process audit and iso
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Audit ProcessInternal Audit Process & ISO
Presented By -Sadaf HublikarQuality Analyst
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Introduction An audit is an evaluation of a person,
organization, system, process, enterprise, project or product.
Audits are performed to ascertain the validity and reliability of information, also to provide an assessment of a system's internal control. The goal of an audit is to express an opinion of the person, organization or system in question, under evaluation based on work done on a test basis.
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What is an Internal Audit? Internal auditing is an independent, objective
assurance and consulting activity designed to add value and improve an organization's operations.
It helps an organization accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes.
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ISO Standard As per ISO Standard Quality is defined as"The totality of features and characteristics of a product or service that bear on its ability to satisfy stated or implied needs".
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Latest ISO 9000 series
ISO9001:2008 is Quality management systems – Requirements
PreviousAdd latest Versions
ISO9004:2009 is Managing for the sustained success of an organization – A quality management approach
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Revised Quality Principle
5. Improvement
2. Leadership
7. RelationshipManagement
4. Process Approach
1.Customer Focus
6. Evidenced-Based decisionmaking
3. EngagementOf People
Quality Principles
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Purpose of Audits Detection
Protection
Prevention
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Objectives of Audit To provide assurance and reassurance. Implementation of any system developments Amendments to processes Formation of policies, procedures and controls Recommending actions to mitigate the risks arising Feedback and feed forward controls
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Internal Audit Framework Planning
Performing
Reporting
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Planning the Audit
Research Risk Assessment Audit Strategy Preliminary Survey
Policies and Procedures Inputs and Outputs Control Steps People
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Conti…Identify Issue or
ConcernWork plan
Identify Staff Form Audit team
Team Meeting
Identify Audit Requirements
Identify Objectives
Contact Auditee
Identify Type of Audit
Develop Expectations
Objectives ,Scope & Methodology
OSRS for each objective
Applicable Audit Standards
Engagement letter
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Performing Depending upon the audits to be
performed, Auditing Standards prescribe different requirements.
For example: In an operational audit, the audit team should test the compliance with applicable laws and regulations that is as per ISO standards.
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Data Collection & Analysis
Evidence
Working Papers -Schedules -Interviews -Observations
Analysis of Evidence
Developed Findings
Update QARS
Collect and Analyze information pertaining to objectives and subjective-Cause-Effect -Recommendation
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Reporting Auditing and Reporting are not separate
activities but represent a single integrated process.
Thus report is assembled and crafted into a cohesive and
comprehensive document after data collection and analysis is been done respectively.
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ProcedureTeam Meeting
Outline Draft Report
Write Draft Report Audit Manager Review
Independent Report Review
Process Draft Report
Process Final Report
Quality Control
Draft Report to Auditee
Auditee Written Comments
Auditee Comments Added
to ReportIssue Final Report
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Post Audit Evaluation Once the Final Report is issued, the audit
team perform a post audit evaluation to discuss the strength and weakness of audit and suggest
the ways to improve quality of future audit efforts.
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Conti..
Team MeetingDiscuss
Strength & Weakness
Develop Suggestion for Improvement
Staff DevelopmentAudit Quality and Timelines
Identify Audit Leads Work Plan Proposal
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Thank You