AUDIT Training (English)
44
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN QUALITY AUDIT INTERNAL AUDIT TRAINING
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A presentation for training in Indonesia about AUDIT which is such a documented examination of the act anddecisions with respect to quality in order to independently verify orevaluate compliance assurance program or the applicable specificationor contract requirements of the product.
Transcript of AUDIT Training (English)
QUALITY AUDIT
INTERNAL AUDIT
istory of Audit.
Quality Assuranc Au!it "rinci"ls c#$ %r#$ %inancial au!it Financial au!it &a' (n us %#r #'r )** yars+
Surveys and Audits.
Ar a$#n, t& $#st %%cti' t##ls us! (y ,nral $ana,$nt an! -uality assuranc $ana,$nt+
Gi' a !irct an! %actual ans.r t# t& $ana,$nt -usti#n+
Is .&at s&#ul! ( !#n actually !#n
Definition of Survey.
A SUR2EY is a !#cu$nt! 'aluati#n #% an #r,ani3ati#n4s a(ility t# "r%#r$ r-uir! acti'itis as 'ri%i! (y !tr$inati#n #% t& a!-uacy #% t& #r,ani3ati#n4s -uality assuranc "r#,ra$ an! (y a r'i. #% t& i$"l$ntati#n #% t& -uality assuranc "r#,ra$ #r t& l#cati#n #% .#r1+
Definition of Audit.
Features of a Survey.
6 A sur'y7 8 'aluats a -uality assuranc "r#,ra$ a,ainst a""lica(l r-uir$nts 8 is (r#a! in sc#" an! r-uirs $uc& 9u!,$nt 6 2n!#rs ar sur'y! (%#r "urc&as #r!rs ar issu! 6 Sur'y c#nsists #% t.# "arts 8 !tr$inin, t&at a -uality $anual an! su""#rtin, "r#c!urs $t r-uir$nts 8 !tr$inin, t&at t& #r,ani3ati#n %#ll#.s t& -uality $anual an! su""#rtin, "r#c!urs+
Requirements for
Surveys.
Features of an Audit
6 An au!it c&c1s t&at t& r-uir$nts #% t& -uality assuranc $anual an! su""#rtin, "r#c!urs ar i$"l$nt!
6 An Au!it is (lac1/.&it0 ys/n#
Requirement for Audit.
T# assur c#$"lianc .it& all as"ct #% t& -uality assuranc "r#,ra$ : ;lann! an "ri#!ic : Au!it sc&!ul r-uir! : ;r%#r$! usin, .rittn c&c1list : Au!it#rs $ay n#t &a' !irct rs"#nsi(ility in t& ara (in,
au!it! : C#rrcti' acti#n an! %#ll#.<u" au!its
Kinds of
audits.
Internal
Quality
Audits
O=>ECTI2E
Intrnal Q+Au!it <'ri%icati#n <c#$"aris#n
Intrnal Q+Au!it <intr'i. <!#cu$nts <#(sr'ati#n
Mana,$nt ?"r#c!urs@
I$"r#'$nt sc&$
T& Au!it Trian,l
Audit are systemati* and
inde+endent revie(.
In)redients of an internal auditin)
system
(ra1!#.n #% acti'itis
au!it sc&$ B (as! #n (ra1!#.n #% acti'itis B %ull c#'ra, #n a yarly (asis
=ra1!#.n #% acti'itis+
Functi#n / D"art$nt )
5 5
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
C&c1lists+ A c&c1list is (as! #n -usti#ns !ri'! %r#$
s"ci%ic "r#c!urs t& rl'ant ISO Stan!ar! !#cu$nt! -uality #(9cti's+
In ,nral0 $#st -usti#ns !al .it& t& %#ll#.in,7
C&c1list su""l$nt
stan!ar! c&c1list stu!y t& in%#r$ati#n rci'! (%#r&an!
