JACK WEST

PANEL DE DISCUSIN: COMPETENCIA DEL AUDITOR

COMO COMPONENTE VITAL DE LA CREDIBILIDAD EN
LA CERTIFICACIN
2005 John E. (Jack) West

Auditor Competence
INLAC World Forum 2006
Jack West

2005 John E. (Jack) West

 2005 John E. (Jack) West

Auditor Competence

z
z
z
z

Concept of collective competence

Selection of individual auditors
Individual auditor competence
Clear auditor responsibilities

2005 John E. (Jack) West

Auditor Competence

z
z
z
z

Concept of collective competence

Selection of individual auditors
Individual auditor competence
Clear auditor responsibilities

2005 John E. (Jack) West

Collective competence
z

Whole audit program needs to be capable of

developing good audit results

z
z

Making accurate, unbiased observations

Collecting proper audit evidence
Analyzing evidence
Developing correct findings
Facilitate change through corrective action

Clear charter and procedures for the audit

program
It goes beyond individual auditors

2005 John E. (Jack) West

Connect the Dots

ExampleOutput Matters
1.1a Scopeability to:
consistently

provide product that meets

customerrequirements
enhance customer satisfaction
throughthe assurance of conformity to
customer and applicable regulatory
requirements

5.2 Customer focusensure that

customer requirements are
determined and are met with the aim
of enhancing customer satisfaction
2005 John E. (Jack) West

ExampleOutput Matters
5.3 Quality Policyincludes a
commitment to comply with
requirements and continually improve
the effectiveness of the quality
management system
6.1 Provision of resources--the organization
shall determine and provide the resources
to enhance customer satisfaction by
meeting customer requirements

2005 John E. (Jack) West

ExampleOutput Matters

7.2.1 The organization shall determine:

requirements specified by the customer

requirements not stated by the customer but
necessary for specified or intended use
statutory and regulatory requirements related
to the product.

7.3.6 Design and development validation

required to ensure can meet the
requirements for the specified application
or intended use
2005 John E. (Jack) West

ExampleOutput Matters

5.6.3 Review outputmanagement review

output shall include any decisions and
actions related toimprovement of
product related to customer requirements
8.2.4 Monitoring and measurement of
product--The organization shall monitor
and measure the characteristics of the
product to verify that product
requirements have been met.

2005 John E. (Jack) West

10

ExampleOutput Matters
Commitment to Conformity

Understand Requirements

Validate and Verify Conformity

Conforming Product

Continual Improvement

Satisfied Customers

2005 John E. (Jack) West

11

Collective competence
ITEM 3 WORKSHEET*
AUDIT PROGRAM CHARTER
Who Should Charter the Audit
Program

What action is needed to

Obtain Their Commitment

What are the Key Reasons for

Having a Sound Internal
Quality Audit Program?

What Results Should be

Achieved from the Internal
Audit Program?

What Are The Advantages And

Disadvantages Of Each
Option?

Write a draft charter for the audit program

What Options Do We Have For
Audit Program Resources?

2005 John E. (Jack) West

*From How to Audit the Process-Based QMS

12

Worksheets from How to

Audit the Process-Based
QMS by Dennis Arter,
Charlie Cianfrani, and Jack
West
Published by ASQ Quality
Press

2005 John E. (Jack) West

13

Auditor Competence

z
z
z
z

Concept of collective competence

Selection of individual auditors
Individual auditor competence
Clear auditor responsibilities

2005 John E. (Jack) West

14

Selection of individual
auditors
z

Best & Brightest

people

z
z

2005 John E. (Jack) West

Highly motivated
Well educated
Upwardly mobile
Etc.

Cant do this if all are

full time auditors
Right characteristics

15

Selection of individual
auditors
ITEM 6 CHECKLIST*
Auditor Characteristics
Characteristic qualifications to look for when
evaluating and selecting personnel to perform
internal audits:
Inquisitive nature.
Listening skills..
Project and time management skills.
Ability to get along with people.
Writing skills..
Organizational skills..
Flexibility.
2005 John E. (Jack) West

*From How to Audit the Process-Based QMS

16

Internal Auditor Competence

z
z
z
z

Concept of collective competence

Selection of individual auditors
Individual auditor competence
Clear auditor responsibilities

