Successful Audits - Techniques for Everyone - Revision history

Designing Buildings at 10:29, 7 March 2022

2022-03-07T10:29:57Z

← Older revision		Revision as of 10:29, 7 March 2022
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−	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the CQI Construction Special Interest Group, reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the Competency Working Group and approved for publication by the Steering Committee on 1st March, 2022.	+	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [http://consig.org/ CQI Construction Special Interest Group], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the Competency Working Group and approved for publication by the Steering Committee on 1st March, 2022.

	--[[User:ConSIG_CWG\|ConSIG CWG]] 21:50, 01 Mar 2022 (BST)		--[[User:ConSIG_CWG\|ConSIG CWG]] 21:50, 01 Mar 2022 (BST)

Designing Buildings at 10:29, 7 March 2022

2022-03-07T10:29:02Z

← Older revision		Revision as of 10:29, 7 March 2022
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−	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=W/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DWww.consig.org%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the ~~[https://www.designingbuildings.co.uk/wiki/~~Competency ~~Competency]~~ Working Group and ~~[https://www.designingbuildings.co.uk/wiki/Approved~~ approved] for publication by the Steering Committee on 1st March, 2022.	+	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the CQI Construction Special Interest Group, reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the Competency Working Group and approved for publication by the Steering Committee on 1st March, 2022.

	--[[User:ConSIG_CWG\|ConSIG CWG]] 21:50, 01 Mar 2022 (BST)		--[[User:ConSIG_CWG\|ConSIG CWG]] 21:50, 01 Mar 2022 (BST)

Designing Buildings at 10:26, 7 March 2022

2022-03-07T10:26:32Z

Show changes

Designing Buildings at 10:22, 7 March 2022

2022-03-07T10:22:08Z

← Older revision		Revision as of 10:22, 7 March 2022
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−	~~--[[User:ConSIG_CWG\|ConSIG CWG]] 21:50, 01 Mar 2022 (BST)~~
−
	= Summary =		= Summary =

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	In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”		In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”

−	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=W/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DWww.consig.org%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.	+	-----
		+	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=W/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DWww.consig.org%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.
		+
		+	--[[User:ConSIG_CWG\|ConSIG CWG]] 21:50, 01 Mar 2022 (BST)
		+
		+	= Related articles on Designing Buildings =
		+
		+	* Access audit
		+	* Audit opinion.
		+	* Audit.
		+	* Design audit
		+	* Eco-Management and Audit Scheme
		+	* Energy audit
		+	* Facilities management audit
		+	* First-party audit.
		+	* Geomorphological audit
		+	* Internal audit
		+	* Marketing audit
		+	* Pre-demolition audit
		+	* Safety audit

−	[[Category:Construction_management]]	+	[[Category:DCN_Guidance]] [[Category:Construction_management]] [[Category:Cost_/_business_planning]]

ConSIG CWG at 22:03, 1 March 2022

2022-03-01T22:03:15Z

← Older revision		Revision as of 22:03, 1 March 2022
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	The auditor will review whether the actions taken to address non-conformance have been effective in addressing the issue.		The auditor will review whether the actions taken to address non-conformance have been effective in addressing the issue.

−	== Strategic audit schedule ==	+	= Strategic audit schedule =

	The strategic audit schedule is generally prepared where the auditing organisation undertakes follow-up and continuing audits to confirm that the auditee has completed any corrective action, is not slipping back and, ideally, showing a pattern of continuous improvement. The schedule can be issued at regular intervals, normally annually or quarterly, but can be based on project delivery, and define the audits to be delivered against projected dates. It should be based on:		The strategic audit schedule is generally prepared where the auditing organisation undertakes follow-up and continuing audits to confirm that the auditee has completed any corrective action, is not slipping back and, ideally, showing a pattern of continuous improvement. The schedule can be issued at regular intervals, normally annually or quarterly, but can be based on project delivery, and define the audits to be delivered against projected dates. It should be based on:
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	In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”		In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”

−	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=W/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DWww.consig.org%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.	+	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=W/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DWww.consig.org%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.

	[[Category:Construction_management]]		[[Category:Construction_management]]

ConSIG CWG at 22:01, 1 March 2022

2022-03-01T22:01:43Z

← Older revision		Revision as of 22:01, 1 March 2022
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	This process is described in more detail below.		This process is described in more detail below.

