WELCOME TO TRAINING FOR INTERNAL AUDITORS

QUALITY MANAGEMENT SYSTEMS

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SOME BASIC DEFINITIONS

QUALITY QUALITY MEASURE QUALITY ASSURANCE PRODUCT LIABILITY OR SERVICE LIABILITY QUALITY SYSTEM REVIEW VERIFICATION AUDIT AUDITOR/ASSESSOR/SURVEYOR QUALITY AUDIT FULL QMS AUDIT PARTIAL QMS AUDIT CONTRACT AUDIT
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THE PURPOSE OF QUALITY AUDIT

 ESTABLISHES THE ADEQUACY AND SUITABILITY OF THE SYSTEM  DETERMINE THE EFFECTIVENESS OF THE SYSTEM  AFFORDS OPPORTUNITY FOR SYSTEM ANALYSIS  AIDS PROBLEM SOLVING  FACILITATE DECISION MAKING  AIDS EMPLOYEE INVOLVEMENT  HELPS IN ESTABLISHING CAPABILITY OF PROCESS AND EQUIPMENT  ENSURES MEETING LEGAL AND STATUTORY REQUIREMENTS
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TYPE OF QUALITY AUDITS

FIRST PARTY AUDIT SECOND PARTY AUDIT THIRD PARTY AUDIT SYSTEM AUDIT PROCESS AUDIT PRODUCT AUDIT ADEQUACY AUDIT COMPLIANCE AUDIT
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PHASES OF AUDIT
 P = PLANNING  E = EXECUTION  R = REPORTING  C = CLOSE OUT OF CORRECTIVE ACTION / FOLLOW UP

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AUDIT PLANNING  PREPARATION OF AUDIT PROGRAM  SELECTION OF AUDITORS  PLANNING INFORMATION SOURCES  PREPARING AUDIT CHECKLIST & SELECTION OF AUDIT SAMPLE

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AUDIT PLANNING PREPARATION OF AUDIT PROGRAM  TAKE CALENDAR YEAR OR FINANCIAL YEAR  DECIDE FREQUENCY

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AUDIT PLANNING SELECTION OF AUDITORS  MUST BE INDEPENDENT OF THE FUNCTION BEING AUDITED  KNOWLEDGE ABOUT AREA BEING AUDITED  TRAINING IN AUDITING

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THE QUALITY AUDITOR

PERSONAL ATTRIBUTES

 COMMUNICATION SKILLS  POWER OF OBSERVATION  TACT AND SENSE OF PROPORTION  FLEXIBILITY  PERSEVERANCE  OBJECTIVITY  DECISIVENESS
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THE QUALITY AUDITOR

PROFESSIONAL APTITUDES

       

INDEPENDENCE APPEARANCE PUNCTUALITY PREPAREDNESS FAIRNESS TO BE POLITE AND CALM DIRECT APPROACH INTEGRITY
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THE QUALITY AUDITOR

TECHNICAL ABILITY

 KNOWLEDGE OF TECHNICAL STANDARDS AND REGULATIONS  ABILITY OF QUALITY COST ANALYSIS  ABILITY TO USE STATISTICAL TECHNIQUES  ABILITY TO USE DIAGNOSTIC TECHNIQUES
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AUDIT PLANNING PLANNING INFORMATION SOURCE  PAST HISTORY OF AUDITS  CUSTOMER COMPLAINTS  ALREADY AUDITED DEPARTMENTS  SENIOR MANAGEMENT CONCERN OVER PARTICULAR ASPECT OF COMPANIES OPERATION

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PREPARING THE AUDIT CHECKLIST

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WORKSHOP: PREEPARATION OF AUDIT CHECKLIST

 THE PURPOSE OF THIS WORKSHP IS TO PROVIDE A CHECKLIST FOR USE IN AN AUDIT.  WHAT YOU WILL LOOK FOR : SEARCH FOR

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WORKSHOP: PREEPARATION OF AUDIT CHECKLIST  PRODUCE SUITABLE CHECKLIST BASED ON THE CLAUSE IN SECTION 7 OF ISO 9001;2000 FOR THE FOLLOWING ORGANIZATIONS:

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ORGANIZATION - A
 DESIGN , MANUFACTURING AND SUPPLY OF MEDICAL X-RAY EQUIPMENTS.

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ORGANIZATION - B
 SOURCING, SUB-CONTRACTED INSPECTION & TESTING AND SUPPLY OF ORGANIC AND INORGANIC CHEMICALS .

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ORGANIZATION -C
 PROVIDES CONSULTANCY AND TRAINING IN THE FIELD OF TQM IMPLEMENTATION, PROCESS OPTIMIZATION TECHNIQUES SUCH AS DESIGN OF EXPERIEMENTS , STATISTICAL PROCESS CONTROL , JUST IN TIME ETC.
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ORGANIZATION - D
 MANAUFACTURING AND SUPPLY OF TOOTHPASTE, TOOTH POWDER AND TOOTHBRUSHES

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ORGANIZATION- E
 PROVIDES INFORMATION TECHNOLOGTY SOLUTIONS THROUGH COMPUTER HARDWARE & SOFTWARE INTEGRATION & RELATED SERVICES.

