Auditor Competence

2005 John E. (Jack) West

Auditor Competence
INLAC World Forum 2006
Jack West

2005 John E. (Jack) West

 2005 John E. (Jack) West

Auditor Competence

z
z
z
z

Concept of collective competence

Selection of individual auditors
Individual auditor competence
Clear auditor responsibilities

2005 John E. (Jack) West

Auditor Competence

z
z
z
z

Concept of collective competence

Selection of individual auditors
Individual auditor competence
Clear auditor responsibilities

2005 John E. (Jack) West

Collective competence
z
z

Clear charter and procedures for the audit program

Whole audit program needs to be capable of
developing good audit results

Making accurate, unbiased observations

Collecting proper audit evidence
Analyzing evidence
Developing correct findings
Facillitate change through corrective action

It goes beyond individual auditors

2005 John E. (Jack) West

Worksheets from How to

Audit the Process-Based
QMS by Dennis Arter,
Charlie Cianfrani, and Jack
West
Published by ASQ Quality
Press

2005 John E. (Jack) West

Collective competence
ITEM 3 WORKSHEET*
AUDIT PROGRAM CHARTER
Who Should Charter the Audit
Program

What action is needed to

Obtain Their Commitment

What are the Key Reasons for

Having a Sound Internal
Quality Audit Program?

What Results Should be

Achieved from the Internal
Audit Program?

What Are The Advantages And

Disadvantages Of Each
Option?

Write a draft charter for the audit program

What Options Do We Have For
Audit Program Resources?

2005 John E. (Jack) West

*From How to Audit the Process-Based QMS

8

Collective competence
ITEM 4 CHECKLIST*
Items to consider when preparing an internal Auditing Procedure
Does the procedure address:

the objectives of the overall Internal Audit Program

who owns the Internal Audit Program

a process for identification of processes to be

audited

scheduling of individual audits to be performed,

selection of the processes, areas, and functions to

be audited

dissemination of an annual plan of what to audit

auditor selection and a process for determining

who can audit what

responsibilities for planning and conducting audits

reporting of audit results

relationship of audit process to the corrective action

process and to follow-up
Additional considerations:
The internal audit procedure does not have to be long or complex.
The procedure is generally owned by the audit boss.
2005 John E. (Jack) West

*From How to Audit the Process-Based QMS

9

Auditor Competence

z
z
z
z

Concept of collective competence

Selection of individual auditors
Individual auditor competence
Clear auditor responsibilities

2005 John E. (Jack) West

10

Selection of individual
auditors
z

Best & Brightest

people

z
z

2005 John E. (Jack) West

Highly motivated
Well educated
Upwardly mobile
Etc.

Cant do this if all are

full time auditors
Right characteristics

11

Selection of individual
auditors

ITEM 6 CHECKLIST*
Auditor Characteristics
Characteristic qualifications to look
for when evaluating and selecting
personnel to perform internal
audits:
Inquisitive nature.
Listening skills..
Project and time management skills.
Ability to get along with people.
Writing skills..
Organizational skills..
Flexibility.
*From How to Audit the Process-Based QMS

2005 John E. (Jack) West

12

Internal Auditor Competence

z
z
z
z

Concept of collective competence

Selection of individual auditors
Individual auditor competence
Clear auditor responsibilities

2005 John E. (Jack) West

13

Individual auditor
competence
z
z
z

Develops over time

Training is required but so is experience
If you select the right people, limited
training and a bit of experience may be
enough
If you select the wrong people no amount
of training and expereience can make up
for it

2005 John E. (Jack) West

14

Individual auditor
competence
ITEM 8 CHECKLIST*
Training and experience to ensure auditor competence
Formal training on ISO 9001:2000.
Formal training on other requirements that are
applicable to the organization.
Training specifically targeted at the kind of internal
auditing to be performed in the organization, including
actual audit practice.
Training on organization-specific requirements,
including the scope and contents of the quality
management system.
Observing audits performed by others in the
organization.
Auditing under the supervision of a qualified auditor,
either the audit boss or another individual who is
authorized to make the decision that the candidate is
capable of conducting internal audits.
2005 John E. (Jack) West

*From How to Audit the Process-Based QMS

15

Individual auditor
competence
ITEM 8 CHECKLIST Continued*

Training to consider to ensure maintenance of auditor

competence
Update on standards
Update on changes to internal requirements
Best practices from other organizations or from
internal staff
Highlights from past year
Case study exercises
Effective report writing and interviewing

2005 John E. (Jack) West

*From How to Audit the Process-Based QMS

16

Auditor Competence

z
z
z
z

Concept of collective competence

Selection of individual auditors
Individual auditor competence
Clear auditor responsibilities

2005 John E. (Jack) West

17

Clear responsibilities
Good Audit Program

Best and Brightest Auditors

High Auditor Competence

Unclear Responsibilities

2005 John E. (Jack) West

18

Clear responsibilities

ITEM 7 CHECKLIST*
Responsibilities of audit personnel
Audit team leaders
Planning, organizing, and directing the audit
Representing the team to the auditee and the audit
boss
Leading the team in reaching conclusions
Preventing and resolving conflicts
Preparing and completing the audit report
Team members
Preparing for their assignments
Gathering data and forming conclusions
Contributing to the audit report
Subject matter experts
Advising the team on possible sources of data
Gathering data within their specialty area
Assisting in the analysis of data within their specialty area
Contributing to the technical accuracy of the report

2005 John E. (Jack) West

*From How to Audit the Process-Based QMS

19

 2005 John E. (Jack) West

20

Thanks for your

Attention
Questions

?
2005 John E. (Jack) West

21

About Jack West

www.SilverFox.org or
http://members.aol.com/jackwestquality/index.htm

Jack is a quality professional who helps organizations improve productivity and quality. He has nearly thirty
years of experience in industry with Tenneco, Inc. in a wide variety of industries including shipbuilding,
packaging, automotive parts manufacturing, chemicals, and manufacturing of farm machinery and
construction equipment. In his consulting work, Jack has led implementation of TQM and Cost of Quality
processes.
His extensive international experience includes working with organizations around the world to implement
effective ISO 9000 quality systems focused on lower costs and higher customer satisfaction. In 1993 and
1994, Jack served as Tennecos Director of Quality for European operations based in Brussels.
He is a fellow of ASQ. He served for four years (1990-1993) on the Board of Examiners for the Malcolm
Baldrige National Quality Award and has implemented internal Total Quality Management Assessment
processes based on the Baldrige Award criteria. From 1997 through 2005 Jack was the Chair of the US TAG
to ISO TC 176 and lead delegate for the United States to the International Standards Organization committee
responsible for the ISO 9000 family of quality management standards. He continues to work as a delegate to
the committee. He is also a member of the board of directors of the Registrar Accreditation Board (RAB).
Jack has authored many papers and articles. He is co-editor of the ASQ ISO 9000:2000 Handbook, and coauthor of ISO 9001:2000 Explained, ISO 9001:2000, An Audio Workshop and Master Slide Presentation,
Cracking the Case of ISO 9001:2000 for Manufacturing, Cracking the Case of ISO 9001:2000 for Service, How
to Audit the Process-Based QMS , all published by the American Society for Quality, and Unlocking the Power
of Your QMS. He also has produced the video programs on Internal Auditing Basics, Dealing with External
Auditors, and Quality Basics published by INFORM and also available from ASQ. He was the 2003 recipient of
the ASQs Freund Marquardt Award for his work related to standards.

2005 John E. (Jack) West

22