TQCSI Auditor Training

WITNESS ASSESSMENT REPORTS

TQCSI Auditor Training

References

• MM 3.6, Evaluation

• TQCSIF-76, Witness Audit Assessment.

TQCSI Auditor Training

When Required

• initially conducted by GM or most senior LA

• on promotion to higher status (eg A to LA)

• 3 yearly - any program (assessing auditing techniques)

• will need to be a Senior LA in future.

TQCSI Auditor Training

Technical Specialists

• initially at first audit by Audit Team Leader or LA

• only require last 2 criteria (knowledge of client’s business sector and processes)

• no ongoing assessment.

TQCSI Auditor Training

Nuts Warning

• Auditors in Nuts turns:

– Yellow – assessment req’d within 6 months

– Red - when overdue

• if red - auditors’ time cannot count towards audit duration.

TQCSI Auditor Training

Findings

• C – competent

• N – not yet competent

• O – observation

• N/A – not observed.

TQCSI Auditor Training

Assessment Criteria

• Planning, Preparation & Briefing

• Entry Meeting

• Audit Management (Audit Team Leader only)

• Skills & Technique

• Auditor Meeting

• Exit Meeting

• Reporting.

TQCSI Auditor Training

Assessment Criteria…cont

• Audit Report (Audit Team leader only)

• Compliance with TQCSI Procedures

• Relationship with Client

• Knowledge of Standard

• Knowledge of Client’s Business Sector

• Knowledge of Client’s Processes.

TQCSI Auditor Training

Assessment Criteria

• copy of plan, if applicable

• plan delineates roles, coded auditors (TL)

• copy of Client Details Report, previous report, report template, Standard(s)

• appropriate PPE.

TQCSI Auditor Training

Assessment Criteria

• Scope - audit type, program(s), sites, functions, processes to be audited & exclusions

• confirm products/services & technologies

• follow Entry Meeting Agenda (F-28).

TQCSI Auditor Training

Assessment Criteria

• applicable to TL only

• professional, controlled, efficient

• arrange meeting with relevant persons

• monitor team members progress (time).

TQCSI Auditor Training

Assessment Criteria

• interview skills - able to obtain information required

• apply System concepts to any operation.

TQCSI Auditor Training

Assessment Criteria

• sharing of findings to audit team & TL for consolidation

• checks to confirm scope is covered

• exit meeting communication.

TQCSI Auditor Training

Assessment Criteria

• exit meeting ensures the client is clear on findings and actions required

• Exit Meeting Agenda (F-28) followed.

TQCSI Auditor Training

Assessment Criteria

• sufficient details on worksheets

• auditor input (oral, email, notes, F20B) to TL & ease of incorporation into report

•other evidence - photographs, minutes, data analysis reports.

TQCSI Auditor Training

Assessment Criteria

• applicable to TL only

• findings and summary in report accurately reflect findings on audit day

• report sent to assessor by office to review

• if report not received remind office!!

TQCSI Auditor Training

Assessment Criteria

• findings classified during audit reflect policies and procedures

• referral to & use of system policies and procedures if required during audit.

TQCSI Auditor Training

Assessment Criteria

• able to put client at ease but maintain control

• communicate clearly in appropriate tone

• not socialise too much.

TQCSI Auditor Training

Assessment Criteria

• for processes audited, requirements of standard(s) covered, knowledge reflected

• awareness of any regulatory & codes evident

• auditing process & code of conduct followed.

TQCSI Auditor Training

Assessment Criteria

• comment on auditor’s awareness and knowledge of clients operations for the codes covered by the auditor (NACE/E/S/F).

TQCSI Auditor Training

Assessment Criteria

• summarise auditor’s performance to support the recommendation

• which audit status, signed by Assessor.

TQCSI Auditor Training

Assessment Criteria

• be comfortable with your recommendation!!

• don’t feel pressured to pass/upgrade the auditor

• only do so when confident the auditor is ready – not ‘perfect’

• it’s ok to have some N’s (NYC) throughout assessment & still pass the auditor.

TQCSI Auditor Training

Assessment Criteria

• any N’s identified are listed under Training Required if a recommendation is approved by CAP

• forward report to office.

TQCSI Auditor Training

Assessment Criteria

• GM confirms auditor’s conformance with TQCSI philosophies

• fit & proper person test.

TQCSI Auditor Training

Assessment Criteria

• AEP member reviews assessment & audit report

• overall evaluation & status

• lists training requirements & approval.

TQCSI Auditor Training

Head Office

• dates updated in Nuts

• training required add to Competencies in Nuts

• signed by International Coordinator or Administrator.

TQCSI Auditor Training

Common Issues

• ‘C’ where not assessed

• ‘C’ for all categories!

• ‘C’ for all categories of TS!

• insufficient comments to support ‘C’ & ‘N’ s.

TQCSI Auditor Training

Other Issues

• witness assessments conducted by another body (eg JAS-ANZ, other Accreditation Body, RABQSA Skills Examiner) will satisfy 3 yearly assessment

TQCSI Auditor Training

TQCSI

Thank you!