business beginers ppt for consultation.ppt

for awerness

1. A consultation power point presentation
with stakeholders

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ADDING VALUE AUDITS
Value can be added to reports through identification of:
Areas for improvement
Benefits that can be realized from action
Identification of strengths that can be used to improve weaker
areas
Identification of sources of information that can be accessed for
guidance
Audit activities

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Value adding audits…
a. 
 
Focus more on the process, and less on procedures
Some documented procedures, work instructions, check-lists etc. may be
necessary in order for the organization to plan and control its processes, but
the driving force should be process performance
b. 
 
Focus more on results and less on records
In a similar fashion, some records may be necessary in order for the
organization to provide objective evidence that its processes are effective
(generating the planned results) but the value-added auditor should be aware
of and give credit for other forms of evidence
c.Remember the 8 Quality Management Principles
Audit activities

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Value adding audits…
d. 
 
Use the “Plan-Do-Check-Act” approach to evaluate the organization’s process
effectiveness
 
     
i. 
    
Has the process been planned?
 
    
ii. 
    
Is it being carried out according to plan?
 
   
iii. 
    
Are the planned results being achieved?
 
  
 iv. 
   
Are opportunities for improvement being identified and implemented?
•By correcting non-conformities
•By identifying root causes of problems and implementing corrective action
•By identifying trends, and the need for preventive action
•By innovation
Audit activities

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6.7 Conducting audit follow- up
The conclusions of the audit can, depending on the audit objectives, indicate
the need for corrections, or for corrective, preventive or improvement
actions.
Such actions are usually decided and undertaken by the auditee within an
agreed timeframe.
As appropriate, the auditee should keep the person managing the audit
program and the audit team informed of the status of these actions.
Audit activities

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6.7 Conducting audit follow- up
The completion and effectiveness of these actions should be verified. This
verification may be part of a subsequent audit.
The audit program may specify follow-up by members of the audit team,
which adds value by using their expertise.
In such cases, care should be taken to maintain independence in subsequent
audit activities.
Audit activities

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6.7 Conducting audit follow- up….
Corrective Action
After the closing meeting the auditee organization must complete any agreed
corrective actions.car samp.docx
They need to analyze the problem to identify the root cause, plan, implement
and record the actions taken and check or reaudit the corrective action to
‑
ensure it has been effective
They would then inform the LA for follow up
Agreed corrective actions are followed up by the Lead Auditor usually by
revisiting and re
­checking the part of the QMS where a deficiency was ‑
found.
Audit activities

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6.7 Conducting audit follow- up….
Corrective Action
•The Auditee responds to non-conformities using the Corrective Action
Report.
•The Auditee is responsible for planning, implementing, and monitoring
the corrective action plan.
Audit activities

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6.7 Conducting audit follow- up….
Corrective Action
Some certification bodies do this at the next surveillance visit.
Checks are done on the process links, inputs and outputs where
the deficiency was found to determine if the cause of the
deficiency has been addressed.
Audit activities

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Audit Records
Audit Plan, checklists and notes
Agenda and attendance of opening and closing meetings
Written Reports of stages 1 and 2
NCR's plus any notes made
Report by LA on team performance
Follow up and surveillance reports
Audit activities

12. -BREAK-
12

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7. Competence and evaluation of auditors
7.2 Personal attributes
Auditors should possess personal attributes to enable them to act in
accordance with the principles.
An auditor should be:
a) ethical, i.e. fair, truthful, sincere, honest and discreet;
b) open-minded, i.e. willing to consider alternative ideas or points of view;

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7. Competence and evaluation of auditors
Personal attributes…
c) diplomatic, i.e. tactful in dealing with people;
d) observant, i.e. actively aware of physical surroundings and activities;
e) perceptive, i.e. instinctively aware of and able to understand
situations;
f) versatile, i.e. adjusts readily to different situations;

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7. Competence and evaluation of auditors
Personal attributes…
g) tenacious, i.e. persistent, focused on achieving objectives;
h) decisive, i.e. reaches timely conclusions based on logical reasoning and
analysis; and
i) self-reliant, i.e. acts and functions independently while interacting
effectively with others.

