The document discusses quality control procedures for audit firms. It covers establishing a quality control system that addresses leadership responsibilities, ethical requirements, acceptance and continuance of engagements, human resources, engagement performance, monitoring, and documentation. It also discusses quality control procedures for individual audits, including direction of audit staff, hot reviews, post-audit reviews, and multiple levels of partner review.
An overview of ASQ Quality Auditor (CQA) certification program with tips for passing exam
http://seetharamkandarpa.webnode.in/news/web-series-session-1-overview-of-asq-certified-quality-auditor-conducted-on-21-may-2017/
Manager Auditing is an important tool for creating a robust Operational Health and Safety program in your workplace. In this webinar, Kathleen will share the steps on creating Manager Auditing, how to implement this program in your workplace and creating benchmarks to track the success of your program.
Manager Auditing can be integrated into your Performance Management System and can also assist your team in knowing if your Health and Safety Management System is working. Learn how to manage your audit components within your company's own internal system.
Quality Management System for Service CompaniesPECB
For most of the service companies, implementing ISO 9001 is a little bit difficult, but when you prepare one project plan for your job, this is going to be easier, just the most important part is to understand that your process should satisfy the requirement not your documents.
Main points covered:
• Simple guidelines to follow in the process
• How to prepare a project plan when implementing ISO 9001
• Tips to ensure process are satisfying requirements
Presenter:
This webinar was presented by Shahriyar Majlesein, PECB Certified Trainer and Executive Director/Operation Manager at SMEC Engineering Group.
Link of the recorded webinar published on YouTube: https://youtu.be/UEUAStzGlGw
This presentation gives a bried overview of the various parts & purpose of the ISO 9001:2015 QMS.
It revolves around the PDCA Cycle and useful in Manufacture & construction Industry.
An overview of ASQ Quality Auditor (CQA) certification program with tips for passing exam
http://seetharamkandarpa.webnode.in/news/web-series-session-1-overview-of-asq-certified-quality-auditor-conducted-on-21-may-2017/
Manager Auditing is an important tool for creating a robust Operational Health and Safety program in your workplace. In this webinar, Kathleen will share the steps on creating Manager Auditing, how to implement this program in your workplace and creating benchmarks to track the success of your program.
Manager Auditing can be integrated into your Performance Management System and can also assist your team in knowing if your Health and Safety Management System is working. Learn how to manage your audit components within your company's own internal system.
Quality Management System for Service CompaniesPECB
For most of the service companies, implementing ISO 9001 is a little bit difficult, but when you prepare one project plan for your job, this is going to be easier, just the most important part is to understand that your process should satisfy the requirement not your documents.
Main points covered:
• Simple guidelines to follow in the process
• How to prepare a project plan when implementing ISO 9001
• Tips to ensure process are satisfying requirements
Presenter:
This webinar was presented by Shahriyar Majlesein, PECB Certified Trainer and Executive Director/Operation Manager at SMEC Engineering Group.
Link of the recorded webinar published on YouTube: https://youtu.be/UEUAStzGlGw
This presentation gives a bried overview of the various parts & purpose of the ISO 9001:2015 QMS.
It revolves around the PDCA Cycle and useful in Manufacture & construction Industry.
The Five Things You Must Do To Have A Bona Fide Quality Management System Tha...Andre Barnarde
The New ISO 9001 Standard for Quality Management was Ratified in September 2015.
Here are FIVE THINGS you must do to have an effective QUALITY MANAGEMENT SYSTEM that complies to the new standard.
QIC Inc.- Your Global Solutions PartnerTami Mulinix
QIC has a global network of industry consultants with offices in North America, Europe and Asia Pacific. Our diverse force of men and women has been serving our clients for more than 24 years. We are committed to quality, safety, and project accountability.
With our staff of engineers, technical managers, QA/QC specialists and administrative personnel, QIC offers a professional and experienced team to work with you on your project needs. With operations in many countries around the world, we have assembled a topnotch integrated workforce to ensure we meet our customers' needs.
PECB Webinar: Minimizing the Documentation in a QMS systemPECB
We will cover:
• How to maximize the power of control of your QMS while minimizing the words and number of pages
• Methods used and understand why they meet the requirements of the standard
• How to lean your documentation and establish an effective, efficient quality management system
Presenter:
This webinar will be presented by Debra Hay Hampton, PECB Certified Trainer and Lead Auditor of Quality and Environmental Management Systems.
ISO 9001:2008, ISO 14001: 2004, ISO/TS 16949:2009, OHSAS 18001, ISO /IEC 17025, ISO 22000, ISO 27001, ISO 20000, ISO 13485, ISO 15189, AS 9100, TPM, TQM, GMP, CDM
ISO 9001 2015 | Training Now Available In Johannesburg & PretoriaAndre Barnarde
The NEW ISO Quality Management Standard was ratified in September 2015.
MOVE-TO-THE-TOP-OF-THE-CLASS and get the latest training. Now available in Johannesburg and Pretoria.
The Five Things You Must Do To Have A Bona Fide Quality Management System Tha...Andre Barnarde
The New ISO 9001 Standard for Quality Management was Ratified in September 2015.
