4A3 Auditor Training and Development In the topic of audit program management so far we have talked about senior management support and we have talked about staffing and resource management. In the previous lecture we talked about the budgeting for staffing and resource management. Now coming to this third topic which is auditor training and development. Auditing is a skill and knowledge which needs to be learned and mastered. So rather than talking about auditor training, let’s talk about auditor competence, what makes an auditor competent and this competence will…

4A1 Senior Management Support Welcome to section four of the CQA Body of Knowledge. Section four is audit program management and business applications. Let’s recap what we have learned so far. In section One, we talked about audit fundamental. There we talked about basic terms related to audit, the benefits of audit and few other things. So the section one was basically focused on the fundamentals related to auditing. Then we moved to section Two. Section Two was audit process. There we talked about individual audit. We prepared an audit…

3F2 Team Facilitation In the topic of team dynamics. Previously we talked about team building. Now coming to the second topic, which is team Facilitation. Let us understand what is facilitation? Facilitation means to make it easy and what does Facilitator do? Facilitators make things easy for the audit team. So that means the facilitator coaches or helps the team to achieve the objective, the outcome which this team is expected to achieve. And now when it comes to team Facilitation, here we are talking about long term success of…

3E Interviewing Techniques So let’s quickly recap those what we learned earlier and then we will look at few other points related to interviewing techniques. So this is the slide which we have seen earlier as well. So when you are interviewing auditing make sure that you have a suitable climate where you can comfortably talk with auditing and then ask a question in conversational way rather than looking at the checklist and asking those questions and take notes quotes and then make sure that whatever questions you are asking…

3C Conflict Resolution – Part 2 Here in this lecture we are looking at a formal model of conflict resolution which is Thomas Skelman model of conflict resolution. So before we look at this model, let’s look at two underlying dimensions of conflict. So when you have conflict, there are two things. There are two conflicting needs, there are two conflicting views, there are two conflicting perceptions. Now these perceptions are the views or the thoughts are of auditor and audit in our context. Now these two views are my…

3B On-site Audit Resource Management Coming to the second topic, which is on site audit resource management. So now here you are at the site, at the audit site and you have to manage this audit as an audit team leader or even as an auditor. One of the most important thing is managing time. When you are at site, most of the time you will have that say two days audit, three days audit, and many times this might be just one day audit. You have to manage this…

3 Auditor Competencies Of subsections in auditor competencies and these are auditor characteristics onsite audit, resource management, conflict resolution, communication and presentation techniques, interviewing techniques, and team dynamics. So these are the topics which we will be discussing in auditor competencies. Let’s start with auditor characteristics, which is the first topic here. So here in this section, we will be talking about auditor characteristics. What are the characteristics that make an auditor effective? Effective in achieving the target or effective in achieving the goal? What this auditor or lead auditor…

2D2 Review of corrective and preventive action (CAPA) plan So here are steps related to corrective action plan. The step number one is audit team identifies the nonconformity during the audit. We have talked about that. Then the audit team proposes the corrective action. We have talked about that as well in the previous lecture. Now, coming to the step of corrective action plan review, this plan is reviewed either by the client who has requested for the audit or this plan is reviewed by the audit program manager which…

2C3 Final audit report steps Now we are coming to the third topic in audit reporting, which is final audit report steps. So, here on this slide, there are few important questions which the audit team or the audit team leader needs to be aware of when issuing the report. So the first thing which audit team leader needs to be aware of is whether this report is to be reviewed by client before this is issued to audity or not. The second question which needs to be considered here…

2C1 Audit report development and content In audit process. So far we have talked about section two A and that was audit preparation and planning. There we talked about the planning part of audit. Then we looked at section two B which was related to audit performance. In audit performance, we talked about the opening meeting, the audit interviews and closing meeting, et cetera. Now coming to section two C which is audit reporting. Once you have completed the onsite part of the audit and have already completed the closing…