TQCSI Auditor Training
WITNESS ASSESSMENT
REPORTS
References
• MM 3.6, Evaluation
• TQCSIF-76, Witness Audit Assessment.
TQCSI Auditor Training
When Required
• initially conducted by GM or most senior LA
• on promotion to higher status (eg A to LA)
• 3 yearly - any program (assessing auditing
techniques)
• will need to be a Senior LA in future.
TQCSI Auditor Training
Technical Specialists
• initially at first audit by Audit Team Leader or
LA
• only require last 2 criteria (knowledge of
client’s business sector and processes)
• no ongoing assessment.
TQCSI Auditor Training
Nuts Warning
• Auditors in Nuts turns:
– Yellow – assessment req’d within 6
months
– Red - when overdue
• if red - auditors’ time cannot count towards
audit duration.
TQCSI Auditor Training
Findings
• C – competent
• N – not yet competent
• O – observation
• N/A – not observed.
TQCSI Auditor Training
Assessment Criteria
• Planning, Preparation & Briefing
• Entry Meeting
• Audit Management (Audit Team Leader only)
• Skills & Technique
• Auditor Meeting
• Exit Meeting
• Reporting.
TQCSI Auditor Training
Assessment Criteria…cont
• Audit Report (Audit Team leader only)
• Compliance with TQCSI Procedures
• Relationship with Client
• Knowledge of Standard
• Knowledge of Client’s Business Sector
• Knowledge of Client’s Processes.
TQCSI Auditor Training
Assessment Criteria
• copy of plan, if applicable
• plan delineates roles, coded auditors (TL)
• copy of Client Details Report, previous report,
report template, Standard(s)
• appropriate PPE.
TQCSI Auditor Training
Assessment Criteria
• Scope - audit type, program(s), sites,
functions, processes to be audited &
exclusions
• confirm products/services & technologies
• follow Entry Meeting Agenda (F-28).
TQCSI Auditor Training
Assessment Criteria
• applicable to TL only
• professional, controlled, efficient
• arrange meeting with relevant persons
• monitor team members progress (time).
TQCSI Auditor Training
Assessment Criteria
• interview skills - able to obtain information
required
• apply System concepts to any operation.
TQCSI Auditor Training
Assessment Criteria
• sharing of findings to audit team & TL for
consolidation
• checks to confirm scope is covered
• exit meeting communication.
TQCSI Auditor Training
Assessment Criteria
• exit meeting ensures the client is clear on
findings and actions required
• Exit Meeting Agenda (F-28) followed.
TQCSI Auditor Training
Assessment Criteria
• sufficient details on worksheets
• auditor input (oral, email, notes, F20B) to
TL & ease of incorporation into report
• other evidence - photographs, minutes, data
analysis reports.
TQCSI Auditor Training
Assessment Criteria
• applicable to TL only
• findings and summary in report accurately
reflect findings on audit day
• report sent to assessor by office to review
• if report not received remind office!!
TQCSI Auditor Training
Assessment Criteria
• findings classified during audit reflect
policies and procedures
• referral to & use of system policies and
procedures if required during audit.
TQCSI Auditor Training
Assessment Criteria
• able to put client at ease but maintain control
• communicate clearly in appropriate tone
• not socialise too much.
TQCSI Auditor Training
Assessment Criteria
• for processes audited, requirements of
standard(s) covered, knowledge reflected
• awareness of any regulatory & codes evident
• auditing process & code of conduct
followed.
TQCSI Auditor Training
Assessment Criteria
• comment on auditor’s awareness and
knowledge of clients operations for the codes
covered by the auditor (NACE/E/S/F).
TQCSI Auditor Training
Assessment Criteria
• summarise auditor’s performance to support
the recommendation
• which audit status, signed by Assessor.
TQCSI Auditor Training
Assessment Criteria
• be comfortable with your recommendation!!
• don’t feel pressured to pass/upgrade the
auditor
• only do so when confident the auditor is
ready – not ‘perfect’
• it’s ok to have some N’s (NYC) throughout
assessment & still pass the auditor.
TQCSI Auditor Training
Assessment Criteria
• any N’s identified are listed under Training
Required if a recommendation is approved
by CAP
• forward report to office.
TQCSI Auditor Training
Assessment Criteria
• GM confirms auditor’s conformance with
TQCSI philosophies
• fit & proper person test.
TQCSI Auditor Training
Assessment Criteria
• AEP member reviews assessment & audit
report
• overall evaluation & status
• lists training requirements & approval.
TQCSI Auditor Training
Head Office
• dates updated in Nuts
• training required add to Competencies in Nuts
• signed by International Coordinator or
Administrator.
TQCSI Auditor Training
Common Issues
• ‘C’ where not assessed
• ‘C’ for all categories!
• ‘C’ for all categories of TS!
• insufficient comments to support ‘C’ & ‘N’ s.
TQCSI Auditor Training
Other Issues
• witness assessments conducted by another
body (eg JAS-ANZ, other Accreditation Body,
RABQSA Skills Examiner) will satisfy 3
yearly assessment
TQCSI Auditor Training
TQCSI
Thank you!
TQCSI Auditor Training