Here are FIVE THINGS you must do to have an effective QUALITY MANAGEMENT SYSTEM that complies to the new standard.
QIC Inc.- Your Global Solutions PartnerTami Mulinix
QIC has a global network of industry consultants with offices in North America, Europe and Asia Pacific. Our diverse force of men and women has been serving our clients for more than 24 years. We are committed to quality, safety, and project accountability.
With our staff of engineers, technical managers, QA/QC specialists and administrative personnel, QIC offers a professional and experienced team to work with you on your project needs. With operations in many countries around the world, we have assembled a topnotch integrated workforce to ensure we meet our customers' needs.
PECB Webinar: Minimizing the Documentation in a QMS systemPECB
We will cover:
• How to maximize the power of control of your QMS while minimizing the words and number of pages
• Methods used and understand why they meet the requirements of the standard
• How to lean your documentation and establish an effective, efficient quality management system
Presenter:
This webinar will be presented by Debra Hay Hampton, PECB Certified Trainer and Lead Auditor of Quality and Environmental Management Systems.
ISO 9001:2008, ISO 14001: 2004, ISO/TS 16949:2009, OHSAS 18001, ISO /IEC 17025, ISO 22000, ISO 27001, ISO 20000, ISO 13485, ISO 15189, AS 9100, TPM, TQM, GMP, CDM
ISO 9001 2015 | Training Now Available In Johannesburg & PretoriaAndre Barnarde
The NEW ISO Quality Management Standard was ratified in September 2015.
MOVE-TO-THE-TOP-OF-THE-CLASS and get the latest training. Now available in Johannesburg and Pretoria.
Quality Management System awareness for all ANUPAM RAY
I covered benefit and utilization ISO 9001:2015 standard, 8 quality principle, Root cause analysis, what is ISO, and basic auditing principle. Kindly comment and let me know how I can improve this.
6th sem b pharma QC,QA
pharmaceutical quality assurance
Quality Management System
Introduction to ISO 9000
Eight Quality Management Principles
ISO 9000 Series
Advantages
Clauses
Introduction to ISO 14000
Standards under ISO 14000 series
NABL accreditation ( National Accreditation Board for Testing and Calibration Laboratories)
Function of NABL
Process of NABL
An orientation slide deck on the IFAC SMP Committee's Guide to Quality Control for SMPs (QC Guide) that member bodies may use in training and orientation seminars to introduce staff and members to the QC Guide.
The Quality Management webinar series, hosted by the IAASB in collaboration with IFAC, takes a deep dive into aspects of the IAASB’s International Standard on Quality Management 1, Quality Management for Firms that Perform Audits or Reviews of Financial Statements, or Other Assurance or Related Services Engagements.
The webinar series focused on:
Webinar One: All You Need to Know about the Firm’s Risk Assessment Process
Webinar Two: Resources: Expectations for Firms and Engagement Partners
Webinar Three: What’s New for Firms’ Monitoring and Remediation Processes (coming August 5, 2021 – register now)
Webinar Four: Bringing it All Together: Exploring all the Components of a Quality Management System (coming August 18, 2021 – register now)
ISQM 1 is part of the IAASB’s suite of quality management standards. Firms are required to have systems of quality management designed and implemented in accordance with ISQM 1 by December 15, 2022. Learn more about the quality management standards at: iaasb.org/quality-management
18. Isa 220the engagement
key quality control matters on
partner
• ethical standards are complied with
• independence requirements are met
19. Isa 220the engagement
key quality control matters on
partner
• ethical standards are complied with
• independence requirements are met
• procedures for new engagements
20. Isa 220the engagement
key quality control matters on
partner
• ethical standards are complied with
• independence requirements are met
• procedures for new engagements
• appropriate audit team
21. Isa 220the engagement
key quality control matters on
partner
• ethical standards are complied with
• independence requirements are met
• procedures for new engagements
• appropriate audit team
• appropriate management of team
22. Isa 220the engagement
key quality control matters on
partner
• ethical standards are complied with
• independence requirements are met
• procedures for new engagements
• appropriate audit team
• appropriate management of team
• adequate consultation on difficult matters
23. Isalisted company
If audit of
220
engagement quality control reviewer
24. Isalisted company
If audit of
220
engagement quality control reviewer
• objective evaluation of the significant
judgements
25. Isalisted company
If audit of
220
engagement quality control reviewer
• objective evaluation of the significant
judgements
• evaluation of the firm’s independence
26. Isalisted company
If audit of
220
engagement quality control reviewer
• objective evaluation of the significant
judgements
• evaluation of the firm’s independence
• audit documentation selected for review
reflects the work performed
27. Isalisted company
If audit of
220
engagement quality control reviewer
• objective evaluation of the significant
judgements
• evaluation of the firm’s independence
• audit documentation selected for review
reflects the work performed
• Has adequate consultation on difficult
matters occurred?
