Auditing and Review in Companies

Learn Auditing and Review Skills

Accounting & Financial Management 4.5(66)2h 49m19 lectures3 sections

What you'll learn

Understand the objectives and principles of auditing
Get to know the types and stages of auditing
Learn the qualities of the auditor and audit responsibilities
Understand the audit workflow and question checklists
Discuss audit questions
Set the levels of nonconformity
Suggest corrective actions
Review the requirements of the standard
Apply auditing to different case studies

About this course

This course teaches the basics of auditing and review inside companies, meaning how an auditor examines activities and processes and compares them with the requirements of the standard to find cases of nonconformity and suggest corrective actions. The course starts with an introduction to the audit program, then the objectives and principles of auditing, the types of audits and their different stages, positive auditing, the qualities of the auditor and audit responsibilities. After that you learn the audit workflow and question checklists, discussing audit questions, the levels of nonconformity and corrective actions, and questions for reviewing the requirements of the standard. It ends with case studies in customer service, sales, the environment, quality assurance, occupational health and safety, quality control and human resources, with a workbook and templates for forms and reports. This course helps people working in quality, management and human resources, and anyone who wants to work as an internal auditor or reviewer. You need no previous experience, because the course starts from the basics. In the end you will be able to understand the audit stages, prepare question checklists, set the level of nonconformity and suggest corrective actions.

Expected outcomes

Comprehensive understanding of auditing and reviewing tools and techniques.
Improving operational efficiency within organizations.
Reducing errors and enhancing process accuracy.
Ensuring compliance with standards and corporate policies.
Elevating overall organizational performance.
Enhancing professional development opportunities in auditing and reviewing.

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Course content

Auditing and Review within Companies ISO 19011

10 lectures

Introduction to the Audit ProgramIntroduction to the internal audit program under ISO 19011: defining an audit as a systematic, independent, documented examination, and the concepts of audit criteria, evidence, and findings, with practical case studies.19:23
Objectives and Principles of AuditingExplains the goals and principles of internal auditing under ISO 19011: measuring conformity, judging system effectiveness, driving continual improvement, attacking the problem not the people, and reporting honestly and objectively.15:51
Types of Auditing and Its Various StagesExplains the types of audit, first, second and third party, and the purpose of each, then the three audit phases: preparation, on-site execution, and reporting with corrective action follow-up, including setting objectives and scope.13:08
Positive Auditing and Auditor TraitsDistinguishes positive from negative auditing, and covers the traits of a good auditor, such as domain experience, neutrality and managing discussion well, versus undesirable traits, and how these affect the value an audit gives the organization.16:37
Audit ResponsibilitiesExplains the responsibilities of the audit team, its leader and the auditor, as well as those of the audited party, from preparing checklists and reporting nonconformities to approving and distributing the final report, and cooperating toward audit goals.9:01
Audit Workflow and Question ListsWalks through the audit workflow from the audit plan, formal notice, opening meeting and sampling to recording what was verified, and explains why checklists matter and how to build, reuse and improve them.19:28
Discussion of Audit QuestionsExplains how to ask audit questions and verify information, the difference between preferred open questions and discouraged closed ones, how nonconformities are classified, and what an audit report and its findings contain.9:00
Levels of Non-Conformance and Corrective ActionsExplains how to write up a nonconformity and its major and minor levels, and the elements of the corrective action and audit report: problem description, standard clause, evidence, causes, the responsible party and the deadline.11:37
Activity Verification QuestionsExplains how to prepare audit questions tied to department activities such as warehouses, purchasing, quality and sales, covering storage conditions, material issue, supplier evaluation, measuring equipment calibration, customer complaints and returns.9:18
Review Questions for Specification RequirementsCovers questions for auditing ISO 9001 requirements such as organizational context, interested parties, the quality policy and objectives, how to record conforming and nonconforming items, and scoring suppliers.9:00

Case Studies

7 lectures

Case Study: Customer ServiceA case study auditing the customer service department: sampling complaints, analyzing the cause of delivery delay, judging whether the corrective action was appropriate, and writing the nonconformity description tied to the improvement clause of the standard.7:18
Case Study: SalesA sales department case study: a product was returned because the customer received the wrong raw material grade. It shows how the auditor finds the nonconformity under product release, checks records for the root cause, and directs the corrective action to the right department.4:07
Case Study: EnvironmentAn ISO 14001 environmental management case study: the auditor finds hazardous waste is handled but with no records of quantities or disposal methods, so it is written up as a major nonconformity due to missing evidence.2:31
Case Study: Quality AssuranceA quality assurance case study: the audit plan had a section head audit his own manager's department, which the auditor records as a nonconformity for lacking the independence and impartiality required by ISO 19011 and the internal audit clause.3:58
Case Study: Occupational Safety and HealthAn ISO 45001 occupational health and safety case study: evacuation drills were held but no corrective action was taken on their weaknesses, so a nonconformity is recorded against the operation, corrective action and continual improvement clauses.2:26
Case Study: Quality ControlA quality control case study in a bakery plant: an unwrapped product found among packaged ones. Failing to separate rejected from accepted products is a nonconformity, with fixes such as separate areas and color-coded identification cards.3:34
Case Study: Human ResourcesAn HR case study in a contracting company: an architectural designer holds an art education degree despite being highly competent. It shows how the auditor judges by the standard's requirements of education, training and experience, and how corrective actions are followed up.12:48