How To Be A Successful Auditor - October 27, 2016

How to be a Successful and
Value Adding Lead Auditor
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INTRODUCTION
Contents
1 Objectives 9 Audit Methods
2 Terms & Definition 10 Process Approach
3 Types of Audit 11 Audit Trail
4 Audit Program 12 Skills, Attributes of an Auditor
5 Audit Plan 13 Constraints
6 Audit Process 14 How to Manage the constrains
7 Audit Findings 15 Q&A
8 Golden Rules of Auditing
Objectives
- Audit Types
- Audit Process
- Traits of Auditor
- Value Addition through Audits
Terms & Definition
Audit An audit is a systematic, independent and
documented process for obtaining audit evidence
and evaluating it objectively to determine the extent
to which audit criteria are fulfilled
Objectives The audit objectives define what is to be
accomplished by the audit
Audit Set of policies, procedures or requirements used as a
Criteria reference against which audit evidence is compared
Audit Scope The audit scope generally includes a description of
the physical locations, organizational units,
activities and processes, as well as the time period
covered.
Terms & Definition
Audit Plan Description of the activities and arrangements for an
audit
Audit Arrangements for a set of one or more audits planned
Program for a specific time frame and directed towards a
specific purpose
Audit Records, statements of fact or other information which
Evidence are relevant to the audit criteria and verifiable
Audit Results of the evaluation of the collected audit
Findings evidence against audit criteria
Types of Audit
1st Party Internal audits conducted by internal auditors
2nd Party Supplier audits conducted by organizational auditors on
suppliers, manufacturers, contractors etc.
3rd Party Certification Audits conducted by 3rd Party certification
bodies
Types of Audit
Compliance Audit Required by law
System Audits Required by ISO Standards
Verification Audits Product or supplier evaluation
Audit Program and Objectives
Audit Plan
An audit plan specifies how you intend to
conduct a particular audit.
It describes the activities you intend to carry
out in order to achieve your audit objectives.
Audit Process
Audit Findings
Audit findings result from a process that evaluates audit
evidence and compares it against audit criteria. Audit findings can show
that audit criteria are being met conformity or that they are not being
met nonconformity. They can also identify best practices or
improvement opportunities.
Golden Rules
Speak with the personnel in a professional manner
Take your notes
Do not enter into any arguments
Follow the audit scope and criteria
Assess the system deliver the planned outputs.
Do not look for a nonconformity all the time, auditor first
should seek evidence for conformity
Audit Methods
Human Conducting interviews
Interaction Completing checklists and questionnaires
Conducting document review
Sampling - judgement bases and
statistical
No Human Conducting document review
Interaction Observation of work performed
Conducting on site visit
Process Approach
Equipment and Substance Human Resources
Equipment, software, hardware, Training, Competency , skills,
tools, materials and substances experience, knowledge
With what With

