HR0TR003 How To Be A Good Auditor I02

Doc.
: HR0/TR/003 Page: 1 of 18
Issue : 02 Oct. 17, 2016
How to be a good Auditor
___________________ _________________ ____________________

Training Coordinator HR & SD Head Chief Operating Officer
How to be a good auditor I Masroor Husnain

Steps for Audit System in Alkaram
1 Launch of Audit program

2 Lead Auditors – Internal Auditors – Trainee Auditors
3 Selection of 100 Plus Auditors from Alkaram
4 Internal training of 100 Plus auditors
5 Start of Audit Programme
6 Selection of 50 Plus Internal Auditors from at least 5 practical audits
results.
7 Training of 50 Internal Auditors by external training
8 Selection of 10 Lead Auditors from 10 practical audits results in
Alkaram.
9 External Training selected of Lead Auditors
How to be a good auditor I System Development Page 02

Audit purpose
• To collect objective elements to permit an informed judgment
about the status and the effectiveness of the running
procedures of a management system.
• This Audit training is designed for the management system of
Alkaram which involve ISO 9001:2008, ISO 14001:2004, GOTS,
QCS Standard, Social Compliance, Security Compliance, other
Customer COC, SMETA, GRS. ISO 17025, Inventory audit,
Accounts audit etc.

Audit benefits
• An audit is a catalyst for improvement.

• It’s a management tool
• It improves quality of system which in return
guaranties quality of product, controls and
profitability of an organization etc.
• Audit is the only management tool to help an
organization to improve in its real week areas
to have an edge on competitors.
Definitions
• Audit Criteria set of policies, procedures, standards and SOPs.
• Audit Findings results of the evaluation of the collected audit
evidence against audit criteria
• Audit Conclusion outcome of an audit, provided by the audit team
after consideration of the audit objectives and all audit findings.
• Auditee department being audited.
• Audit Evidence records, statements of fact or other information
which are relevant to the audit criteria and verifiable
• Non-Conformity non-fulfillment of a requirement against control
documents.

Definitions
• Auditor person with the competence to conduct an audit

• Audit team one or more auditors conducting an audit ,
supported if needed by technical expert
• Audit Programe set of one or more audits planned for a
specific time frame and directed towards a specific purpose
• Audit Plan description of the activities and arrangements for
an audit
• Audit Scope extent and boundaries of an audit
• Competence demonstrated personal attributes and
demonstrated ability to apply knowledge and skills

Attributes of good auditor
• Communicative
• Objective • Punctual
• Polite • Unbiased
• Industrious • Practical
• Positive • Principled
• Prepared 10 min explanation
• Helpful
• No police attitude
Auditees’ rights
• They decide time and date
• They have the right to refuse the audit
• Auditees are always given the benefit of doubt
• Auditees have the rights of not accepting any
“Non-Conformity”.

Audit steps
1. Understand scope
2. Decide a team leader
3. Prepare checklist
4. Decide audit duration
5. Contact auditee, decide date and time
6. Do opening meeting
7. Conduct audit
8. Convince auditee and get signed Audit report
9. Arrange closing meeting
10. Send report to SD Central.

Questioning techniques
• Who
• What
• When
• Where
• Why
• How
• Show me
• Do not ask too many closed questions
(Explain with example of computer operator )

Explanation
Classification of findings in following 3 classes
• Intent
• Implementation
• Effectiveness

Source Of Information
• Interviews with work force
• Observe activities
• Check Controlled Documents – Policies,
Procedures , SOPs, Quality Plans, Standards,
Work Instructions, Job Descriptions etc
• Records, Data, Graphs

Recording of improvement points
• No slogans
• No personal observations
• To the point
• Always with reference of document & line.
• Keep in mind some points will be converted into
CPA.
• Audit finding with long term improvement
impact is the real success of audit department.
Audit
Schedule

Auditor
Checklist

Exercises
1. Exercise # 1 : Audit of HR department.
Conclusion : Real success of an audit department starts, when

an atmosphere of comfort, to move ahead, friendship ,and
easiness starts between Auditors and Audites. This is the
day the results of audit department starts making difference
in the company.


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How to be a good Auditor

___________________ _________________ ____________________

How to be a good auditor I Masroor Husnain

1 Launch of Audit program

How to be a good auditor I System Development Page 02

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• An audit is a catalyst for improvement.

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• Auditor person with the competence to conduct an audit

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How to be a good auditor I System Development Page 09

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Conclusion : Real success of an audit department starts, when

How to be a good auditor I System Development Page 17

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