auditors role-responsibility and set of skills

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Auditors Role-Responsibility

and

Set of Skills

“ Auditee and auditor relation is key to the success of an audit “

Chapter 6

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Role of Auditor

Evaluate organizations ability to Customers requirements

Assess effectiveness of QMS

Assess Organizations’ compliance to Legal and Other Requirement (QMS)

Assess Organizations’ own QMS requirements and Performance



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Role of Auditor

➢ Plan an Audit

➢ Conduct an audit to assess effectiveness and efficiency of a QMS

➢ Report objectively

➢ Follow up audit when necessary

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Auditor’s responsibility:

Lead and / Or Perform Audit as planned!!• Comply with requirements;

• Follow Plan & procedure;

• Remain within scope;

• Collect objective evidence;

• Remain alert;

• Report observations;

• Verify corrective actions;

• Maintain confidentiality; and

• Act in Ethical manner.

Chapter 6: Lead Auditor/Auditor



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In-charge of the audit team including Technical experts, auditors,trainee auditor or observers who are acceptable to the auditee client

Lead and manage audit effectively. Lead opening meeting, close out meeting Resolve any conflicts/clarify if any disagreement with Auditee/Auditors

Team Leader shall –

Have appropriate education, training, experience for scope of audit Identify/select audit team and prepare audit plan Remain responsible to supervise all members of audit team Lead and representing the team in discussions with the auditee Submit audit findings and report in consultation with the audit team Hold Regular Meetings with team to ensure smooth progress of Audit

Chapter 6: Team Leader



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Auditors Should:

Have appropriate education, training, work and auditexperience for the scope field of audit

Be able plan and Perform Audit efficiently within thescope of the audit

Document relevant observations and findings, andsubmit findings to the Lead auditor

Be able to verify implementation of corrective actionsand nonconformance.

Remain within the scope and boundary of audit

Chapter 6: Auditor





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Auditors Knowledge

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business management practices

Competence requirements for management systems auditors(ISO 17021:2015)

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Discipline and sector-specific knowledge skills

Client products, processes and organization

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Applicable legal ,contractual and other

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knowledge skills and leadership to manage audits

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Auditors Expected Attributes:

Identify Auditors Attributes

Note to Tutors:

Tutors may ask Participants to suggest auditors expected attributes as they feel and Note them down in post it.

Tutoring team then Summarize the suggestions and go over the next slides to compare their output with model attributes

Chapter 6: Auditors Attributes

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Auditors Expected Attributes:Punctuality:

Be on Time-maintain timing/schedules

Be Perceptive:

Grasp the problem quickly without jumping into conclusion

Have Flexible outlook:

“ Look at things from different point of views –consider merit of auditee’s response- Do not force own Perceptions.

Disciplined Approach:

Be Logical-Systematic- remains within defined boundaries.

Be Persistent:

Maintain planned course of action in spite of any setbacks- Don’t get distracted

Diplomatic – Remain Tactful as situation demands - don’t get involved in internal matters of auditee/controversies.




Participants may suggest auditors attributes as they feel..

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Positive Attributes :

• Open minded

• Confident

• Objective

• Friendly

• Polite

• Diplomatic

• Maturity-Dexterity

• Constructive;

• Judicious;

• Honest




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• Ethical – fair, truthful, sincere, honest and discreet;• Proactive and organized – take initiative with issues –personally

organized;• Logical – makes decisions based on facts and reasoned logic;• Decisive – expedites decisions methodically;• Observant – able to identify patterns /exceptions in complex situations;• Process focused – demonstrate ability to follow a pre-determine method;• People sensitive – sensitive to and can identify person’s emotional state;• Adaptable – Can adopt works situation ,people copes with change• Confident– competent to reacts well to variety of challenges,




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Negative Attributes :

• Authoritarian Behavior

• Negative Attitude

• Arrogance-Impoliteness

• Argumentative;

• Fault Finding

• Prejudiced;

• Jump to conclusion;

• Inconsistency;

• Lack of Punctuality;

• Unreasonable

• Rigid & Inflexible.

Participants Input/Suggestions : Can you identify your own weaknesses if any?

