involved in the audit program.

Establishing Objectives, Criteria, and Evaluation Methods

• Clear objectives need to be defined for the audit program.

• The criteria for evaluation and assessment methods should also be established.

Managing Communication Processes

• Effective internal and external communication processes are vital during an audit program.

• Results of audits need to be communicated internally within the organization as well as externally to relevant stakeholders.

Provision of Resources in Audit Program Design

This section emphasizes the importance of ensuring adequate resources for an audit program design.

Determining Resource Provision

• Adequate provision of resources is crucial for a successful audit program.

• This includes allocating personnel who will serve as auditors or auditees during the audits.

Addressing Conflict Resolution

• Conflict resolution strategies should be established in case conflicts arise during audits.

• It is important to address any issues promptly and professionally to maintain a smooth auditing process.

Monitoring Audits and Reporting

• Proper monitoring of audits is necessary to track progress and ensure compliance with standards.

• The responsible person or team needs to report on non-conformities and observations that arise during the audits.

By following these guidelines, an effective audit program can be designed and implemented, ensuring a thorough and successful auditing process.

[t=0:23:59] Planning the Audit Program

This section discusses the importance of planning the audit program and the key considerations involved.

Competence and Knowledge of Audit Managers

• Audit managers responsible for the program should have the necessary competence and knowledge in auditing principles, methods, and relevant management systems.

• They should also be familiar with applicable laws, regulations, and contextual factors that may impact the audit.

Continuous Development of Auditors

• It is crucial to ensure that auditors participating in the program undergo continuous development to stay updated on new standards or methodologies.

• This includes attending training courses or acquiring knowledge related to auditing techniques.

Considerations for Designing the Audit Program

• The design of the audit program should include a risk assessment to identify potential risks and determine appropriate methodologies for managing projects and information technologies.

• Language considerations are important when conducting audits in different countries or regions.

Understanding Contextual Factors

• The audit program should take into account information provided by the auditee regarding their context, such as legal requirements or specific site conditions.

• The extent of the audit program may vary depending on factors like company size, multiple locations, or subcontracted entities.

[t=0:28:11] Implementation of the Audit Program

This section focuses on implementing the audit program after planning has been completed.

Communication of Audit Program

• The audit program needs to be effectively communicated to relevant parties. This can be done through meetings, video conferences, emails, or notices on bulletin boards.

• Objectives, scope for each individual audit, coordination methods, designated contact persons, and auditor competency should be clearly defined during this communication process.

Resource Allocation

• Adequate resources must be allocated both individually and globally to carry out audits according to the defined program.

• Compliance with the audit program is essential while ensuring any arising issues are promptly addressed.

Operational Controls and Documentation

• Necessary operational controls should be in place to ensure the smooth execution of audits.

• Access to required documentation, including system requirements, legal regulations, and organizational information, must be readily available for auditors.

Review and Compliance

• The audit program should be periodically reviewed to ensure its effectiveness and compliance with objectives.

• Each individual audit should align with the established objectives and follow the defined program.

Conclusion

The transcript discusses the importance of planning and implementing an audit program. Key considerations include the competence of audit managers, continuous development of auditors, contextual factors, effective communication of the program, resource allocation, operational controls, documentation access, review processes, and compliance with objectives. Planning ensures that audits are conducted efficiently while implementation focuses on executing the defined program accurately.

Plan of Audit and Audit Program

This section discusses the importance of the audit plan and program in conducting effective audits. It covers topics such as evaluating the adequacy of the management system, identifying opportunities for improvement, and coordinating multiple auditors.

Importance of the Audit Plan

• The audit plan is a document that outlines the objectives and scope of an audit.

• It ensures that audits are conducted in accordance with relevant standards and reference norms.

• The plan evaluates the adequacy of the management system and identifies areas for improvement.

Considerations in Audit Program

• Audits may include multiple norms or specific legal requirements focused on particular countries.

• Availability of appropriate personnel is crucial during audits, especially for first-time audits.

• Different methods, such as checklists or a combination of online and onsite assessments, can be used during audits.

Team Composition

• When there are multiple auditors, it is important to have a team leader who coordinates the audit process.

• Competencies of each auditor should be considered when selecting team members.

• The size and composition of the audit team depend on factors like complexity and scope.

Methods and Principles

• Auditors should use appropriate methods to ensure objectivity, impartiality, and effectiveness.

• Conflict of interest should be avoided to maintain integrity in auditing processes.

• Effective communication between auditors, auditees, and stakeholders is essential.

Creating a Supportive Environment

• A positive working relationship between auditors and auditees enhances the audit process.

• Understanding internal and external factors helps create a favorable climate for successful audits.

