The basic concept of process management is just as applicable to an audit program as to any other business process. It needs objectives aligned to organizational strategy, resources that are continually developed, consideration of risks introduced by the audit program, and continual monitoring for effectiveness and efficiency.
The ISO 19011 guidelines were updated and released in 2018, and contributes significantly to this broader view. It defines the roles, responsibilities and competencies of an audit manager, as well as some of the fundamental requirements for management of an audit program. It includes examples of program objectives, a broad range of skills required of auditors, as well as several techniques that can be used to evaluate auditor effectiveness.
It is the perspective of the webinar speaker that the audit program should be though of and managed as if it were an independent business, with metrics not just related to audits, but also the audit program. Do you know how effective and efficient your audit program is, and are you continually improving it? Do your customers come to you asking for help?
Too many audits are often seen as simply a mandated use of resources that could be better deployed elsewhere, and management interest wanes when they become routine. This could change if we enlarge our view to not only think about audits, but also the design and management of the audit program itself. While the recent update of the ISO 19011 Guideline for Auditing Management Systems includes the steps for planning, conducting, reporting and closing out an audit, it also delves deeply into management of an audit program. Personnel responsible for managing audit programs for complying with the internal audit requirements of ISO standards can therefore benefit by learning about and adopting some of the guidelines.
Duke is a knowledge architect specializing in quality management. He has been in private practice since 1985 working with organizations in the U.S., Aruba, Bermuda, Canada, England, India, Jamaica, Mexico, Netherlands, South Korea and Wales. He was formerly a quality professional in TRW’s automotive sector.
He has been elected Fellow of the American Society for Quality and is certified by ASQ as a manager of quality/organizational excellence, quality engineer and quality auditor. He has taught review courses for ASQ’s CMQ/OE, CQA, CQT andCQIA certifications, and is the developer and primary instructor for the Root Cause Analysis and Measuring Organizational/Process Performance courses offered by ASQ’s Learning Institute.
Duke holds undergraduate degrees in technology and business, a masters degree in adult education, and has completed doctoral coursework in applied management and decision sciences. He has served as an adjunct university faculty member teaching statistics and management research. He is also a graduate of the international program in the Gestalt approach to organization and system development.
He is the author of three books, Root Cause Analysis: The Core of Problem Solving and Corrective Action and Performance Metrics: The Levers for Process Management, and Musings on Internal Quality Audits: Having a Greater Impact, co-editor of The Certified Quality Manager Handbook (2nd ed.), and has written numerous articles for publications such as Quality Progress, Quality World, Business Improvement Journal, APICS-The Performance Advantage, Manufacturing Engineering, The Auditor, and Quality Management Forum.
He is a frequent speaker for professional and trade audiences at the local, regional, national and international levels, including AEM, AISC, APICS, ASQ, ASTD, AITP, AOQ, IIA, IIE, IMA, ISM, NAHQ, NAPM, NCSLI, PMI, SHRM and SME. He conducts public seminars for a variety of professional societies, training organizations and universities, and has served as a examiner for the Tennessee Performance Excellence award. He has also worked as a volunteer SCORE counselor to small business.