Chapter 6: Negative Characteristics to Avoid



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Discussion with participants:

Chapter 6 : Negative Characteristics to Avoid



Bad habits auditor should Avoid:

• Lack of Attention and Engagement

• Distracting Body Language

• Argumentative behaviors

• Interrupt auditee while answering;

• Listening without proper attention/eye contact

• Jump into Conclusion

• Pseudo Listeners

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Technical Expert: When Audit Team does not have all the necessary

competence

Include a Technical Expert having appropriateeducation, training, work experience and additionalcompetence in the field of audit

Work under the direction of an Auditor

Should not act as auditors.

Chapter 6: Technical Expert / Observer



Observer : Do not take part in the audit.

Can include auditor-in-trainingCan be observer from accreditation body or Customer of Certification client ( subject to approval from Client)

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Chapter 6: Auditee Organization and Guide



What would you expect from Auditee organization’s Topmanagement during audit:

Should inform employees about the objectives and scope Provide facilities for audit team for effective audit process Appoint responsible and competent staff (Guides) to

accompany members of the audit team, Make audit team aware of HSE ,security and other

requirements Acknowledge and Accept CARs for necessary Corrective

Actions Attend Opening and Close out meeting

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Chapter 6: Auditee Organization and Guide



Role of Audit Guide during audit:

➢ Introduce Audit Team members to the Process owner

➢ Guides not to exercise pressure or influence on the auditee

➢ Guide not to interfere /get involved in audit unnecessarily

➢ Guide may also function as the witness for the audit

➢ Guides may accept and sign Non-Conformity in case raised byAuditor

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Chapter 6: Maintaining Confidentiality of

information



Importance of Maintaining Confidentiality

Auditors must ensure 100% Confidentiality of all information Accessed / received during any audit.

Any inappropriate disclosure amounts to Breach of Trust.

-IRCA registered auditors are bound by Confidentiality and code of ethics to ensure high degree of professionalism

-Certification Body ensures auditors (including subcontracted auditors) treat the information with absolute confidentiality

- AB reviews compliance to confidentiality requirement during

accreditation/ surveillance audit

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Effective Communication between Auditor and Auditee



Before Audit :

❑Establish contact /Gather information organization, scope etc.❑Formation of Team and agreement with the Auditee organization❑Final Plan for audit in advance

During Audit :

❑ Reconfirm Scope of audit, schedule etc during Opening Meeting❑How audit results shall be communicated as audit progresses.❑Report major observations / nonconformity to MR during audit❑Communicate Audit Team’s recommendation /nonconformity❑Certification Decision making Process

After Audit:

❑How CARs if any shall be followed up❑Follow up action if any❑Channel of Communication during the certification validity Period



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Auditors Skills

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Competence requirements for management systems auditors(ISO 17021:2015)

Language skills appropriate to all levels within the client organization

Note-taking and report-writing skillsP

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Interviewing skills

SkillsListening



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Chapter 6- Audit Planning / Preparation



Auditors Competence Evaluation Process

➢ Review of records

➢ Feedback

➢ Interviews

➢ Observations

➢ Examinations➢ Post-audit review

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Establishing auditor evaluation criteria

Qualitative Criteria

• demonstrated personal behavior, • knowledge or skills

Quantitative Criteria

• Years of work experience• Education, • Number of audits conducted, • Hours of audit training.

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1. General knowledge and skills related to Industry sector

Discipline and application of discipline-specific methods, techniques, processes and practices , Regulation and legislation to examine management system and generate appropriate audit findings and conclusions.

Examples are as follows:

— Context of the organization— Processes applicable to the type of Industry— risks/opportunities , determining controls, and risk

communication



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Knowledge and skills related to sector

(ISO 19011:2018)

Knowledge and skills should be sufficient to enable the auditor to examine the

management system within the context of the sector and generate appropriate

audit findings and conclusions.

Examples are as follows:

— processes, equipment, raw materials, hazardous substances,

Process cycles,

Maintenance,

Logistics,

Work flow organization,

Working practices,

Shift-scheduling,

Organizational culture,

Leadership,

Behaviour and other issues specific to the operation or sector;

— typical hazards and risks, including health and human factors, for the sector.



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Observational Skills

One of the most important skill of the auditor isobservational skill which the auditor must develop.

Observations made during the audit should be used ascritical inputs to develop audit trail and place emphasis oncritical areas for value added audit.

Skills of Auditors

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Observe Carefully- Something May be missed ?

What do you see ?________________________

What did you miss?_____________________________

Chapter 6:

Observation Skill





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Questioning and Communication Skills of Auditors

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Types of Questions:

• Direct Question- Expecting a definitive answer.