Rsult
O(sr'ati#ns N. c&c1list ?an! n. issus %#r s"cial
attnti#n@
Intr'i.s
&at HHH &r HH+ &n HHH &y HHH++ #. HHHH+ &# HHHH
Intr'i.s
;ay attnti#n t#7
Mt&#!#l#,y
ass$(l t& au!it ta$ ?t&in1 in!"n!ncy@ trainin, #% t& ta$ ?i% ncssary@ r-ust a c##r!inat#r %r#$ t& !"art$nt
Mt&#!#l#,y
Durin, t& au!it try n#t t# !istur( t& "r#css as it #"rats at t& ti$ #% t& au!it %#r t& intr'i. $a1 us #% t& "r'i#usly c#$"il! c&c1list in'sti,at t& issus %#r s"cial attnti#n .&ic& ca$ u" .&il stu!yin, t& in%#r$ati#n "r'i#usly rci'!
Mt&#!#l#,y
A%tr t& au!it+ arran, a %inal $tin, .it& t& $ana,$nt in'#l'! an! "rsnt a su$$ary $a1 an #(9cti' r"#rt ?su$$ary an! !tail! #(sr'ati#ns@ !iscuss t& r"#rt .it& t& !"art$nt $ana,$nt
!iscuss %#ll#.<u"
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
int %#r au!it#rs B "r"ar t&#r#u,&ly B start .it& s&#rt intr'i. #% t& !"art$nt $ana,$nt B .atc& t& ti$ sc&!ul B &ar 'ryt&in,0 s 'ryt&in,0 s"a1 as littl as "#ssi(l B $#ti'ati#n #% n#n c#n%#r$anc %#un! $ust ( (as #n %acts al#n
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
B !# n#t $a1 "#"l sus"ici#us %irst 5"lain "ur"#s #% t& au!it an! t&n as1 y#ur -usti#ns B an au!it is n#t a c#ntst < n# &untin, !#.n i% t&r is n#t&in, t# %in!
Au!it#rs
Au!it#rs
;r%ct Au!it#r
R"#rtin,
+ rittn Fin!in,s7 < Su$$ary < Dtails
E,e*utin)
Gui!lin %#r Quality Syst$ Au!it ?Au!it E5cuti#n@
E'i!nc t&r#u,& intr'i.0 !#cu$nts0 #(sr'ati#ns an! .#r1 c#n!iti#ns
D#cu$nt all au!it #(sr'ati#ns
R"#rt n#n<c#n%#r$anc in tr$s #% s"ci%ic r-uir$nts
N#n<c#n%#r$anc $ust ( 'ri%i! (y sc#rt an! ara $ana,rs
Gui!lins %#r Quality syst$ Au!it ?Au!it ;lannin,@
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
Gui!lins %#r Quality syst$ Au!it ?=asic c#$$unicati#n "rinci"ls@
F#cus #n t& issu0 (&a'i#r #r situati#n0 n#t t& "rs#n
Maintain t& sl% st$ an! sl% c#n%i!nc #% #t&rs
Maintain a c#nstructi' rlati#ns&i" .it& 'ry#n
Ta1 initiati' t# $a1 t&in, (ttr
La! (y 5a$"l
Gui!lins %#r Quality syst$ Au!it ?Au!it R"#rt@
Sc#" an! #(9cti's Au!it ;lan ?ta$ $$(rs0 au!it r"0 !at0 !"art$nt au!it!@ R%rnc !#cu$nts O(sr'ati#n #% n#n<c#$"lianc E5tnt #% n#n<c#$"lianc Su$$ary #% str#n, an! .a1 aras Distri(uti#n list
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
Gui!lins %#r Quality syst$ Au!it ?C#rrcti' acti#n %#ll#.<u"@
C#rrcti' acti#n "lan (y t& au!it
2ri%y i$"l$ntati#n an! %%cti'nss
Issu n. C#rrcti' Acti#n R"#rt ?C+A+R@ %#r unsatis%act#ry c#rrcti' acti#ns
A""ly lss#ns larnt t# #t&r aras
i,&li,&t any (n%its #r sa'in,s
E5"lain t& "r#(l$ as y#u s it
Dscri( t& i$"act #% t& "r#(l$s #n t& "r%#r$anc
As1 %#r t& #t&r "rs#n4s 'i.
A,r #n t& "r#(l$ t&at n! t# ( s#l'!