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AUDIT EXECUTION  OPENING MEETING  CONDUCTING THE AUDIT  CARS RECORDING  PLANNING THE CLOSING MEETING  CLOSING MEETING

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OPENING MEETING
INTRODUCTION AUDIT PURPOSE, OBJECTIVE AND SCOPE REVIEW OF THE AUDIT PROGRAM GUIDE FOR THE TEAM LOGISTICS CLARIFICATIONS REPORTING METHOD CONFIDENTIALITY RESTRICTIONS AUDIT SAMPLE THANKS

          

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AUDIT EVIDENCE
 AUDIT EVIDENCE COULD BE POLICIES , PRACTICES, BEHAVIOURS & ACTIVITIES, RECORDS, VERRFIED STATEMENTS OF FACT OR OTHER INFORMATION RELATED TO THE AUDIT  AUDIT EVIDENCE IS LOOK AT : WHAT YOU WILL OBSERVE .
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WORHSHOP AUDIT EVIDENCE

 WHAT IS THE POSSIBLE AUDIT EVIDENCE TOGETHER WITH ANY COMMENTS OR DETAILS THAT YOU FEEL MAY BE APROPRIATE  5.1, 5.2, 5.3, 5.4.1, 5.4.2, 5.4.4, 5.6.1. 5.6.2, 5.6.3  6.1, 6.2.1, 6.2.2  7.2.1, 7.5.1  8.1

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EXAMINATION  ASK AND OBSERVE  DETECT AND USE THIRD EMPIRE  IDENTIFY NONCONFORMITIES  FIND OBJECTIVE EVIDENCE  RAISE CAR  TAKE AGREEMENT OF AUDITEE
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ROLE OF COMMUNICATION SKILLS IN AUDIT  WHAT IS COMMUNICATION  BARRIERS TO COMMUNICATION

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ASKING QUESTIONS USE 20-80 RULE

              OPEN ENDED QUESTIONS EXPANSIVE QUESTIONS OPINIONATED QUESTIONS INVESTIGATIVE QUESTIONS REPETITIVE QUESTIONS HYPOTHETICAL QUESTIONS CLOSED ENDED QUESTIONS LOADED QUESTIONS ASSUMPTIVE QUESTIONS LEADING QUESTIONS CLARIFYING QUESTIONS ANTAGONISTIC QUESTIONS SILENCE TONE AND EMPHASIS
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IDENTIFY NON CONFORMITIES  CRITICAL  MAJOR  MINOR

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OBJECTIVE EVIDENCE
CAN BE STATED IN CONCRETE TERMS CAN BE RELATED TO CRITERIA IS ABOUT QUALITY CAN BE QUALITATIVE & QUANTITATIVE A STATEMENT BY AUTHORIZED PERSON UNINFLUENCED BY EMOTION AND PREJUDICE REPEATABLE REPRODUCIBLE
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CONFLICT ON NCs  IF AUDITOR IS NOT ABE TO PROVIDE SOLID OBJECTIVE EVIDENCE  AUDIT TRAIL IS NOT COMPLETE

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AUDIT TRAIL

AGREEMENT INTERVIEW FINDING OBJECTIVE EVIDENCE RECORDING RAISING NC AGREEMENT

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MANAGING CONFLICTS DURING AUDITS

         

PRE AUDIT CONFLICTS AUDITORS AUTHORITY ANTAGONISM TIME WASTERS UNSOLICITED INFORMATION INTERNAL CONFLICTS CHALLENGING THE FINDINGS SEEKING SUPPORT SYMPATHY BRIBERY
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AUDITEE MISCONDUCT MATRIX

Auditee Tactic Absenteeism Airy Speech Auditor Posture Go To CEO Advise Auditee That This Is All Very Interesting But Audit Is Your Principal Concern Double-check Provide Reminder Refuse Avoid Elaborate Lunch Ignore, Do Audit Ignore Prepare In Advance State The Facts, Be Professional Refuse, Take Your Own Sample Keep Cool Advice Assertively

Amnesia Bribe Extended Lunch Insincerity Pity Language Barrier Power Play Provide Sample Provocation Time Wasting

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AUDIT SUMMARY REPORT

AUDIT PURPOSE, SCOPE, AREA WHEN WHO SUMMARY OF NCs NO. OF NCs RAISED WHERE GRADING OBSERVATIONS CORRECTIVE ACTION TAKEN HOW MANY PENDING & EXPECTED TIME FOR CORRECTION DATE OF FOLLOW UP IF NECESSARY SIGNATURE OF LEAD AUDITOR
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CLOSING MEETING
                INTRODUCTION LIST OF ATTENDEES PURPOSE AND SCOPE RESTATED THANKS FOR HOSPITALITY & CO-OPERATION LIMITATIONS OF AUDIT PRESENTATION OF AUDIT REPORT TELL GOOD POINTS TELL OBSERVATIONS MINOR NCs MAJOR NCs CRITICAL NCs CLARIFICATIONS FOLLOW UP AUDIT RECOMMENDATION ASSURANCE OF CONFIDENTIALITY THANKS DEPARTURE
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HOW TO BE AN EFFECTIVE AUDITEE

DO PRE AUDIT PREPARATIONS KEEP POSITIVE ATTITUDE BE AN IDEAL INTERVIEWEE BE PATIENT BE ALERT AVOID INTERFERENCE PROVIDE TRAINED AND EXPERIENCED ESCORTS  SEEK CLARIFICATIONS
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PRE AUDIT PREPARATIONS

 BASIC DOCUMENTS : STANDARDS, SPECIFICATIONS, CONTRACTS, ETC.  MANUALS, PROCEDURES  RECORDS  CRITERIA CHECKLIST QUESTIONS AND THEIR ANSWERS  AUDIT SCHEDULE  NORMAL OBVIOUS NONCONFORMITIES  OBSOLETE DOCUMENTS  HOUSEKEEPING Impact Consulting Group

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