• Open Questions –Used to open/encourage a dialogue

and elaborative answer.

• Closed Questions;-When you need a Yes/No type of

answer

• Clarifying Questions.-To reinforce understanding by

clarifying

Chapter 6: Questioning and Communication Skill



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Types of Questions:

• Leading Question-Suggest answer and having confirmed by the auditee.

• Hypothetical – to assess unusual but expected situation“What happens if “?

• Silent Question- Looking at auditee silently expecting more info/response

• Interrogative Question.




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Use inquisitiveness rather than Interogative mode

Auditors Friends

5 W’s & H- auditor friends:

• What?, Why?, Where? , When? & Who? & How?

• Good Communication Skill

• Develop Questioning Skills

One question at a Time

Examples: Can you pls. Explain How training needs are identified in your organization?Who is responsible to maintain records of training and Indoctrination? How long they are maintained?How Hazards and risks are determined?

Can you pls. show the record of Hazard identification and risk assessment after the accident?




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Develop Human and Social skills:

Develop Skill to communicate and interact with people from various background and levels within the organization

Communication and Presentation Skills:

Express Situations , events , thoughts, ideas with clarity

Participants Input/Suggestions :

Chapter 6: Auditors Skills



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Create a Friendly Environment effective Audit:

We create first impression in first 5 Secs.

Create a friendly relationship at the first sight !

• Set a friendly tone- wish the auditee with a smile and courteous gestures

• Establish Eye Contact ; Important however know some facts….

• Give Time-to relax- help overcome stress of an auditee

• Body Language- Be mindful of body language;

• Paralanguage; nonverbal vocal nuances in communication that may add meaning to language as it is used in context, e.g. tone of voice or whispering

• Cultural Sensitivities.-Familiarize and honor cultural sensitivities , local customs and Expectation.

• Human factors: Be respectful and understand the level of personnel being audited

• Interpersonal Distance: Sit is a comfortable distance-not too far-not too close

Interesting perception on eye contact: In some society Eye contact between male/female is not welcome . It is said that 2-5 seconds of Eye contact is good -shows Interest in the subject .10-12 seconds is intimidating. More than 15 seconds may be perceived as intimacy..!!

Chapter 6 Approach to Audit



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Student Activity-Types of Questions:*

Students should ask some questions to the tutors using few

random Clauses of ISO 9001:2015 standard. Each one should

try to ask at least one type of question from the following

types.

• Open Questions

• Closed Questions

• Leading Question

• Hypothetical

• Interrogative Question.




Observe Bill Gates interview-Question skills

Bill Gates-Qu Skill.mp4

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80 / 20 Traits: Listen 80% of time -Talk 20% of time

Art of Listening:

• Develop Active Listening skill

• Listen carefully

• Avoid Distraction

• Clarify doubts

• Summarize before judgment

Some interesting facts on Communication: Word Communicates approximately 7-10%Tone -30-40% and Body Language - 50% !!- So watch the body language !


Auditors Listening Skill



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Listen to the Audio Clip and answer the following questions.

Q1. What is the topic About?

Q2:Who is the Name of the Speaker being interviewed ?

Q3:What is one of the most significant approach that remains

unchanged

Q4: As per the speaker what are the 3 major emphasis in ISO

9001:2015?





ISO 9001 revision - Conversation with Nigel Croft.mp4

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Listen to the Audio Clip and answer the following questions.

Answers:

Q1. What is the topic About?

A1:Changes in ISO 9001:2015 standard

Q2:Who is the Name of the Speaker being interviewed ?

A2: Dr.Nigel Croft-Chair ISO 9001 Standard committee TC 176

Q3:What is one of the most significant approach that remains

unchanged in ISO 9001:2015?

A3: Process Approach

Q4: As per the speaker what are the 3 major emphasis in ISO 9001:2015?

A4: a) Structure and Sequence of the clauses

b) Risk Based Thinking

c) PDCA cycle





SUPPLIMENTARY READING/ISO Podcast Chages inISO 9001-2015.mp4

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Chapter 6: Effective Communication:

Observational skills,

Conversational and effective communication Skill-

- Questioning Skill

- Listening Skill

Understanding of psychological aspects of human relations

Ability to instill confidence and trust.



Auditors therefore need to Develop :

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Thank you-End of Chapter 6



auditors role-responsibility and set of skills

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