E5"l#r an! !iscuss "#tntial s#luti#ns
A,r #n .&at ac& "rs#n .ill !# t# rs#l' t& "r#(l$s
St a %#ll#.<u" au!it
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
ISO 10011 -1
PART 1 - AUDITING
1.Scope : Establish audit pi!ciples" citeia a!d pactices"a!d po#ides $uideli!es
%o establishi!$" pla!!i!$" ca&i!$ out a!d docu'e!ti!$ audits o%
(ualit& s&ste's
ISO *+0):1,* ualit& /ocabula&
.1 (ualit& audit:
a s&ste'atic a!d i!depe!de!t ea'i!atio! to dete'i!e 2hethe
(ualit&
acti#ities a!d elated esult co'pl& 2ith pla!!ed aa!$e'e!ts a!d
a!d 2hethe these aa!$e'e!t ae i'ple'e!ted e%%ecti#el& a!d ae
suitable to achie#e ob3ecti#es.
ISO *+0)
+.Audit ob3ecti#es a!d espo!sibilities
+.1. Audit ob3ecti#es
to dete'i!e the co!%o'it& 4 !o!co!%o'it&
to dete'i!e the e%%ecti#e!ess
to po#ide a! oppotu!it& to i'po#e
to 'eet e$ulato& e(uie'e!t
+.). Roles a!d espo!sibilities
+.).1. auditos
+.).1.1 audit tea'
+.).1.) audito5s espo!sibilities
docu'e!ti!$
etai!i!$ a!d sa%e$uadi!$
coopeati!$
+.).1. lead audito5s espo!sibilities
assisti!$
+.).1.+ i!depe!de!ce
co'pl& 2ith applicable auditi!$ e(uie'e!ts
pla! the audit
epot a!& 'a3o obstacles
epot o! the audit esult cleal&
+.).) clie!t
+.).. Auditee i!%o' ele#a!t e'plo&ees
appoi!t espo!sible 'e'bes
po#ides access to the %acilities
coopeate 2ith the auditos
dete'i!e a!d i!itiate coecti#e
actio!6. Auditi!$
6.) Pepai!$ the audit
6.).1 audit pla!
ide!ti%icatio! o% e%ee!ce docu'e!ts
ide!ti%icatio! o% the audit tea' 'e'bes
the date a!d place
audited
'a!a$e'e!t" co!%ide!tialit&
6.).) audit tea' assi$!'e!t
6.). 2o9i!$ docu'e!ts
%o' %o e#aluati!$
e#ide!ce
6..1 Ope!i!$ 'eeti!$
6..) ea'i!atio!
6.+.) epot co!te!t
6.+.+ ecod ete!tio! . Audit co'pletio!
;. oecti#e actio! %ollo2 up
PT.
Tin9auan K#ntra1 ?Ela$n +)@ A"a1a& tla& a!a "r#s!ur untu1 tin9auan 1#ntra1 +=a,ai$ana 1,iatan tin9auan 1#ntra1 !i1##r!inasi1an ) + Sia"a yan, !i(ri 1uasa untu1 $nin9au 1#ntra1 Di$ana tan,,un, 9a.a( trs(ut !i!#1u$ntasi1an + A"a1a& stia" 1#ntra1 !i"ri1sa untu1 $$asti1an (a&.a7 < s$ua "r$intaan !i!%inisi1an !an !icatat < "r(!aan<"r(!aan antara "r$intaan yan, tr!a"at !ala$ 1#ntra1 / #r!r !n,an !ala$ tn!r tla& !islasai1an < "rusa&aan $$"unyai 1$a$"uan untu1 $$nu&i 1#ntra1 / "r$intaan #r!r + =a,ai$ana "nylsaian !ila1u1an (ila "r$intaan "lan,,an ti!a1 tr!%inisi
!n,an (ai1 +=a,ai$ana "r(!aan antara "r$intaan #r!r !an &al<&al !ala$ tn!r !islsai1an +=a,ai$ana $nntu1an a"a1a& "rusa&aan $$"unyai 1$a$"uan untu1 $$nu&i 1#ntra1 / "r$intaan #r!r P+ A"a(ila "rusa&aan ti!a1 !a"at $$nu&i 1#ntra1 / "r$intaan #r!r0 a"a tin!a1 lan9utnya + Sia"a1a& yan, (.nan, $n,a9u1an usul "ru(a&an *+=a,ai$ana "rusa&aan $n9a$in (a&.a suatu "ru(a&an tr&a!a" 1#ntra1