wha
t
Input Process Output

Location/Infrastructure
Access, working conditions,
Weather
ny
ma
Ho Process monitoring
Documentation w Ho
w
Procedure, forms, checklists, Inspections, testing, Analysis and
Method statements, Risk Evaluation
Assessment, Drawings, etc.
Audit Trail
A systematic approach to collecting
evidence based on specific samples,
that the output of a series of inter-
related processes meets expected
outcomes
Audit Trail
If the auditor does not understand the specification, then he cannot check if the
process being followed meets the requirements of the requisition.
what does the requisition require does this comply with the agreed
specification?
how is the decision to purchase made?
how is the specification decided? Is it adequate?
who decides what is required and do they have the authority?
who chooses the supplier and by what criteria?
what is the process for bid evaluation?
how is the specification advised to the supplier?
are national or international standards used?
what controls the process?
are there any special packing delivery requirements?
Audit Trail
Horizontal audit audit of one system across several functional
groups (one thing-many places) audit across several groups to
evaluate if a consistent approach is being followed e.g. for
competence
Vertical audit audit each function (department) of the
organization and audit all processes in each function (many things-
one place) audit within a manufacturing cell for process
performance, product compliance, data analysis, corrective action,
improvement etc.
A combination of the above methods can also be used in accordance
with the audit objectives and program
Audit Trail- Input
Personnel What skills are required?
What skills set is available?
What are the competency gaps?
How effective has any training been?
Documents Where does the document come from?
How does the auditee know if the document is the most current?
Is it latest revision document?
Does the document clearly provide the necessary information
How could the document be improved
Material Where does the material come from? Approved supplier supplier
evaluation
How do you know the material is correct? Incoming inspection
How do you know if the material composition is correct? Test results
Does the material documentation provide the necessary documentation?
SDS
Audit Trail- Input
Equipment Who determines the appropriate equipment to use?
How do you know if the equipment is appropriate for the job?
Is the equipment maintained? What are the maintenance requirements?
Has the maintenance been performed? Competency requirements,
planning, legal requirements?
How could the equipment be improved?
Environmental Are there any environmental considerations for this process? Hot , cold
temperatures
How the environmental requirements controlled & documented?
Are the environmental requirements adequate?
Who establishes the environmental requirements?
How could the environmental requirements be improved?
General Inputs What information do you receive in order to perform this activity?
Where does this information come from?
When do you get this information?
How could this information be improved?
Audit Trail- Outputs
What do you send to others?
Who are the recipients?
How do you know if the output is complete sufficient
or correct?
What records do you keep documenting what you did
and if it is correct?
How satisfied are the recipients of the output?
How would recipient improve what they get?
Audit Trail- Measures of Effectiveness
What criteria do you use to determine process performance?
What is the linkage between criteria and process performance?
What metric(s) do you use to measure the performance based on the criteria?
Are your measures on target?
Is the data trending in the right direction?
Are there ways you could better measure or improve process?
A robust audit program shows its presence both at the begging and end of
continual improvement. In the beginning, audits identify opportunities for
improvement;
At the end audits provide mechanism for monitoring the implemented
improvement in order to sustain its benefits for the long term.
Skills & Attributes of a Successful Auditor
Qualifications Attributes Knowledge and Skills
Ethical conduct
Audit procedures
Fair presentation
and techniques
Professional care
Management
Independence
systems
Auditor Training Objectivity
Reference
High school Impartiality
documents
Certificate Evaluations based
Process and products
on evidence
Regulations and
Competence
directives
Cooperation
Industrial practices
Trust
Constraints
Balance between Conformance and Value addition
First Party : Scope, Personal Issues
Second Party : Selection criteria Vs Award criteria
Third Party : Stay within the scope & Stay in the market
How to Manage the Challenge
Scope : Organizations system and documents shall have a broad
outlook
First Party : Management Support
Second Party : shall be confined to the scope of audit
Third Party : Integrated Systems & Linkages
Beware, its a team work
Course Start Date End Date Timing Days
LEED GA 21-Oct-2016 11-Nov-2016 7:30 AM to 11:30 AM Fridays
PMP 30-Oct-2016 27-Nov-2016 7 PM to 10 PM Sun/Tue/Thur
ISO 9001:2015 QMS 04-Nov-2016 02-Dec-2016 2 PM to 10 PM Fridays

LEAD AUDITOR
Certified Six Sigma 05-Nov-2016 03-Dec-2016 7 PM to 10 PM Sat/Mon/Wed

Green Belt (CSSGB)
PMP 11-Nov-2016 30-Dec-2016 8 AM to 11:30 AM Fridays
Thank You
For further details please contact:
Mr. Selvakumar
Mobile : 974 55219249
Email : selva@3foldtraining.com

How To Be A Successful Auditor - October 27, 2016

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How To Be A Successful Auditor - October 27, 2016

Hochgeladen von

Copyright:

Verfügbare Formate

How to be a Successful and

Value Adding Lead Auditor

With what With

Input Process Output

LEED GA 21-Oct-2016 11-Nov-2016 7:30 AM to 11:30 AM Fridays

PMP 30-Oct-2016 27-Nov-2016 7 PM to 10 PM Sun/Tue/Thur

ISO 9001:2015 QMS 04-Nov-2016 02-Dec-2016 2 PM to 10 PM Fridays

Certified Six Sigma 05-Nov-2016 03-Dec-2016 7 PM to 10 PM Sat/Mon/Wed

PMP 11-Nov-2016 30-Dec-2016 8 AM to 11:30 AM Fridays

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