35. Quality Control
Individual Audit Audit Firm
ISA 220 ISQC 1
Quality control for firms that perform audits
and reviews of financial statements, and other
assurance and related services engagements
36. ISQC 1 each of the
a system in place which addresses
following :
37. ISQC 1 each of the
a system in place which addresses
following :
• Leadership responsibilities for quality
38. ISQC 1 each of the
a system in place which addresses
following :
• Leadership responsibilities for quality
• Ethical requirements
39. ISQC 1 each of the
a system in place which addresses
following :
• Leadership responsibilities for quality
• Ethical requirements
• Acceptance and continuance of engagements
40. ISQC 1 each of the
a system in place which addresses
following :
• Leadership responsibilities for quality
• Ethical requirements
• Acceptance and continuance of engagements
• Human resources
41. ISQC 1 each of the
a system in place which addresses
following :
• Leadership responsibilities for quality
• Ethical requirements
• Acceptance and continuance of engagements
• Human resources
• Engagement performance
42. ISQC 1 each of the
a system in place which addresses
following :
• Leadership responsibilities for quality
• Ethical requirements
• Acceptance and continuance of engagements
• Human resources
• Engagement performance
• Monitoring
43. ISQC 1 each of the
a system in place which addresses
following :
• Leadership responsibilities for quality
• Ethical requirements
• Acceptance and continuance of engagements
• Human resources
• Engagement performance
• Monitoring
• Documentation
44. ISQC 1 each of the
a system in place which addresses
following :
• Leadership responsibilities for quality
• Ethical requirements
• Acceptance and continuance of engagements
• Human resources
• Engagement performance
• Monitoring
• Documentation
49. Ethical
Requirements
• comply with relevant ethical requirements
50. Ethical
Requirements
• comply with relevant ethical requirements
• maintain independence & communicate to
staff (identify threats and safeguards)
51. Ethical
Requirements
• comply with relevant ethical requirements
• maintain independence & communicate to
staff (identify threats and safeguards)
• annual written confirmation from staff of
compliance policies on independence.
53. Acceptance and
continuance of
engagements
• Competent to perform
54. Acceptance and
continuance of
engagements
• Competent to perform
• Capable to do so
55. Acceptance and
continuance of
engagements
• Competent to perform
• Capable to do so
• Considered integrity of client
56. Acceptance and
continuance of
engagements
• Competent to perform
• Capable to do so
• Considered integrity of client
• Consider conflicts of interest
57. Acceptance and
continuance of
engagements
• Competent to perform
• Capable to do so
• Considered integrity of client
• Consider conflicts of interest
• Professional clearance from old auditors
58. Acceptance and
continuance of
engagements
• Competent to perform
• Capable to do so
• Considered integrity of client
• Consider conflicts of interest
• Professional clearance from old auditors
• Anti money laundering procedures
60. Human
Resources
• Sufficient personnel with the competence,
capabilities and commitment to ethical
principles
61. Human
Resources
• Sufficient personnel with the competence,
capabilities and commitment to ethical
principles
• An appropriate engagement partner and
team are assigned
62. Human
Resources
• Sufficient personnel with the competence,
capabilities and commitment to ethical
principles
• An appropriate engagement partner and
team are assigned
• Auditing procedures in a manual
(reinforced by training)
66. Engagememt
Performance
• Promote consistent quality engagement
performance
• Supervision responsibilities
• Review responsibilities (on the basis that
more experienced team members
review the work of less experienced team
members)
67. Engagememt
Performance
• Promote consistent quality engagement
performance
• Supervision responsibilities
• Review responsibilities (on the basis that
more experienced team members
review the work of less experienced team
members)
69. Monitoring of
quality control
procedures
• Evaluate if any deficiencies found indicate a
failing in the firm’s quality control system
70. Monitoring of
quality control
procedures
• Evaluate if any deficiencies found indicate a
failing in the firm’s quality control system
• Communicate deficiencies to relevant
personnel, together with appropriate
remedial action
72. Direction of Audit
Staff
• Their responsibilities
• Nature of the business of the client
company
• Risk-related issues
• Problems that may arise with the audit and
how these problems should be dealt with if
they do occur
79. Review of Audit
Work
Audit Audit Report
Hot Review Post Audit Review
80. Review of Audit
Work
Audit Audit Report
Hot Review Post Audit Review
Audit Manager
Audit Partner
81. Review of Audit
Work
Audit Audit Report
Hot Review Post Audit Review
Audit Manager
Audit Partner
82. Review of Audit
Work
Audit Audit Report
Hot Review Post Audit Review
Audit Manager
Audit Partner
Modified Opinion?
83. Review of Audit
Work
Audit Audit Report
Hot Review Post Audit Review
Audit Manager
Audit Partner
Modified Opinion?
Second Partner Review
84. Review of Audit
Work
Audit Audit Report
Hot Review Post Audit Review
Peer review Audit Manager
Audit Partner
Modified Opinion?
Second Partner Review
85. Review of Audit
Work
Audit Audit Report
Hot Review Post Audit Review
Peer review Audit Manager
Audit Partner
Modified Opinion?
Second Partner Review
86. Review of Audit
Work
Audit Audit Report
Hot Review Post Audit Review
Peer review Audit Manager
Audit Partner
Review by a specialist
‘Audit review
Modified Opinion?
department’
Second Partner Review