Ti+e/ti+e +ertanyaan
TER=UKA ;rtanyaan tr(u1a
a1an $$(a.a "a!a
9a.a(an yan, luas
!i"r#l&
: A"a1a& untu1 "r#ss
ini a!a "r#s!ur yan,
tr!#1u$ntasi
$n,in,in1an 9a.a(an yan,
$n,,una1an ti"
"rtanyaan ini+
:in!arila& "n,,unaan
KLARIFIKASI Mru"a1an "rtanyaan
tr(u1a0tta"i !itu9u1an
atau untu1
,a$(ar<,a$(ar
an!a ti!a1 $n!n,ar1an MENUNTUN ;rtanyaan $nuntun
su!a& $nyaran1an
tr1an!un, scara i$"lisit !ala$
"rtanyaan
u1uran sa$"l an!a !ian(il (r!asar1an ta(l
sa$"lin,0(u1an
INTEROGATIF
/ANTAGONIS
TIK
an! ti!a1 $$'ri%i1asi
!n,an (nar !ata<!ata
"n,u9ian ssuai !n,an
>a!.al Au!it Intrnal ;T+
AKTI2ITAS DI2ISI
12 AUDITOR
D#1u$n !an !ata 1#ntr#l S1ratariat F55
555
UDI=
55
ALI
Na$a 1arya.an
ISO **++ R-uir$nt au!it rsult #n acti'ity
LA;ORAN AUDIT ;T+
______________________
Tin!a1an "r(ai1an yan, a1an !ia$(il
au!it "i$"inanunit Tr,t "nylsaian
2ri%i1asi tin!a1an "r(ai1an+ 2ri%i1asi Sttl!?!n, r$ar1/unsttl!
au!it#r au!it Tan,,al 'ri%i1asi
Ran,1u$an asil au!it MUTU Intrnal ;T+
Divisi Divisi Divisi Total
1. Management Responsibility
2. Quality system
&. 'u!(asing
+. 'o%u!t i%enti*i!ation , ta!eability
-. 'o!ess !ontol
e0uipment
13. Contol o* non!on*oming po%u!t
1#. Coe!tive an% peventive a!tion
1$.
'esevation an% %elivey
1&. Contol o* 0uality e!o%s
1). /ntenal 0uality au%it
1+. Taining
1-. 4evi!ing
2. 4tatisti!al te!(ni0ue
INTERNAL AUDIT
istory of Audit.
Quality Assuranc Au!it "rinci"ls c#$ %r#$ %inancial au!it Financial au!it &a' (n us %#r #'r )** yars+
Surveys and Audits.
Ar a$#n, t& $#st %%cti' t##ls us! (y ,nral $ana,$nt an! -uality assuranc $ana,$nt+
Gi' a !irct an! %actual ans.r t# t& $ana,$nt -usti#n+
Is .&at s&#ul! ( !#n actually !#n
Definition of Survey.
A SUR2EY is a !#cu$nt! 'aluati#n #% an #r,ani3ati#n4s a(ility t# "r%#r$ r-uir! acti'itis as 'ri%i! (y !tr$inati#n #% t& a!-uacy #% t& #r,ani3ati#n4s -uality assuranc "r#,ra$ an! (y a r'i. #% t& i$"l$ntati#n #% t& -uality assuranc "r#,ra$ #r t& l#cati#n #% .#r1+
Definition of Audit.
Features of a Survey.
6 A sur'y7 8 'aluats a -uality assuranc "r#,ra$ a,ainst a""lica(l r-uir$nts 8 is (r#a! in sc#" an! r-uirs $uc& 9u!,$nt 6 2n!#rs ar sur'y! (%#r "urc&as #r!rs ar issu! 6 Sur'y c#nsists #% t.# "arts 8 !tr$inin, t&at a -uality $anual an! su""#rtin, "r#c!urs $t r-uir$nts 8 !tr$inin, t&at t& #r,ani3ati#n %#ll#.s t& -uality $anual an! su""#rtin, "r#c!urs+
Requirements for
Surveys.
Features of an Audit
6 An au!it c&c1s t&at t& r-uir$nts #% t& -uality assuranc $anual an! su""#rtin, "r#c!urs ar i$"l$nt!
6 An Au!it is (lac1/.&it0 ys/n#
Requirement for Audit.
