Sunday, June 25, 2017
Tags Posts tagged with "auditors"

auditors

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    Auditor Training

    Internal Auditors require theoretical and practical auditor training. Usually, when organizations train a group of internal auditors, the theoretical training is done by an outside organization.

    This formal auditor training will have to consist of the following:

    • Audit principles
    • Objectives of an audit.
    • Types of audits.
    • Benefits of implementing internal audits.
    • Different auditing approaches.
    • Competences of an auditor.
    • Responsibilities of an auditor.
    • How to prepare for the audit: Establishing the audit program, defining the elements of the management system to be audited, preparation of checklists, selecting the audit team.
    • How to conduct an audit: How to contact the auditee, developing the audit plan, carrying out the opening meeting, how to gather evidences, defining findings, conducting the closing meeting.
    • Reports and Follow-up: Categorization of findings, preparing the report, approval and distribution of the report, monitoring.
    • Competence and evaluation of auditors: General, personal attributes, knowledge and skills, training and work experience, maintenance and enhancement of skills, auditor evaluation.

    In addition to this basic auditor training regarding the skills, knowledge and competences of auditors and how to prepare, conduct and monitor audits, it is essential for internal auditors to fully know and understand the standard that they will be auditing against. Here an additional training session will be required. The most frequent standards that organizations use that require the execution of internal audits are ISO 9001, ISO 14001 and OHSAS 18001; however, the standards use will depend on the needs and objectives of each organization.

    After an auditor has received this theoretical auditor training, they can now begin their practical training by participating in an internal audit. This practical auditor training usually is done following these steps:

    1. Participate in at least 2 audits as an observer or auditor in training. Here they usually participate in the planning stage of the audit but when the audit is being conducted they only observe; they do not take any actions in any of the activities during the audit.
    2. Participate in at least 2 internal audits with supervision of a lead auditor. Here they take a more active role in the preparation and in the conducting of the audit.
    3. After having successfully carried out a number of internal audits and having sufficient skills, knowledge and experience as an internal auditor, he or she may start to conduct audits as an internal auditor leader. This leader takes full action in all of the stages of the audit.

    The above explanation is how internal auditors are usually trained; however, each organization may decide which way to train their auditors is best for them. What is important is for auditors to receive a constant and progressive auditor training that allows them to acquired the necessary skills and knowledge to conduct objective and impartial audits that meet the objectives for which they audits are carried out for.

    Looking for auditor training? Check our listing to see what’s available near you.

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      The internal audit process is essential for any organization that aims to maintain and improve their management system(s).  However, achieving an effective internal audit process can be a challenge, especially for small and medium-size organizations.

      Audits need to be performed by trained and qualified auditors with the sufficient knowledge of the standard being used in order to ensure independence and objectivity. Some organizations do not have the time or budget to train existing workers to become their internal auditors or to employ someone with the required skills to perform these audits. For those organizations, contracting out their internal audits is a feasible option. Some of the benefits organizations can obtain by doing so are:

      • Assure independence. Independence is likely to increase when the auditor does not belong to the organization. In some cases when a close relationship exists between auditors and auditees, independence and objectivity may be jeopardized.
      • Assure knowledge and skills. Most auditors from external organizations have years of training and experience. These auditors not only have the technical skills, but they also follow strict ethical guidelines.
      • Reduce costs. Employing an expert to perform the organization’s internal audits can be expensive. Contracting out will reduce the overall cost of internal audits.
      • Assure an up-to-date knowledge. As any other market, the internal audit market is competitive. This drives audit organizations to become more efficient and constantly improve the services they offer, which benefits the organization being audited.
      • Efficient use of time. Internal audits are time consuming. When they are outsourced, management has more time to focus on the core activities of their business.
      • Decrease the risk of disrupting internal audit. If an organization relies on one person to perform internal audits, a reliance on that person is created, which increases the vulnerability of process. This risk is reduced when the process is outsourced.

      Outsourcing internal audits is an option that should be considered by small and medium-size organizations. However, each organization has its particular needs and circumstances and they should assess if it would suit them better to outsource internal audits or to create their own auditing team.

      There are many organizations that offer audit services, and choosing one is a decision that should not be taken lightly. The time spent choosing the right one will assure an independent and objective audit which will contribute to the improvement of the organization’s management system(s).