2005 John E. (Jack) West

17

Individual auditor
competence
z
z
z

Develops over time

Training is required but so is experience
If you select the right people, limited
training and a bit of experience may be
enough
If you select the wrong people no amount
of training and experience can make up
for it

2005 John E. (Jack) West

18

Individual auditor
competence

ITEM 8 CHECKLIST*
Training and experience to ensure auditor competence
Formal training on ISO 9001:2000.
Formal training on other requirements that are applicable
to the organization.
Training specifically targeted at the kind of internal auditing
to be performed in the organization, including actual audit
practice.
Training on organization-specific requirements, including
the scope and contents of the quality management system.
Observing audits performed by others in the organization.
Auditing under the supervision of a qualified auditor, either
the audit boss or another individual who is authorized to
make the decision that the candidate is capable of
conducting internal audits.

2005 John E. (Jack) West

*From How to Audit the Process-Based QMS

19

Individual auditor
competence

ITEM 8 CHECKLIST Continued*

Training to consider to ensure maintenance of auditor

competence
Update on standards
Update on changes to internal requirements
Best practices from other organizations or from internal staff
Highlights from past year
Case study exercises
Effective report writing and interviewing

2005 John E. (Jack) West

*From How to Audit the Process-Based QMS

20

Auditor Competence

z
z
z
z

Concept of collective competence

Selection of individual auditors
Individual auditor competence
Clear auditor responsibilities

2005 John E. (Jack) West

21

Clear responsibilities
Good Audit Program

Best and Brightest Auditors

High Auditor Competence

Unclear Responsibilities

2005 John E. (Jack) West

22

Clear responsibilities
ITEM 7 CHECKLIST*
Responsibilities of audit personnel
Audit team leaders
Planning, organizing, and directing the audit
Representing the team to the auditee and the audit boss
Leading the team in reaching conclusions
Preventing and resolving conflicts
Preparing and completing the audit report
Team members
Preparing for their assignments
Gathering data and forming conclusions
Contributing to the audit report
Subject matter experts
Advising the team on possible sources of data
Gathering data within their specialty area
Assisting in the analysis of data within their specialty area
Contributing to the technical accuracy of the report

2005 John E. (Jack) West

*From How to Audit the Process-Based QMS

23

 2005 John E. (Jack) West

24

Thanks for your

Attention
Questions

?
2005 John E. (Jack) West

25

About Jack West

www.SilverFox.org or
http://members.aol.com/jackwestquality/index.htm

Jack is a quality professional who helps organizations improve productivity and quality. He has nearly thirty
years of experience in industry with Tenneco, Inc. in a wide variety of industries including shipbuilding,
packaging, automotive parts manufacturing, chemicals, and manufacturing of farm machinery and
construction equipment. In his consulting work, Jack has led implementation of TQM and Cost of Quality
processes.
His extensive international experience includes working with organizations around the world to implement
effective ISO 9000 quality systems focused on lower costs and higher customer satisfaction. In 1993 and
1994, Jack served as Tennecos Director of Quality for European operations based in Brussels.
He is a fellow of ASQ. He served for four years (1990-1993) on the Board of Examiners for the Malcolm
Baldrige National Quality Award and has implemented internal Total Quality Management Assessment
processes based on the Baldrige Award criteria. From 1997 through 2005 Jack was the Chair of the US TAG
to ISO TC 176 and lead delegate for the United States to the International Standards Organization committee
responsible for the ISO 9000 family of quality management standards. He continues to work as a delegate to
the committee. He is also a member of the board of directors of the Registrar Accreditation Board (RAB).
Jack has authored many papers and articles. He is co-editor of the ASQ ISO 9000:2000 Handbook, and coauthor of ISO 9001:2000 Explained, ISO 9001:2000, An Audio Workshop and Master Slide Presentation,
Cracking the Case of ISO 9001:2000 for Manufacturing, Cracking the Case of ISO 9001:2000 for Service, How
to Audit the Process-Based QMS , all published by the American Society for Quality, and Unlocking the Power
of Your QMS. He also has produced the video programs on Internal Auditing Basics, Dealing with External
Auditors, and Quality Basics published by INFORM and also available from ASQ. He was the 2003 recipient of
the ASQs Freund Marquardt Award for his work related to standards.

2005 John E. (Jack) West

26