T# assur c#$"lianc .it& all as"ct #% t& -uality assuranc "r#,ra$ : ;lann! an "ri#!ic : Au!it sc&!ul r-uir! : ;r%#r$! usin, .rittn c&c1list : Au!it#rs $ay n#t &a' !irct rs"#nsi(ility in t& ara (in,
au!it! : C#rrcti' acti#n an! %#ll#.<u" au!its
Kinds of
audits.
Internal
Quality
Audits
O=>ECTI2E
Intrnal Q+Au!it <'ri%icati#n <c#$"aris#n
Intrnal Q+Au!it <intr'i. <!#cu$nts <#(sr'ati#n
Mana,$nt ?"r#c!urs@
I$"r#'$nt sc&$
T& Au!it Trian,l
Audit are systemati* and
inde+endent revie(.
In)redients of an internal auditin)
system
(ra1!#.n #% acti'itis
au!it sc&$ B (as! #n (ra1!#.n #% acti'itis B %ull c#'ra, #n a yarly (asis
=ra1!#.n #% acti'itis+
Functi#n / D"art$nt )
5 5
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
C&c1lists+ A c&c1list is (as! #n -usti#ns !ri'! %r#$
s"ci%ic "r#c!urs t& rl'ant ISO Stan!ar! !#cu$nt! -uality #(9cti's+
In ,nral0 $#st -usti#ns !al .it& t& %#ll#.in,7
C&c1list su""l$nt
stan!ar! c&c1list stu!y t& in%#r$ati#n rci'! (%#r&an!
Rsult
O(sr'ati#ns N. c&c1list ?an! n. issus %#r s"cial
attnti#n@
Intr'i.s
&at HHH &r HH+ &n HHH &y HHH++ #. HHHH+ &# HHHH
Intr'i.s
;ay attnti#n t#7
Mt&#!#l#,y
ass$(l t& au!it ta$ ?t&in1 in!"n!ncy@ trainin, #% t& ta$ ?i% ncssary@ r-ust a c##r!inat#r %r#$ t& !"art$nt
Mt&#!#l#,y
Durin, t& au!it try n#t t# !istur( t& "r#css as it #"rats at t& ti$ #% t& au!it %#r t& intr'i. $a1 us #% t& "r'i#usly c#$"il! c&c1list in'sti,at t& issus %#r s"cial attnti#n .&ic& ca$ u" .&il stu!yin, t& in%#r$ati#n "r'i#usly rci'!
Mt&#!#l#,y
A%tr t& au!it+ arran, a %inal $tin, .it& t& $ana,$nt in'#l'! an! "rsnt a su$$ary $a1 an #(9cti' r"#rt ?su$$ary an! !tail! #(sr'ati#ns@ !iscuss t& r"#rt .it& t& !"art$nt $ana,$nt
!iscuss %#ll#.<u"
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
int %#r au!it#rs B "r"ar t&#r#u,&ly B start .it& s&#rt intr'i. #% t& !"art$nt $ana,$nt B .atc& t& ti$ sc&!ul B &ar 'ryt&in,0 s 'ryt&in,0 s"a1 as littl as "#ssi(l B $#ti'ati#n #% n#n c#n%#r$anc %#un! $ust ( (as #n %acts al#n
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
B !# n#t $a1 "#"l sus"ici#us %irst 5"lain "ur"#s #% t& au!it an! t&n as1 y#ur -usti#ns B an au!it is n#t a c#ntst < n# &untin, !#.n i% t&r is n#t&in, t# %in!
