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AUDITING SKILLS

SECTION - 3

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Process

Inter-relationship between different activities to

convert an input into out put.

Process

Inputs Outputs

Resources

Controls

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Audit

A systematic and documented process of objectivelyobtaining and evaluating the extent of compliance to thedocumented system.

Functional Audit

Verification of activities related to a function

Process Audit

Verification of activities and their inter- relationshiprelated to a process

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Auditor

One who has the knowledge, skill andcompetence to conduct the audit.

Auditee

One whose is being audited.

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Adequacy Audit :

This is conducted through review of thedocumentation to ensure that all the standardrequirements are addressed in the documented

system.Compliance Audit:

Conducted to check the extent of compliance

to the documented system

Types of Audits

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1st Party Audit:

Audit conducted with-in the organization by theemployees of the organization Internal Audit

2nd Party Audit:

Audit conducted by an organization on theirsuppliers

3rd

Party Audit:Audit conducted by an out side agency who has no

interest in the organization or its suppliers. This type ofaudit normally leads to certification.

Types of audits related to compliance audits :

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Ethical Conduct: Trust, Integrity, Confidentiality andDiscretion

Fair Presentation:The obligation to report truthfully and

accurately

Professional Care: The Application of Diligence andJudgment in Auditing

Independence: Impartiality of the audit and objectivity ofaudit conclusions.

Evidence: The rational method for reaching reliable andreproducible audit conclusions in a systematic auditapproach.

Audit Principles :

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Ethical-Truthful, Sincere, Honest, DiscreetOpen Minded- Respect to others ideas

DiplomaticTactful in dealing with people

Observant

Actively aware of the physical

surroundingsPerceptive-Instinctively aware of and able to understandsituations

Tenacious- Focused on achieving the objectives/

targets/goals.Decisive-Conclude in-time based on logical reasoning

Self-Reliant Acts independently while interactingeffectively with others

Personal Qualities of Good Auditor :

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Interview with employees / management

Observation of work activities

Verification of documents & records

Legal , statutory, safety rules & regulations

Source of Information :

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Use Checklists

Select Sample Size

Reading the records

Questioning and Listening

Body Language

To and Fro Checking

Fact Finding :

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7% Verbal

38% Verification

55% Body Language

Communication through :

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Seek to clarify your ideas before communicating tothem

Examine the true purpose of communication

Consider total human and physical setting both beforeand during communication

Consult with others, where appropriate, beforecommunicating

Whilst communicating be aware of your expression andany overtones as well as your basic message

Principles of Communication :

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Admissible Statements

Document reference number, revision no. and date

Identifiers

Departments

Positions

Names of Auditees, audit participants

Collection of Audit Evidence :

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Check list is a servant not a master

Investigate to the depth necessary

Once the sample colleted is satisfactory thenmove- on to next

Problem; do not panic

Control of Audit :

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Audit must be positive

Audit should help to improve the systems

Non-Conformities are the opportunities forimprovement

Dont look for blame but look for solutions/

improvements

Audit Process :

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Observation : What is the nonconformity[ what]

Explanation: Objective evidence toSubstantiate the non-conformity[where]

Attribution: Reference to the documentedsystem [why]

Writing the Non-Conformity Reports :

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Basic Education

Work Experience

Knowledge and Experience in relation to the areabeing audited

Skill / Training in Auditing

Auditing experience

Auditor Qualifications :

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Evaluation is based on :

Time Management

Effective collection of audit evidences

Writing the non-conformity reports

Effective closure of non-conformity reports

Auditor Evaluation :

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THANK YOU