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    How To Perform An ISO Internal Audit Presentation Deck

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    MARK CASANOVA
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    How To Perform An ISO Internal Audit Presentation Deck

    Uploaded by

    MARK CASANOVA
    3 views17 pages
    Thank you for the presentation. Please let me know if you have any other questions.

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    How_to_perform_an_ISO_internal_audit_presentation_deck

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    3 views17 pages

    How To Perform An ISO Internal Audit Presentation Deck

    Uploaded by

    MARK CASANOVA
    Thank you for the presentation. Please let me know if you have any other questions.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    of 17

    How to perform

    an ISO internal audit

    Presenter:
    Carlos Pereira da Cruz
    Follow
    Audit vocabulary

    Reality Audit Audit


    (scope) evidence
    versus criteria

    Audit
    Audit
    objective
    objective
    versus
    ∑ Audit
    findings

    Audit
    conclusion

    2 | ©2023 Advisera Expert Solutions https://advisera.com


    Agenda

    • A program and a process


    • Receive an assignment
    • Prepare a checklist and an agenda
    • Perform the audit
    • Write the report
    • Main challenges

    3 | ©2023 Advisera Expert Solutions https://advisera.com


    A program and a process
    Program audit Audit program

    Prepare audit Audit agenda + Checklist

    ∑
    Perform audit Checklist
    ✍️

    Report audit Audit report

    Follow-up audit Records

    Perform global Report


    evaluation

    4 | ©2023 Advisera Expert Solutions https://advisera.com


    Qualification of auditors
    Must know good
    Generic Must know the
    auditing
    qualifications standard
    practices

    Company Certified In-house Watching a Reading a


    requirements training? training? video? book?

    Plus, an exam
    Authority to set How many
    specific Experience? performed in-
    hours?
    requirements house?

    Do not audit
    own work!
    5 | ©2023 Advisera Expert Solutions https://advisera.com
    Receiving the assignment
    • Audit team
    • Audit scope
    • Audit criteria
    • Audit objective
    Design Is it according to standard or legislation?

    Conformity Is it followed? Is it implemented?

    Effectiveness Are objectives being achieved?

    6 | ©2023 Advisera Expert Solutions https://advisera.com


    Preparing a checklist – distilling requirements
    7.2 Competence

    The organization shall:


    a) determine the necessary competence of person(s) doing
    work under its control that affects its [MS] performance;
    b) ensure that these persons are competent on the basis of
    appropriate education, training, or experience;
    c) where applicable, take actions to acquire the necessary
    competence, and evaluate the effectiveness of the actions
    taken;
    d) retain appropriate documented information as evidence of
    competence.
    7 | ©2023 Advisera Expert Solutions https://advisera.com
    Preparing a checklist – preparing questions
    determine the necessary Why can they
    Who can perform this job?
    competence perform this job?

    ensure that these persons are Why do you consider them


    competent competent to do this job?

    take actions to acquire the What actions were taken


    to make them competent
    necessary competence for the job?
    evaluate the effectiveness of the How can you be sure that
    those actions were
    actions taken effective?
    retain appropriate documented
    information as evidence of
    competence
    8 | ©2023 Advisera Expert Solutions https://advisera.com
    Prepare an audit plan (or agenda)

    Checklist
    Time Where Auditee(s) Auditor(s) Topic(s)
    (Auditor A)
    Checklist
    A A X 4
    (Auditor B)
    Checklist B B y 5
    (Auditor C) C C 6
    9
    10

    What
    Who Sequence
    Where
    Time Meetings
    9 | ©2023 Advisera Expert Solutions https://advisera.com
    Perform the audit

    • Opening meeting (?)


    • Gathering evidence
    • Sampling and tracing
    • Interviews
    • Kinds of questions
    • Beware of perceptions
    • Listen! Villain

    • Beware of auditee’s tactics


    Victim Hero
    10 | ©2023 Advisera Expert Solutions https://advisera.com
    Audit report example
    Introduction: Why the audit was performed (purpose), what was examined
    (scope), what was used as reference (criteria), when (date) and where (site(s))
    it took place, who participated (auditors and auditees) and the distribution
    list for report
    Audit conclusions
    List of Findings and Improvement Opportunities
    ISO XXXX:20YY, clause 7.2 Competence, states, "b) ensure that workers are
    competent ... SHALL
    When reviewing competence records, HR could not provide evidence that all
    new workers, in areas considered critical by the company, had system related
    training. FOUND
    Workers F. and G. performing relevant activities in area 51, without evidence of
    effective training. PROOF
    11 | ©2023 Advisera Expert Solutions https://advisera.com
    Classification of audit findings
    Reality Audit Audit
    versus
    (scope) evidence criteria

    • Nonconformities
    • Compliance, and best practices Audit
    findings

    • Opportunities for improvement


    • Major versus minor nonconformity
    • Failure to fulfil a requirement
    • Process/procedure completely fallen apart
    • Several minor NC's related to the same process/procedure
    • Correction versus corrective action

    12 | ©2023 Advisera Expert Solutions https://advisera.com


    Main challenges

    • Programming internal audits


    • Preparing an audit
    • Qualifying auditors
    • Preparing an audit checklist

    13 | ©2023 Advisera Expert Solutions https://advisera.com


    Conclusion
    ISO Internal Auditor courses
    https://advisera.co/InternalAuditorCourses
    Internal audits can be
    a powerful tool to
    monitor conformance
    to management
    system criteria and to
    verify effectiveness.

    14 | ©2023 Advisera Expert Solutions https://advisera.com


    Q&A
    Carlos Pereira
    da Cruz

    Follow
    How to develop an audit program
    Clauses Departments / March July November
    Areas
    4 A A 4 D 7 B 6
    5 B B 5 F 8 C 7
    6 C C 6 F 9
    7 D 9
    8 F 10
    9
    Auditors
    10 X y X
    X
    y z z
    y
    Objectives
    z Time
    Risks
    Evening and night shifts

    16 | ©2023 Advisera Expert Solutions https://advisera.com


    Thank You
    https://advisera.co/InternalAuditorCourses

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