−	== Auditor Preparation (PHASE ONE) ==	+	= Auditor Preparation (PHASE ONE) =

−	=== Reviewing the Management System ===	+	== Reviewing the Management System ==

	It is vital that time is spent going over the management system to make sure that it meets the operational needs of the organisation as well as the relevant specification, such as ISO 9001. The central question is this:		It is vital that time is spent going over the management system to make sure that it meets the operational needs of the organisation as well as the relevant specification, such as ISO 9001. The central question is this:
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	With recent versions of ISO 9001, it is less easy to offer a manual that just reiterates the standard, although there are some “certification bodies” that will do this – avoid at all costs. There is more on this later in the article.		With recent versions of ISO 9001, it is less easy to offer a manual that just reiterates the standard, although there are some “certification bodies” that will do this – avoid at all costs. There is more on this later in the article.

−	=== Pre-Audit Visit ===	+	== Pre-Audit Visit ==

	If time allows, a pre-audit visit is always useful. Frequently, this will be the auditors first visit to the site. It is a great opportunity to make sure that s/he gains a good understanding of the business. The auditor will not be auditing at this time, although impressions from this visit will stick.		If time allows, a pre-audit visit is always useful. Frequently, this will be the auditors first visit to the site. It is a great opportunity to make sure that s/he gains a good understanding of the business. The auditor will not be auditing at this time, although impressions from this visit will stick.
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	The auditor should write up some notes after the visit for reference during the planning phase. The auditee may also find making a few notes useful!		The auditor should write up some notes after the visit for reference during the planning phase. The auditee may also find making a few notes useful!

−	=== Internal Audit ===	+	== Internal Audit ==

	The term “Internal Audit” can send a cold chill down the back, but it serves two valuable purposes:		The term “Internal Audit” can send a cold chill down the back, but it serves two valuable purposes:
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	Obviously, this is an activity that the auditee should carry out prior to the audit. It is not within the job specification for the external auditor.		Obviously, this is an activity that the auditee should carry out prior to the audit. It is not within the job specification for the external auditor.

−	== Execution (Phase Two) ==	+	= Execution (Phase Two) =

−	=== Auditor Expectations ===	+	== Auditor Expectations ==

	On the day of the audit, the auditor will be expecting to enter a business meeting that is broken down into three sections as shown in the Plan for the Day. S/he will understand that there is some nervousness. I recall a CEO trembling during an opening meeting. The auditor will do all possible to create a positive atmosphere in which discussion of the management system can be undertaken in a professional and business-like manner.		On the day of the audit, the auditor will be expecting to enter a business meeting that is broken down into three sections as shown in the Plan for the Day. S/he will understand that there is some nervousness. I recall a CEO trembling during an opening meeting. The auditor will do all possible to create a positive atmosphere in which discussion of the management system can be undertaken in a professional and business-like manner.
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	Auditors are expected to discuss in an assertive manner, that is, they will tend to lead the conversation without becoming aggressive in any way. Further understanding of the interactions that take place during an audit can be found in the article: “Personal Interaction in Auditing “.		Auditors are expected to discuss in an assertive manner, that is, they will tend to lead the conversation without becoming aggressive in any way. Further understanding of the interactions that take place during an audit can be found in the article: “Personal Interaction in Auditing “.

−	=== Plan for the Day (Audit Plan) ===	+	== Plan for the Day (Audit Plan) ==

	The plan for the day should be based around the intelligence obtained from the document review and the pre-audit visit, together with any other relevant information. This could include any contract requirements, especially in second party auditing.		The plan for the day should be based around the intelligence obtained from the document review and the pre-audit visit, together with any other relevant information. This could include any contract requirements, especially in second party auditing.
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	The plan contains the schedule at its heart. There are certain events that form fixed points during the day. These are the opening meeting, the closing meeting, time scheduled for auditors to meet and to write up notes and, of course, lunch. The auditor should be aware of the time throughout the day(s) and adhere to these meeting times. The remainder of the time is spent in interviewing and reviewing evidence. It is advisable not to put fixed times on each interview, as arriving early or late can be an embarrassment as well as potentially losing audit time. For this reason, it is better to state which parts of the organisation will be visited in the morning and which in the afternoon. With staff having full schedules, it is useful to book slots in diaries where necessary – and to work other interviews around them.		The plan contains the schedule at its heart. There are certain events that form fixed points during the day. These are the opening meeting, the closing meeting, time scheduled for auditors to meet and to write up notes and, of course, lunch. The auditor should be aware of the time throughout the day(s) and adhere to these meeting times. The remainder of the time is spent in interviewing and reviewing evidence. It is advisable not to put fixed times on each interview, as arriving early or late can be an embarrassment as well as potentially losing audit time. For this reason, it is better to state which parts of the organisation will be visited in the morning and which in the afternoon. With staff having full schedules, it is useful to book slots in diaries where necessary – and to work other interviews around them.