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Competence and evaluation of auditors
Personal attributes…

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7. Competence and evaluation of auditors
Personal attributes…
Auditors should:
–Be open-minded and mature
–Possess sound judgment
–Have analytical skills and tenacity
–Have the ability to perceive situations in a realistic way
–Understand complex operations from a broad perspective
–Understand the role of individual units within the overall organization

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Applying Auditor Attributes
Auditors should apply these attributes in order to:
•Obtain and assess objective evidence fairly.
•Remain true to the purpose of the audit without fear or favour.
•Evaluate constantly the effects of audit observations and personal interactions during an
audit.
•Treat concerned personnel in a way that will best achieve the audit purpose.
•Perform the audit process without deviating due to distraction
•Commit full attention and support to the audit process.
•React effectively in stressful situations.
•Arrive at generally acceptable conclusions based on audit observations.
•Remain true to a conclusion despite pressure to change that is not based on evidence.

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Education, Training & Experience
•Education:
–Candidates should demonstrate competence in clear and fluent oral and in written
concepts and ideas
•Training:
–Knowledge and understanding of the standards, systems and/or procedures audited
–Assessment techniques of questioning, evaluating and reporting
–Audit management audit skills such as planning, organizing, communicating and
directing
•Experience:
- Candidates should have four years full-time workplace experience

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7.3 Knowledge and skills
7.3.1 Generic knowledge and skills of quality management system and environmental
management system auditors
Auditors should have knowledge and skills in the following areas.
a) Audit principles, procedures and techniques: to enable the auditor to apply those
appropriate to different audits and ensure that audits are conducted in a consistent
and systematic manner.

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Generic knowledge and skills…
An auditor should be able
to apply audit principles, procedures and techniques,
to plan and organize the work effectively,
to conduct the audit within the agreed time schedule,
to prioritize and focus on matters of significance,
to collect information through effective interviewing, listening, observing
and reviewing documents, records and data,

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Generic knowledge and skills…
to understand the appropriateness and consequences of using sampling
techniques for auditing,
 to verify the accuracy of collected information,
 to confirm the sufficiency and appropriateness of audit evidence to
support audit findings and conclusions,
 to assess those factors that can affect the reliability of the audit findings
and conclusions,

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Generic knowledge and skills…
to use work documents to record audit activities,
to prepare audit reports,
to maintain the confidentiality and security of information, and
to communicate effectively, either through personal linguistic skills or
through an interpreter.

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Generic knowledge and skills…
b) Management system and reference documents:
to enable the auditor to comprehend the scope of the audit and apply audit
criteria. Knowledge and skills in this area should cover:
the application of management systems to different organizations,
interaction between the components of the management system,
quality or environmental management system standards, applicable
procedures or other management system documents used as audit criteria,

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Generic knowledge and skills…
b) Management system and reference documents:
recognizing differences between and priority of the reference
documents,
application of the reference documents to different audit situations,
and
information systems and technology for, authorization, security,
distribution and control of documents, data and records.

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Generic knowledge and skills…
c) Organizational situations: to enable the auditor to comprehend the
organization's operational context.
Knowledge and skills in this area should cover organizational size,
structure, functions and relationships, general business processes and
related terminology, and cultural and social customs of the auditee.

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Generic knowledge and skills…
d) Applicable laws, regulations and other requirements relevant
to the discipline: to enable the auditor to work within, and be
aware of, the requirements that apply to the organization
being audited.

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Knowledge and skills in this area should cover:
local, regional and national codes, laws and regulations,
contracts and agreements,
international treaties and conventions, and
other requirements to which the organization subscribes.

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7.3.2 Generic knowledge and skills of audit team leaders
Audit team leaders should have additional knowledge and skills in audit
leadership to facilitate the efficient and effective conduct of the audit. An
audit team leader should be able:
to plan the audit and make effective use of resources during the audit,
to represent the audit team in communications with the audit client and
auditee,

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7.3.2 Generic knowledge and skills of audit team leaders…
 to organize and direct audit team members,
 to provide direction and guidance to auditors-in-training,
 to lead the audit team to reach the audit conclusions,
 to prevent and resolve conflicts, and
 to prepare and complete the audit report.

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7.3.3 Specific knowledge and skills of quality management system
auditors
Quality management system auditors should have knowledge and skills in
the following areas.
a) Quality-related methods and techniques: to enable the auditor to examine
quality management systems and to generate appropriate audit findings
and conclusions.

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7.3.3 Specific knowledge and skills of quality management system auditors…
Knowledge and skills in this area should cover quality terminology, quality
management principles and their application, and quality management tools
and their application (for example statistical process control, failure mode
and effect analysis, etc.).

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7.3.3 Specific knowledge and skills of quality management system auditors…
b) Processes and products, including services: to enable the auditor to
comprehend the technological context in which the audit is being
conducted.
Knowledge and skills in this area should cover sector-specific terminology,
technical characteristics of processes and products, including services, and
sector-specific processes and practices.

36. Please be back on
time