AUDIT GUIDE 04: MANAGING AN AUDIT PROGRAM
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Managing an audit program is a critical part of maintaining an effective management system. A structured audit programme helps organisations plan audits efficiently, focus on key risks, and ensure consistent evaluation of processes, performance, and compliance over time. When managed correctly, audit programmes support continual improvement and informed decision-making. Check out our blog on Auditing Principles.
Table of Contents
Overview of the Audit Program
An audit program may include one or more audits, depending upon the size, nature and complexity of the organization to be audited. These audits may have a variety of objectives and may also include joint or combined audits.
An audit program also includes all activities necessary for planning and organising the types and number of audits, and for providing resources to conduct them effectively and efficiently within the specified time frames. You can also read our guide on Planning an Audit.
The extent of an audit program should be based on the size and nature of the organization being audited, as well as on the nature, functionality, complexity and the level of maturity of the management system to be audited.
Risk-Based Auditing
Priority should be given to allocating the audit programme resources to audit those matters of significance within the management system. These may include:
- Key characteristics of product quality or business processes and activities
- Hazards related to health and safety
- Significant environmental aspects and their control
This concept is commonly known as risk-based auditing for reaching reliable and reproducible audit conclusions in a systematic audit process.
An organisation may establish more than one audit programme. The organisation’s top management should grant the authority for managing the audit programme.
Those assigned the responsibility for managing the audit programme should:
- Establish, implement, monitor, review and improve the audit programme
- Identify the necessary resources and ensure they are provided
Establishing the Audit Program Objectives
The top management should ensure that the audit programme objectives are established to direct the planning and conduct of audits and should ensure the audit programme is implemented effectively.
Audit programme objectives should be consistent with and support management system policy and objectives.
Examples of audit programme objectives include the following:
- To contribute to the improvement of a management system and its performance
- To fulfil external requirements, e.g. certification to a management system standard
- To verify conformity with contractual requirements
- To obtain and maintain confidence in the capability of a supplier
- To determine the effectiveness of the management system
- To evaluate the compatibility and alignment of the management system objectives with the management system policy and the overall organizational objectives
Establishing the Extent of the Audit Program
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The person managing the audit program should determine the extent of the audit program, which can vary depending on the size and nature of the auditee, as well as on the nature, functionality, complexity and the level of maturity of, and matters of significance to, the management system to be audited.
Other factors impacting the extent of an audit program include the following:
- The objective, scope and duration of each audit and the number of audits to be conducted, including audit follow up, if applicable
- The number, importance, complexity, similarity and locations of the activities to be audited
- Those factors influencing the effectiveness of the management system
- Applicable audit criteria, such as planned arrangements for the relevant management standards, legal and contractual requirements and other requirements to which the organization is committed
- Conclusions of previous internal or external audits
- Results of a previous audit programme review
- Language, cultural and social issues
- The concerns of interested parties, such as customer complaints or non-compliance with legal requirements
- Significant changes to the auditee or its operations
- Availability of information and communication technologies to support audit activities, in particular the use of remote audit methods
- The occurrence of internal and external events, such as product failures, information security leaks, health and safety incidents, criminal acts or environmental incidents
Identifying and Evaluating Audit Program Risks
There are many different risks associated with establishing, implementing monitoring, reviewing and improving an audit programme that may affect the achievement of its objectives. The person managing the programme should consider these risks in its development.
These risks may be associated with the following:
- Planning, eg. failure to set relevant audit objectives and determine the extent of the audit programme
- Resources, e.g. allowing insufficient time for developing the audit programme or conducting an audit
- Selection of the audit team, e.g. the team does not have the collective competence to conduct audits effectively
- Implementation, eg. ineffective communication of the audit programme
- Records and their controls, eg. failure to adequately protect audit records to demonstrate audit programme effectiveness
- Monitoring, reviewing and improving the audit program, eg. ineffective monitoring of audit program
Defining the Objectives, Scope and Criteria for an Individual Audit
- Determination of the extent of conformity of the management system to be audited, or parts of it, with audit criteria
- Determination of the extent of conformity of activities, processes and products with the requirements and procedures of the management system
- Evaluation of the capability of the management system to ensure compliance with legal and contractual requirements and other requirements to which the organization is committed
- Evaluation of the effectiveness of the management system in meeting its specified objectives
- Identification of areas for potential improvement of the management system
- Each individual audit should be based on documented audit objectives, scope and criteria. These should be defined by the person managing the audit program and be consistent with the overall audit program objectives.
The audit objectives define what is to be accomplished by the individual audit and may include the following:
The audit scope should be consistent with the audit program and audit objectives.
It includes such factors as physical locations, organizational units, activities and processes to be audited, as well as the time period covered by the audit.
When two or more management systems of different disciplines are audited together (a combined audit), it is important that the audit objectives, scope and criteria are consistent with the objectives of the relevant audit programs.
Conclusion
An effectively managed audit program provides a structured framework for evaluating management systems, identifying risks, and driving continual improvement. Popularcert supports organizations in planning, managing, and improving audit programmes aligned with international standards. Our structured approach helps ensure audits are effective, risk-focused, and value-adding.
Contact Popularcert to know more about our audit program support services.
FAQ
What is an audit programme?
An audit program is a planned set of audits designed to evaluate management systems over a defined period.
Why is risk-based auditing important?
It helps focus audit resources on areas that are most significant to performance, compliance, and risk.
Who is responsible for managing the audit program?
Top management authorizes the program, while designated personnel manage its planning and implementation.
Can an audit programme include more than one audit?
Yes, an audit program may include multiple audits depending on the size, complexity, and needs of the organization.
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