−	=== Checklists ===	+	== Checklists ==

	So far, the auditor has planned to visit one or more sections of the organisation in sessions before lunch and after lunch. The checklist contains a series of questions that are the “starters for ten”. By reviewing the documentation, the auditor can see a clear “audit trail” through the management system, based on the way it works – not by requirements in a standard. The questions will allow discussion around the matter being audited and, by having a small number of questions, the auditor will be able to adjust the speed of the audit to have a better chance of getting to the various meetings – and lunch – on time. One important point: an auditor should not consider that the impression gained during the review of documentation is necessarily accurate and must be prepared to change direction, whilst maintaining time. Not easy.		So far, the auditor has planned to visit one or more sections of the organisation in sessions before lunch and after lunch. The checklist contains a series of questions that are the “starters for ten”. By reviewing the documentation, the auditor can see a clear “audit trail” through the management system, based on the way it works – not by requirements in a standard. The questions will allow discussion around the matter being audited and, by having a small number of questions, the auditor will be able to adjust the speed of the audit to have a better chance of getting to the various meetings – and lunch – on time. One important point: an auditor should not consider that the impression gained during the review of documentation is necessarily accurate and must be prepared to change direction, whilst maintaining time. Not easy.
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	* Assists in the preparation of the audit report.		* Assists in the preparation of the audit report.

−	=== Conducting the Audit ===	+	== Conducting the Audit ==

−	The Opening Meeting	+	=== The Opening Meeting ===

	This meeting is led by the Lead Auditor if there is a team or by the auditor. It is an opportunity for the auditor to confirm the scope of the audit and the basis on which the organisation will be assessed, together with the plan for the day and other administrative arrangements. The audit team will look to have some space before the end of the day – and possibly at lunch time – to discuss what they have found and to prepare for the closing meeting.		This meeting is led by the Lead Auditor if there is a team or by the auditor. It is an opportunity for the auditor to confirm the scope of the audit and the basis on which the organisation will be assessed, together with the plan for the day and other administrative arrangements. The audit team will look to have some space before the end of the day – and possibly at lunch time – to discuss what they have found and to prepare for the closing meeting.

−	The Audit	+	=== The Audit ===

	1. Guides		1. Guides
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	The procedure, work instruction, standard or contract requirement against which the non-conformance has been raised, together with any other relevant documents. In some cases, observations can be raised. These are no lesser than non-conformances, but may be outside the scope of the audit, warnings of something about to go wrong, etc. The same details should be recorded for observations as for non-conformances.		The procedure, work instruction, standard or contract requirement against which the non-conformance has been raised, together with any other relevant documents. In some cases, observations can be raised. These are no lesser than non-conformances, but may be outside the scope of the audit, warnings of something about to go wrong, etc. The same details should be recorded for observations as for non-conformances.

−	The Closing Meeting	+	=== The Closing Meeting ===

	This meeting is also led by the Lead Auditor. It is a unique opportunity to confirm the findings of the audit and to discuss any differences of opinion before the end of the day. It is important that all differences are resolved before the end of this meeting.		This meeting is also led by the Lead Auditor. It is a unique opportunity to confirm the findings of the audit and to discuss any differences of opinion before the end of the day. It is important that all differences are resolved before the end of this meeting.
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	In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”		In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”

−	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=W/index.php%3Ftitle%3DW/index.php%3Ftitle%3DWww.consig.org%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.	+	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=W/index.php%3Ftitle%3DW/index.php%3Ftitle%3DW/index.php%3Ftitle%3DWww.consig.org%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.

	[[Category:Construction_management]]		[[Category:Construction_management]]

ConSIG CWG at 21:56, 1 March 2022

2022-03-01T21:56:53Z

← Older revision		Revision as of 21:56, 1 March 2022
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−	= --[[User:ConSIG_CWG\|ConSIG CWG]] 21:50, 01 Mar 2022 (BST) =	+	--[[User:ConSIG_CWG\|ConSIG CWG]] 21:50, 01 Mar 2022 (BST)

	= Summary =		= Summary =
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	In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”		In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”

−	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=W/index.php%3Ftitle%3DWww.consig.org%26action%3Dedit%26redlink%3D1&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.	+	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=W/index.php%3Ftitle%3DW/index.php%3Ftitle%3DWww.consig.org%26action%3Dedit%26redlink%3D1%26action%3Dedit%26redlink%3D1&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.

	[[Category:Construction_management]]		[[Category:Construction_management]]

ConSIG CWG at 21:56, 1 March 2022

2022-03-01T21:56:27Z

← Older revision		Revision as of 21:56, 1 March 2022
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	=== Conducting the Audit ===		=== Conducting the Audit ===

−	~~===~~ The Opening Meeting ~~===~~	+	The Opening Meeting

	This meeting is led by the Lead Auditor if there is a team or by the auditor. It is an opportunity for the auditor to confirm the scope of the audit and the basis on which the organisation will be assessed, together with the plan for the day and other administrative arrangements. The audit team will look to have some space before the end of the day – and possibly at lunch time – to discuss what they have found and to prepare for the closing meeting.		This meeting is led by the Lead Auditor if there is a team or by the auditor. It is an opportunity for the auditor to confirm the scope of the audit and the basis on which the organisation will be assessed, together with the plan for the day and other administrative arrangements. The audit team will look to have some space before the end of the day – and possibly at lunch time – to discuss what they have found and to prepare for the closing meeting.
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	* Competence of auditors.		* Competence of auditors.