Au!it#rs
Au!it#rs
;r%ct Au!it#r
R"#rtin,
+ rittn Fin!in,s7 < Su$$ary < Dtails
E,e*utin)
Gui!lin %#r Quality Syst$ Au!it ?Au!it E5cuti#n@
E'i!nc t&r#u,& intr'i.0 !#cu$nts0 #(sr'ati#ns an! .#r1 c#n!iti#ns
D#cu$nt all au!it #(sr'ati#ns
R"#rt n#n<c#n%#r$anc in tr$s #% s"ci%ic r-uir$nts
N#n<c#n%#r$anc $ust ( 'ri%i! (y sc#rt an! ara $ana,rs
Gui!lins %#r Quality syst$ Au!it ?Au!it ;lannin,@
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
Gui!lins %#r Quality syst$ Au!it ?=asic c#$$unicati#n "rinci"ls@
F#cus #n t& issu0 (&a'i#r #r situati#n0 n#t t& "rs#n
Maintain t& sl% st$ an! sl% c#n%i!nc #% #t&rs
Maintain a c#nstructi' rlati#ns&i" .it& 'ry#n
Ta1 initiati' t# $a1 t&in, (ttr
La! (y 5a$"l
Gui!lins %#r Quality syst$ Au!it ?Au!it R"#rt@
Sc#" an! #(9cti's Au!it ;lan ?ta$ $$(rs0 au!it r"0 !at0 !"art$nt au!it!@ R%rnc !#cu$nts O(sr'ati#n #% n#n<c#$"lianc E5tnt #% n#n<c#$"lianc Su$$ary #% str#n, an! .a1 aras Distri(uti#n list
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
Gui!lins %#r Quality syst$ Au!it ?C#rrcti' acti#n %#ll#.<u"@
C#rrcti' acti#n "lan (y t& au!it
2ri%y i$"l$ntati#n an! %%cti'nss
Issu n. C#rrcti' Acti#n R"#rt ?C+A+R@ %#r unsatis%act#ry c#rrcti' acti#ns
A""ly lss#ns larnt t# #t&r aras
i,&li,&t any (n%its #r sa'in,s
E5"lain t& "r#(l$ as y#u s it
Dscri( t& i$"act #% t& "r#(l$s #n t& "r%#r$anc
As1 %#r t& #t&r "rs#n4s 'i.
A,r #n t& "r#(l$ t&at n! t# ( s#l'!
E5"l#r an! !iscuss "#tntial s#luti#ns
A,r #n .&at ac& "rs#n .ill !# t# rs#l' t& "r#(l$s
St a %#ll#.<u" au!it
QUALITY / INDUSTRIAL MANAGEMENT CONSULTANT KASZIEF KASLAN
ISO 10011 -1
PART 1 - AUDITING
1.Scope : Establish audit pi!ciples" citeia a!d pactices"a!d po#ides $uideli!es
%o establishi!$" pla!!i!$" ca&i!$ out a!d docu'e!ti!$ audits o%
(ualit& s&ste's
ISO *+0):1,* ualit& /ocabula&
.1 (ualit& audit:
a s&ste'atic a!d i!depe!de!t ea'i!atio! to dete'i!e 2hethe
(ualit&
acti#ities a!d elated esult co'pl& 2ith pla!!ed aa!$e'e!ts a!d
a!d 2hethe these aa!$e'e!t ae i'ple'e!ted e%%ecti#el& a!d ae
suitable to achie#e ob3ecti#es.
ISO *+0)
+.Audit ob3ecti#es a!d espo!sibilities
+.1. Audit ob3ecti#es
to dete'i!e the co!%o'it& 4 !o!co!%o'it&
to dete'i!e the e%%ecti#e!ess
to po#ide a! oppotu!it& to i'po#e
to 'eet e$ulato& e(uie'e!t
+.). Roles a!d espo!sibilities
+.).1. auditos
+.).1.1 audit tea'
+.).1.) audito5s espo!sibilities
docu'e!ti!$
etai!i!$ a!d sa%e$uadi!$
coopeati!$
+.).1. lead audito5s espo!sibilities
assisti!$
+.).1.+ i!depe!de!ce
co'pl& 2ith applicable auditi!$ e(uie'e!ts
pla! the audit
epot a!& 'a3o obstacles
epot o! the audit esult cleal&
+.).) clie!t
+.).. Auditee i!%o' ele#a!t e'plo&ees
appoi!t espo!sible 'e'bes
po#ides access to the %acilities
coopeate 2ith the auditos
dete'i!e a!d i!itiate coecti#e
actio!6. Auditi!$
6.) Pepai!$ the audit
6.).1 audit pla!
ide!ti%icatio! o% e%ee!ce docu'e!ts
ide!ti%icatio! o% the audit tea' 'e'bes
the date a!d place
audited
'a!a$e'e!t" co!%ide!tialit&
6.).) audit tea' assi$!'e!t
6.). 2o9i!$ docu'e!ts
%o' %o e#aluati!$
e#ide!ce
6..1 Ope!i!$ 'eeti!$
6..) ea'i!atio!
