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Quality Lessons Learned.pptx

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Quality Lessons Learned.pptx

  1. 1. Quality Lessons Learned
  2. 2. Objectives & Overview Objectives • Demonstrate lessons learned from observations, participation and readings. • Highlight key areas applicable to the field of work learned Overview • SMART • Auditing Process • Steps – simple and detailed • Accepting Assignments • Finding the Purpose & Scope of an Audit • Auditing Principles
  3. 3. Basis of All Quality Work
  4. 4. • Identify plans • what people are supposed to do • Make observations • what people are actually doing • Evaluate the facts collected • sort the evidence • Report the results • conformance or noncompliance • Follow up • ensure that problems are corrected Simple Auditing Process Steps Based on J. P. Russell’s Internal Auditing Pocket Guide: Preparing, Performing Reporting, and Follow-Up, 2nd Edi.
  5. 5. • 1. Audit assignment • 5 W - Who, What, When, Where, Why • 2. Prepare • Audit plan, standards, checklist • 3. Evaluate documents • Desk audit, flowcharting, strategies • Report • 4. Begin the audit • Kick off and establish communication • 5. Perform • Interview, collect evidence, check records, apply process technique • 6. Analyze and end audit • Reports findings (nonconformances) and their importance • Report • 7. Follow-up and closure • Verify follow-up actions (remedial and corrective actions) • Closure Detailed Auditing Process Steps Based on J. P. Russell’s Internal Auditing Pocket Guide: Preparing, Performing Reporting, and Follow-Up, 2nd Edi.
  6. 6. • Question 1: Are you available for the audit? • Yes or No • Is the means, budget, and permission secured. • Any scheduling conflict? • any financial constraints? • Any other project of higher priority? • alternative dates for consideration? • Question 2: Are you free of any conflict of interest? • Yes or No • Audit Principle 6: Be honest and impartial by avoiding conflicts of interest. • guard against biases that could cloud your judgment. • ensure to maintain the integrity of the audit service. • Conflicts of interest may shed doubt on the objectivity and impartiality of audit results. • Question 3: Do you feel you can do a competent job? • Yes or No • Audit Principle 8: Assigned auditors must be competent/qualified. • Do you feel comfortable auditing your assigned area against the standard selected? • Do you understand the requirements of the system standard being audited against. • Do you have a general understanding of how the area you will be auditing operates. • Do you understand the procedures and the process being audited? Audit Assignment – Accepting the Assignment Based on J. P. Russell’s Internal Auditing Pocket Guide: Preparing, Performing Reporting, and Follow-Up, 2nd Edi.
  7. 7. • 1. When & Where? • is the Audit Scheduled? • 2. What & Where? • Scope? • 3. What Standards? • Policies & Manuals • Procedures - Process Specific • Legislation, Regulations & Work instructions • 4. Why? Objective? Purpose? • Why do the audit? - prepare for government or external audit organizations? Verify compliance, contract requirements, process implementation or corrective actions from prior audits? training new auditor candidates, identify opportunities or areas for improvement? • What type of audit is it—System? Process? Product? • 5. Any other audit services need to be performed? • desk audit; closeout of prior non-conformances, product audit? • Verifications or identification of areas for improvement? Audit Process Inputs – Finding Purpose & Scope
  8. 8. • AUDITOR CONDUCT • 1. Do not disclose auditee proprietary information to others. • (Confidentiality) • 2. Be honest and impartial by avoiding conflicts of interest. • (Honesty in conflicts of Interest) • 3. When an unethical activity is observed, verify it, record it, and report it. • (Reporting unethical activity) • 4. Protect auditee property entrusted to you. • (Client Trust) • 5. Use knowledge and skills for the advancement of public welfare. • (Public Trust) Audit Principles Based on J. P. Russell’s Internal Auditing Pocket Guide: Preparing, Performing Reporting, and Follow-Up, 2nd Edi.
  9. 9. • PREPARING • 6. Ensure that sufficient resources are available to accomplish the purpose of the audit. • (Resourcing) • 7. Verify that there is an established system/process to audit before the audit. • (Verify System Existence) • 8. Assigned auditors must be competent/qualified. • (Qualification) • 9. Communicate agreed-upon information to the auditee, such as audit times, purpose, areas to be audited, and standards to be audited against. • (Communication) Audit Principles Based on J. P. Russell’s Internal Auditing Pocket Guide: Preparing, Performing Reporting, and Follow-Up, 2nd Edi.
  10. 10. • PERFORMING • 10. Verify conformance to agreed-upon requirements (the rules). Auditors don’t determine auditee requirements. • 11. Ensure that sufficient samples (records, product, processes, interviews, and so on) are taken to match the purpose and scope of the audit. • (Match sample quantity to purpose/scope) • 12. Stay within the agreed-upon scope unless the degree of risk necessitates other actions. • (Work in scope, except if necessary) • 13. Samples must be random and representative unless specified objectives require otherwise. • (Randomise & represent) • 14. Conformance and nonconformance must be verifiable and traceable. • (Ensure verifiability & traceability) • 15. Comply with auditee rules • (safety, environmental, health, restricted areas, etc.). • 16. Keep auditee informed of audit progress. • (Provide progress reports) Audit Principles Based on J. P. Russell’s Internal Auditing Pocket Guide: Preparing, Performing Reporting, and Follow-Up, 2nd Edi.
  11. 11. • REPORTING • 17. Report the results of the investigation truthfully and in a clear, correct, concise, and complete manner. • (Report results) • 18. Communicate the importance of findings/nonconformities. • (Communicate findings) • 19. Ensure that results are traceable to requirements. • (Connect results) • 20. Do not take ownership of problems found. • (Disown problems) Audit Principles Based on J. P. Russell’s Internal Auditing Pocket Guide: Preparing, Performing Reporting, and Follow-Up, 2nd Edi.
  12. 12. • The activities of the Quality work are SMART. • There is a lot of planning before execution of an audit. • There are 20 principles by which auditors all live spanning 4 areas: • Conduct; • Preparation; • Performance; and • Reporting. 12 Conclusion

Notes de l'éditeur

  • In reading the book Internal Auditing Pocket Guide, the author outlines 2 Auditing Processes. Outlined here is the simplest outline of the audit process in 5 general steps:
    First one identifies the audit plans which identifies what is supposed to be done.
    Auditor then make observations of what is actually done; and
    The Auditor then evaluate the facts collected from identifying plans and observing the actually activities – a sorting through of the evidence
    A Report of results is then generated and submitted to the CEO outlining the findings of conformance or non-conformance.
    Finally, Auditors engage in follow-up activities to ensure that the problems are corrected.
  • In Russell’s more detailed 7-step audit process described later in the book, I noted that 5 areas provided additional details to the steps in completing an audit. Steps 1, 6 & 7 seem to match or closely resemble steps 1, 3, 4 & 5 on the previous slide.
    As such, after the Audit assignment is received the Auditor begins preparation for the audit like developing an audit plan, etc.
    This a followed by the evaluation and review of documents, standards and strategies that would provide the foundation for the rest of the process. It is possible an initial report cant be generated at this point. A point to note though is that one should observe that Russell insists on a lot pf planning and preparation before the actual audit begins.
    At steps 4 & 5 communication is established and the audit finally begins.
    Finally findings are reported to the CEO in our case.

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