Internal Audit quiz - Auditor Qualifications and Requirements

John Broomfield

Staff member
Super Moderator
#11
Interesting side note on that... An FDA inspector I once had told me that I, as quality manager, could not audit much of anything because it's all part of the QMS for which I am the "owner" and Management Representative.
She didn't write it up, but she made me remove myself from the annual audit plan for just about everything. Fortunately I have a lot trained internal auditors.
Scott,

Maybe that was the bad old days before Quality Managers engaged top management and process owners in the development of their organizational management systems.

Let's hope so!

John
 
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John Broomfield

Staff member
Super Moderator
#12
Randy,

Thanks for the information. The only thing stated in our Operating Procedure it states: Before any internal audits can begin, the system shall have qualified internal auditors who will perform the work. The auditors will have undergone specific training from a competent source. They will also have demonstrated their understating of auditing principles as well as the concepts of API Q1 ad ISO 9001-2008.

Appreciate everyone on the cove for the help
FEUCHT,

There you have the self-imposed requirement of qualified and trained

But it does not say that the internal auditors demonstrate their competence to audit and to lead audits.

John
 

Randy

Super Moderator
#13
Randy,

Thanks for the information. The only thing stated in our Operating Procedure it states: Before any internal audits can begin, the system shall have qualified internal auditors who will perform the work. The auditors will have undergone specific training from a competent source. They will also have demonstrated their understating of auditing principles as well as the concepts of API Q1 ad ISO 9001-2008.

Appreciate everyone on the cove for the help
OK then, do your folks meet the requirements of your procedure, Yes or No, and do you have objective evidence that can be verified?

It looks like qualification consists of
- Specific training from a competent source
- Demonstration of understanding of auditing principles
- Demonstration of understanding concepts of API Q1
- Demonstration of understanding the concepts of ISO 9001-2008

A couple questions I'd ask (I'm a 3rd party auditor by the way...That's it, all I do is audit)

- How is a competent source of training identified and verified?
- How are the "demonstrations of understanding" established, met and verified?

There could be more based on the answers provided (This is called audit trail development and I've taught it hundreds of times in the past)
 
A

austinlerwick123

#14
Hello everyone, I also want to know that is there any chance go in that field, If I am an IT field engineer.

IHI-EC
 

John Broomfield

Staff member
Super Moderator
#15
Hello everyone, I also want to know that is there any chance go in that field, If I am an IT field engineer.

IHI-EC
Austin,

If you have the following attributes or demonstrate these behaviors then yes:

 Ethical [fair, truthful, sincere, honest and discreet];
 Open-minded [willing to consider alternative ideas or points of view];
 Tactful [diplomatic in dealing with people];
 Observant [actively observing physical surroundings and activities];
 Perceptive[aware of and able to understand situations];
 Versatile [able to readily adapt to different situations];
 Tenacious [persistent and focused on achieving objectives];
 Decisive [reaches timely conclusions based on logical reasoning and analysis];
 Self-reliant [acts and function independently whilst interacting effectively with others];
 Fortitude [acts responsibly and ethically - prepared to disagree or confront with tact];
 Open to improvement [learns from situations, and strives for better results];
 Culturally sensitive [observant and respectful of other cultures];
 Collaborative [effectively interacts with others].

These attributes or behaviors are recommended by ISO 19011.

When combined with the necessary skills and knowledge, which you may learn, you should have the competence to conduct audits and to lead audits well.

And your IT skills and knowledge should help too. After all, our organizational management systems are becoming computerized more and more.

John
 
A

austinlerwick123

#16
Austin,

If you have the following attributes or demonstrate these behaviors then yes:

 Ethical [fair, truthful, sincere, honest and discreet];
 Open-minded [willing to consider alternative ideas or points of view];
 Tactful [diplomatic in dealing with people];
 Observant [actively observing physical surroundings and activities];
 Perceptive[aware of and able to understand situations];
 Versatile [able to readily adapt to different situations];
 Tenacious [persistent and focused on achieving objectives];
 Decisive [reaches timely conclusions based on logical reasoning and analysis];
 Self-reliant [acts and function independently whilst interacting effectively with others];
 Fortitude [acts responsibly and ethically - prepared to disagree or confront with tact];
 Open to improvement [learns from situations, and strives for better results];
 Culturally sensitive [observant and respectful of other cultures];
 Collaborative [effectively interacts with others].

These attributes or behaviors are recommended by ISO 19011.

When combined with the necessary skills and knowledge, which you may learn, you should have the competence to conduct audits and to lead audits well.

And your IT skills and knowledge should help too. After all, our organizational management systems are becoming computerized more and more.

John
Thanks John,

So, I just have to wait for the any entrance exam form to fill it and pass it and also want to know more information. So please can you give me any link where I can get registered for that field.

:thanx:

IHI-EC
 

John Broomfield

Staff member
Super Moderator
#17
Thanks John,

So, I just have to wait for the any entrance exam form to fill it and pass it and also want to know more information. So please can you give me any link where I can get registered for that field.

:thanx:

IHI-EC
Austin,

No, you need to know for yourself whether the attributes and behaviors describe you. Or you could ask a person who knows you well.

One of the auditor certification schemes run by RABQSA, now Exemplar Global, used to offer personal assessments on-line via PAAS Master but I understand this testing device is now subject to "further validation". And, strangely, you could not do the test before forking out the cash for your training.

Psychometric testing may be available elsewhere but as you can see it is not foolproof.

This is a risk that you have to take if you are determined to become an auditor.

John
 

John Broomfield

Staff member
Super Moderator
#19
Andy,

Which of these are unnecessary attributes of an internal auditor and why?

Ethical [fair, truthful, sincere, honest and discreet];
 Open-minded [willing to consider alternative ideas or points of view];
 Tactful [diplomatic in dealing with people];
 Observant [actively observing physical surroundings and activities];
 Perceptive[aware of and able to understand situations];
 Versatile [able to readily adapt to different situations];
 Tenacious [persistent and focused on achieving objectives];
 Decisive [reaches timely conclusions based on logical reasoning and analysis];
 Self-reliant [acts and function independently whilst interacting effectively with others];
 Fortitude [acts responsibly and ethically - prepared to disagree or confront with tact];
 Open to improvement [learns from situations, and strives for better results];
 Culturally sensitive [observant and respectful of other cultures];
 Collaborative [effectively interacts with others].

Many thanks,

John
 
#20
In the context of an internal audit, John, an internal auditor rarely has to be "culturally sensitive". On the whole, these are attributes of an external auditor who, when visiting a client may encounter a far wider range of contexts than most internal auditors. "Fortitude" for example, is nearly a restatement about acting ethically. Open to improvement is a restatement of being "open minded. I could go on.

Internal auditors need to have some aspects of these things, given the context of internal audits. No-where have good language skills - written and verbal been covered...which is fundamental and something which many don't have!
 
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