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7/31/2019 ISO.9000 Auditng 2
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AUDITING SKILLS
SECTION - 3
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Process
Inter-relationship between different activities to
convert an input into out put.
Process
Inputs Outputs
Resources
Controls
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Audit
A systematic and documented process of objectivelyobtaining and evaluating the extent of compliance to thedocumented system.
Functional Audit
Verification of activities related to a function
Process Audit
Verification of activities and their inter- relationshiprelated to a process
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Auditor
One who has the knowledge, skill andcompetence to conduct the audit.
Auditee
One whose is being audited.
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Adequacy Audit :
This is conducted through review of thedocumentation to ensure that all the standardrequirements are addressed in the documented
system.Compliance Audit:
Conducted to check the extent of compliance
to the documented system
Types of Audits
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1st Party Audit:
Audit conducted with-in the organization by theemployees of the organization Internal Audit
2nd Party Audit:
Audit conducted by an organization on theirsuppliers
3rd
Party Audit:Audit conducted by an out side agency who has no
interest in the organization or its suppliers. This type ofaudit normally leads to certification.
Types of audits related to compliance audits :
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Ethical Conduct: Trust, Integrity, Confidentiality andDiscretion
Fair Presentation:The obligation to report truthfully and
accurately
Professional Care: The Application of Diligence andJudgment in Auditing
Independence: Impartiality of the audit and objectivity ofaudit conclusions.
Evidence: The rational method for reaching reliable andreproducible audit conclusions in a systematic auditapproach.
Audit Principles :
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Ethical-Truthful, Sincere, Honest, DiscreetOpen Minded- Respect to others ideas
DiplomaticTactful in dealing with people
Observant
Actively aware of the physical
surroundingsPerceptive-Instinctively aware of and able to understandsituations
Tenacious- Focused on achieving the objectives/
targets/goals.Decisive-Conclude in-time based on logical reasoning
Self-Reliant Acts independently while interactingeffectively with others
Personal Qualities of Good Auditor :
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Interview with employees / management
Observation of work activities
Verification of documents & records
Legal , statutory, safety rules & regulations
Source of Information :
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Use Checklists
Select Sample Size
Reading the records
Questioning and Listening
Body Language
To and Fro Checking
Fact Finding :
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7% Verbal
38% Verification
55% Body Language
Communication through :
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Seek to clarify your ideas before communicating tothem
Examine the true purpose of communication
Consider total human and physical setting both beforeand during communication
Consult with others, where appropriate, beforecommunicating
Whilst communicating be aware of your expression andany overtones as well as your basic message
Principles of Communication :
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Admissible Statements
Document reference number, revision no. and date
Identifiers
Departments
Positions
Names of Auditees, audit participants
Collection of Audit Evidence :
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Check list is a servant not a master
Investigate to the depth necessary
Once the sample colleted is satisfactory thenmove- on to next
Problem; do not panic
Control of Audit :
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Audit must be positive
Audit should help to improve the systems
Non-Conformities are the opportunities forimprovement
Dont look for blame but look for solutions/
improvements
Audit Process :
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Observation : What is the nonconformity[ what]
Explanation: Objective evidence toSubstantiate the non-conformity[where]
Attribution: Reference to the documentedsystem [why]
Writing the Non-Conformity Reports :
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Basic Education
Work Experience
Knowledge and Experience in relation to the areabeing audited
Skill / Training in Auditing
Auditing experience
Auditor Qualifications :
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Evaluation is based on :
Time Management
Effective collection of audit evidences
Writing the non-conformity reports
Effective closure of non-conformity reports
Auditor Evaluation :
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THANK YOU