6.+.) epot co!te!t
6.+.+ ecod ete!tio! . Audit co'pletio!
;. oecti#e actio! %ollo2 up
PT.
Tin9auan K#ntra1 ?Ela$n +)@ A"a1a& tla& a!a "r#s!ur untu1 tin9auan 1#ntra1 +=a,ai$ana 1,iatan tin9auan 1#ntra1 !i1##r!inasi1an ) + Sia"a yan, !i(ri 1uasa untu1 $nin9au 1#ntra1 Di$ana tan,,un, 9a.a( trs(ut !i!#1u$ntasi1an + A"a1a& stia" 1#ntra1 !i"ri1sa untu1 $$asti1an (a&.a7 < s$ua "r$intaan !i!%inisi1an !an !icatat < "r(!aan<"r(!aan antara "r$intaan yan, tr!a"at !ala$ 1#ntra1 / #r!r !n,an !ala$ tn!r tla& !islasai1an < "rusa&aan $$"unyai 1$a$"uan untu1 $$nu&i 1#ntra1 / "r$intaan #r!r + =a,ai$ana "nylsaian !ila1u1an (ila "r$intaan "lan,,an ti!a1 tr!%inisi
!n,an (ai1 +=a,ai$ana "r(!aan antara "r$intaan #r!r !an &al<&al !ala$ tn!r !islsai1an +=a,ai$ana $nntu1an a"a1a& "rusa&aan $$"unyai 1$a$"uan untu1 $$nu&i 1#ntra1 / "r$intaan #r!r P+ A"a(ila "rusa&aan ti!a1 !a"at $$nu&i 1#ntra1 / "r$intaan #r!r0 a"a tin!a1 lan9utnya + Sia"a1a& yan, (.nan, $n,a9u1an usul "ru(a&an *+=a,ai$ana "rusa&aan $n9a$in (a&.a suatu "ru(a&an tr&a!a" 1#ntra1
Ti+e/ti+e +ertanyaan
TER=UKA ;rtanyaan tr(u1a
a1an $$(a.a "a!a
9a.a(an yan, luas
!i"r#l&
: A"a1a& untu1 "r#ss
ini a!a "r#s!ur yan,
tr!#1u$ntasi
$n,in,in1an 9a.a(an yan,
$n,,una1an ti"
"rtanyaan ini+
:in!arila& "n,,unaan
KLARIFIKASI Mru"a1an "rtanyaan
tr(u1a0tta"i !itu9u1an
atau untu1
,a$(ar<,a$(ar
an!a ti!a1 $n!n,ar1an MENUNTUN ;rtanyaan $nuntun
su!a& $nyaran1an
tr1an!un, scara i$"lisit !ala$
"rtanyaan
u1uran sa$"l an!a !ian(il (r!asar1an ta(l
sa$"lin,0(u1an
INTEROGATIF
/ANTAGONIS
TIK
an! ti!a1 $$'ri%i1asi
!n,an (nar !ata<!ata
"n,u9ian ssuai !n,an
>a!.al Au!it Intrnal ;T+
AKTI2ITAS DI2ISI
12 AUDITOR
D#1u$n !an !ata 1#ntr#l S1ratariat F55
555
UDI=
55
ALI
Na$a 1arya.an
ISO **++ R-uir$nt au!it rsult #n acti'ity
LA;ORAN AUDIT ;T+
______________________
Tin!a1an "r(ai1an yan, a1an !ia$(il
au!it "i$"inanunit Tr,t "nylsaian
2ri%i1asi tin!a1an "r(ai1an+ 2ri%i1asi Sttl!?!n, r$ar1/unsttl!
au!it#r au!it Tan,,al 'ri%i1asi
Ran,1u$an asil au!it MUTU Intrnal ;T+
Divisi Divisi Divisi Total
1. Management Responsibility
2. Quality system
&. 'u!(asing
+. 'o%u!t i%enti*i!ation , ta!eability
-. 'o!ess !ontol
e0uipment
13. Contol o* non!on*oming po%u!t
1#. Coe!tive an% peventive a!tion
1$.
'esevation an% %elivey
1&. Contol o* 0uality e!o%s
1). /ntenal 0uality au%it
1+. Taining
1-. 4evi!ing
2. 4tatisti!al te!(ni0ue