Z 3f   2 - iso 9002 -1994 certification
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Z 3f 2 - iso 9002 -1994 certification

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Tracing the path TOWARD OBTAINING ISO Certification in IA !

Tracing the path TOWARD OBTAINING ISO Certification in IA !

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  • 1. EIDP - MANAGEMENT AUDIT ISO 9002 (1994) CERTIFICATION (A Presentation by M Rajeshwaron)
  • 2. Background & Need for Quality Certification More internal driven than external Standardisation / formal structure for Management Audit Process Process documentation discipline as a culture Development of Policy / Procedure Manuals Achieving objectives through commitments to Board Audit Sub-Committee & Company’s Balance Score Card
  • 3. Background & Need for Quality Certification Documentation of Internal Audit Vision, Mission and Motto Bringing visibility to Internal Audit Charter, Authority and Responsibility Consistent Maintenance of ‘Standards’ and improvements there on through Surveillance Audits and internal reviews Commitment to Internal Customers on ‘Quality Systems’
  • 4. Background & Need for Quality Certification Step towards achieving the function’s long term objective of focussing on internal consultant’s role leading to value addition within the Group. Management Audit to be part of the Business Value Creation efforts of the Group by focussing on intangible assets such as,
  • 5. Background & Need for Quality Certification Intangible Assets Customer relationship How ISO requirements focus on these - Audit Plan acceptance / Customer Feed back requirements Knowledge - Quality Policy focussing on continuous upgradation of knowledge & skills Brand - EID Management Audit - Brand Building
  • 6. Background & Need for Quality Certification Intangible Assets Reputation How ISO requirements focus on these - Reputation through Quality Systems & Value Addition Processes - Structured and defined processes Employees - Emphasis and commitments on Team Members’ Training Net working & Technology - Net working with audit customers through effective use of Information Technology (WEBMARS)
  • 7. Approach Consultation with those very few Companies who had gone through this Quality Certification Process Frame work on Quality Manuals from the Institute of Internal Auditors, USA Identification of the appropriate Certification / Accreditation Agencies (KPMG - RvA of Netherlands) Put into Practice requirements of standards well before certification stage
  • 8. Approach Formal training of Team Members with the help of Consultants Well planned Final Certification Audit 1994 version - focus on documentation / processes 2000 version - focus on continuous improvements in the Quality systems and evaluation of customer feed back Decided to first go in for 1994 version and thereafter Go to slide 28 upgrade for 2000 version within the next one year
  • 9. Internal Audit Vision "PROVIDE WORLD CLASS INTERNAL AUDIT SERVICES"
  • 10. Internal Audit Mission Management audit team will play an effective role in the organisation as internal consultants, guided by the philosophy of adding value to improve the operations of the organisation. Management audit will, on a continuous basis evaluate the internal controls operating in various business operations of the organisation based on proper risk analysis and also review the effectiveness of the governing processes.
  • 11. Internal Audit Mission Management audit will assist the line management in translating the agreed recommendations into results by extending support through collaborative efforts. Management audit will endeavour to continuously assess and improve the quality of people, process and deliverables to achieve its objectives.
  • 12. Internal Audit Quality Policy “We, at Management Audit Division of E I D Parry (India) Limited are committed to provide total customer satisfaction through our Quality Services by continuous upgradation of Activities, Knowledge and Skills.”
  • 13. Facilitating Features of ISO - Quality Systems Well defined responsibilities for individual Audit Team Members Adopting a Responsibility Matrix (Primary / Secondary) Audit Planning Processes (Contract Review) Quality of Services from Support Auditors (Purchasing Activity) Audit Execution Process Controls
  • 14. Facilitating Features of ISO - Quality Systems Continuous Process Review Control on non-conformances through periodical Internal Audits Closer follow up through Management Review Meetings Yearly surveillance audits by the Certification Agency Structured Training schedules for Audit Team Members
  • 15. Additional Benefits Training for Audit Team Members on “Internal audit of ISO Quality Systems” (Will facilitate taking up Internal Quality audits for all the Business Groups both before Certification and during surveillance)
  • 16. Quality Journey - Events & Mile stones 2000-01 Conceptualisation & Meetings with Other Organisations Shaping the Audit Processes, Introduction of Standard Formats April 2001 Formal introduction & practice of requirements of Standards April to July 2001 (Intermittent) Training for Audit Team Members
  • 17. Quality Journey - Events & Mile stones May 2001 Designating “Management Representative” for anchoring the Quality Process “Apex Quality Manual” finalisation and putting into use. Oct / Nov 2001 Finalisation of “Procedures Manual” based on Apex Manual Pre-Audit of Quality Systems Management Review Meetings
  • 18. Quality Journey - Events & Mile stones Nov 30, 2001 Final Certification Audit by KPMG - the Certification Agency Dec 2001 Receipt of Quality Certification document from KPMG (Valid till Dec 2003)
  • 19. Quality Journey - Events & Mile stones Future Milestones Nov 2002 Quality System upgradation to ISO 9002 - 2000 version Surveillance Audit completion Nov 2003 Achievement of improvements by adopting IIA’s Internal Auditing Standards
  • 20. Cost KPMG Registration assessment Including Documentation Review Rs. 28,000/Surveillance Assessment Rs. 28,000/-* (*Payable at the end of first year) RvA accreditation Fee Rs. 10,000/- Administration Fee Rs. 5,000/- Creative Management Consultants Training & Pre-audit assistance Rs. 15,000/Total Rs. 86,000/-
  • 21. Thank You