• Building trust with auditees reduces anxiety associated with audits.

Role of Team Leader

• The team leader resolves conflicts within the team if they arise during an audit.

• Responsibilities are assigned by the team leader to each auditor based on their competencies.

Team Auditor and Implementation Phase

This section focuses on the team auditor's role and responsibilities during the implementation phase of the audit program. It also highlights the importance of monitoring and follow-up activities.

Team Auditor's Role

• In a team audit, there is a designated team leader who coordinates and supervises the audit.

• The team leader ensures that all aspects of the audit are conducted properly.

• Competencies of each auditor are considered when assigning tasks and responsibilities.

Monitoring the Audit Program

• The implementation phase involves monitoring whether the audit program is being followed as planned.

• Compliance with schedules, objectives, and performance of auditors are assessed during this phase.

Distribution of Reports

• Reports generated during audits should be distributed appropriately to relevant parties.

• Both digital and physical signatures may be required for report approval.

• Records such as audit plans, findings, non-conformities, corrective actions, and follow-up reports should be maintained.

Follow-Up Activities

• Follow-up activities involve tracking progress on corrective actions derived from previous audits.

• Competency development plans for auditors should be established to improve their skills.

Monitoring and Follow-Up

This section discusses monitoring and follow-up activities in detail. It emphasizes evaluating compliance with audit calendars, objectives, performance criteria, and maintaining records for future reference.

Monitoring Compliance

• During monitoring activities, it is important to ensure that audit calendars are adhered to.

• Compliance with set objectives and performance criteria should be evaluated.

Follow-Up Process

• The follow-up process involves tracking progress on corrective actions resulting from previous audits.

• Records such as audit plans, reports, non-conformities, corrective actions should be available for reference.

Distribution of Reports

• Proper distribution of reports is essential to ensure that relevant parties receive necessary information.

• Digital or physical signatures may be required for report approval.

Competency Development

• Competency development plans should be established to enhance the skills of auditors.

• Continuous improvement in auditor competencies is crucial for effective audits.

Conclusion and Auditor's Role

This section concludes the discussion on audit programs and highlights the importance of creating a supportive environment. It emphasizes the role of auditors in conducting successful audits.

Creating a Supportive Environment

• A positive and supportive environment is essential for successful audits.

• Understanding social, cultural, and language factors contributes to effective communication with auditees.

Auditor's Role

• Auditors play a critical role in building trust and credibility during audits.

• The auditor's competence and ability to interact effectively with auditees are key factors for successful audits.

Importance of Auditor Competence

• Auditors' competence should be demonstrated through relevant certifications or qualifications.

• Regular competency assessments help identify areas for improvement.

Summary

This section summarizes the main points discussed throughout the transcript, highlighting the significance of audit planning, team coordination, monitoring, follow-up activities, and auditor competence in conducting effective audits. It emphasizes the need for a supportive environment to ensure successful audit outcomes.

Conducting Follow-up Audits

This section discusses the importance of conducting follow-up audits to ensure that the planned actions have been implemented correctly. It also highlights factors that may necessitate modifications to the audit program.

Importance of Follow-up Audits

• Follow-up audits are crucial to verify the correct implementation of planned actions.

• Often, planned actions are not fully implemented, making follow-up audits necessary.

• The frequency and adequacy of follow-up audits depend on various factors, such as significant findings in previous audits or the demonstrated effectiveness of the system.

Objectives of Follow-up Audits

• Evaluate if objectives set in the audit program have been achieved.

• Identify lessons learned from previous audits and use them to improve future processes.

• Assess the level of implementation and identify areas for improvement.

• Recommend changes for the next audit cycle based on identified risks and opportunities.

Ensuring Continuous Improvement

• Reviewing the degree of implementation and identifying areas that require improvement.

• Evaluating how well corrective actions have addressed identified opportunities.

• Considering internal and external pressures that may impact the effectiveness of the audit program.

• Ensuring confidentiality and security of information generated during the audit program.

Sample Audit Program Structure

This section provides an example structure for an audit program, outlining its objectives, procedures, auditable processes, criteria, resources required, and auditor team composition.

Components of an Audit Program

1. Objectives: Clearly define what is to be achieved through auditing.

2. Procedures: Specify how audits will be conducted and documented.

3. Auditable Processes: Identify which processes within an organization will be audited.

4. Criteria: Determine which standards or regulations will be used as reference points for evaluation.

5. Resources: Allocate necessary resources such as time, personnel, tools, etc., for conducting audits.

6. Auditor Team: Define the composition of the audit team, including their roles and responsibilities.

Importance of Program Quality

• The quality of an audit program is crucial to ensure effective auditing.

• It should be reviewed and evaluated regularly to maintain its effectiveness.

• Feedback from the audit program should be used to improve future audits.

Oversight of Certification Bodies

This section addresses questions related to certification bodies offering both auditing services and training/consulting services to their clients. It also discusses the role of authorities in monitoring conflicts of interest.

Certification Bodies Offering Training/Consulting Services

• Some certification bodies offer training and consulting services to their certified clients.

• This practice aims to ensure that certified entities receive high-quality services and maintain compliance.

• However, it raises concerns about potential conflicts of interest.

Role of Authorities in Monitoring Conflicts

• Each country typically has a governmental organization responsible for accrediting certification bodies.

• These organizations conduct audits and verifications to ensure proper functioning and address conflicts of interest.

• If conflicts are detected, accreditation may be revoked as a consequence.

Auditing Programs by Third-party Certification Bodies

This section addresses whether third-party certification bodies can provide auditing programs exclusively or if they should also offer training/consulting services.

Exclusive Auditing Programs by Certification Bodies

• Third-party certification bodies can focus solely on providing auditing programs without offering training or consulting services.

• This approach ensures impartiality and avoids potential conflicts of interest.

Conclusion

The transcript covers important aspects related to follow-up audits, sample audit program structures, oversight of certification bodies, and exclusive auditing programs. Conducting follow-up audits is essential for verifying the correct implementation of planned actions. The structure provided for an audit program outlines key components such as objectives, procedures, auditable processes, criteria, resources, and auditor team composition. The oversight of certification bodies is crucial to monitor conflicts of interest, and exclusive auditing programs by certification bodies can ensure impartiality.

The Importance of Feedback and Evaluation

Oscar Alva asks about the importance of receiving evaluations from those being audited. It is essential to receive feedback, both positive and constructive, to improve performance and ensure effective auditing.

Evaluations from Audit Participants

• Receiving evaluations from audit participants is necessary and fundamental.

• Feedback helps identify areas of improvement and ensures that audits are conducted effectively.

• It is valuable for auditors to receive positive feedback on their performance.

Internal Audits by Certification Bodies

Gladys asks if certification bodies can conduct internal audits.

Internal Audits by Certification Bodies

• Certification bodies should not conduct internal audits as it would create a conflict of interest.

• However, a different certification body can perform the internal audit while another conducts the certification process.

Combined Audits vs. Integrated Audits

Andrés Fonseca inquires about the difference between combined audits and integrated audits.

Combined Audits vs. Integrated Audits

• Combined audits involve auditing multiple departments or areas within a specific location simultaneously.

• Integrated audits encompass all management system topics across various locations or departments.

Benefits of Combined Audits

Andrés Fonseca seeks more information on combined audits.

Benefits of Combined Audits

• Combined audits allow for efficient use of auditor time by covering multiple departments or areas during one visit.

• They provide an opportunity to assess different aspects within an organization's operations, such as production zones or departments.

Continuous Improvement Cycle and Risk Identification

Víctor Hugo asks about the continuous improvement cycle and risk identification.

Continuous Improvement Cycle

• The continuous improvement cycle is implicit in the standard, requiring a commitment from top management.

• Regular internal and external audits are necessary to maintain a certified management system.

Risk Identification

• Risks can be identified at different stages of the audit process, such as during resource planning.

• Reprogramming may be necessary if non-conformities are identified or if implementation is not progressing as expected.

Documentation Requirements and Communication of Audit Results

Percy Fernández asks about documentation requirements and communication of audit results.

Documentation Requirements

• The specific documentation requirements depend on the audited standard and its associated legal requirements.

• Local records should cover all aspects mentioned in each workplace.

Communication of Audit Results

• Audit results should be communicated to relevant levels within the organization, including top management.

• It is not recommended to publish audit results externally or to all employees unless necessary for improvement initiatives.

Storage Duration of Audit Results

Percy Fernández asks about the storage duration of audit results.

Storage Duration of Audit Results

• Certification bodies typically require a minimum storage duration of three years for audit records.

• Electronic formats are recommended over paper-based storage methods.

Establishing an Audit Cycle

Mariana Valverde inquires about establishing an audit cycle.

Establishing an Audit Cycle

• There is no specific calculation method for establishing an audit cycle.

• A graphical representation can be used to track progress within the program by conducting a certain percentage of audits at regular intervals.

Use of Declarations as Evidence

Mariana Valverde asks about the use of declarations as evidence during audits.

Use of Declarations as Evidence

• Declarations from auditees can be considered as evidence, but they should be corroborated with supporting documentation.

• Verbal statements should be verified through written reports or other forms of evidence.

The transcript provided does not cover the entire video.