−	= 6. Negative Distractors =	+	= Negative Distractors =

	These are ploys that have been used in the past to distract auditors from completing the work. There are several reasons why they should be avoided at all costs:		These are ploys that have been used in the past to distract auditors from completing the work. There are several reasons why they should be avoided at all costs:
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	In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”		In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”

−	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=~~Www~~.consig.org&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.	+	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=W/index.php%3Ftitle%3DWww.consig.org%26action%3Dedit%26redlink%3D1&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.

	[[Category:Construction_management]]		[[Category:Construction_management]]

ConSIG CWG at 21:54, 1 March 2022

2022-03-01T21:54:00Z

← Older revision		Revision as of 21:54, 1 March 2022
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−	= --[[User:~~ConSIG CWG~~\|ConSIG CWG]] 21:50, 01 Mar 2022 (BST) =	+	= --[[User:ConSIG_CWG\|ConSIG CWG]] 21:50, 01 Mar 2022 (BST) =

	= Summary =		= Summary =
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	Obviously, this is an activity that the auditee should carry out prior to the audit. It is not within the job specification for the external auditor.		Obviously, this is an activity that the auditee should carry out prior to the audit. It is not within the job specification for the external auditor.

−	= Execution (Phase Two) =	+	== Execution (Phase Two) ==

−	== Auditor Expectations ==	+	=== Auditor Expectations ===

	On the day of the audit, the auditor will be expecting to enter a business meeting that is broken down into three sections as shown in the Plan for the Day. S/he will understand that there is some nervousness. I recall a CEO trembling during an opening meeting. The auditor will do all possible to create a positive atmosphere in which discussion of the management system can be undertaken in a professional and business-like manner.		On the day of the audit, the auditor will be expecting to enter a business meeting that is broken down into three sections as shown in the Plan for the Day. S/he will understand that there is some nervousness. I recall a CEO trembling during an opening meeting. The auditor will do all possible to create a positive atmosphere in which discussion of the management system can be undertaken in a professional and business-like manner.
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	Auditors are expected to discuss in an assertive manner, that is, they will tend to lead the conversation without becoming aggressive in any way. Further understanding of the interactions that take place during an audit can be found in the article: “Personal Interaction in Auditing “.		Auditors are expected to discuss in an assertive manner, that is, they will tend to lead the conversation without becoming aggressive in any way. Further understanding of the interactions that take place during an audit can be found in the article: “Personal Interaction in Auditing “.

−	== Plan for the Day (Audit Plan) ==	+	=== Plan for the Day (Audit Plan) ===

	The plan for the day should be based around the intelligence obtained from the document review and the pre-audit visit, together with any other relevant information. This could include any contract requirements, especially in second party auditing.		The plan for the day should be based around the intelligence obtained from the document review and the pre-audit visit, together with any other relevant information. This could include any contract requirements, especially in second party auditing.
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	The plan contains the schedule at its heart. There are certain events that form fixed points during the day. These are the opening meeting, the closing meeting, time scheduled for auditors to meet and to write up notes and, of course, lunch. The auditor should be aware of the time throughout the day(s) and adhere to these meeting times. The remainder of the time is spent in interviewing and reviewing evidence. It is advisable not to put fixed times on each interview, as arriving early or late can be an embarrassment as well as potentially losing audit time. For this reason, it is better to state which parts of the organisation will be visited in the morning and which in the afternoon. With staff having full schedules, it is useful to book slots in diaries where necessary – and to work other interviews around them.		The plan contains the schedule at its heart. There are certain events that form fixed points during the day. These are the opening meeting, the closing meeting, time scheduled for auditors to meet and to write up notes and, of course, lunch. The auditor should be aware of the time throughout the day(s) and adhere to these meeting times. The remainder of the time is spent in interviewing and reviewing evidence. It is advisable not to put fixed times on each interview, as arriving early or late can be an embarrassment as well as potentially losing audit time. For this reason, it is better to state which parts of the organisation will be visited in the morning and which in the afternoon. With staff having full schedules, it is useful to book slots in diaries where necessary – and to work other interviews around them.

−	== Checklists ==	+	=== Checklists ===

	So far, the auditor has planned to visit one or more sections of the organisation in sessions before lunch and after lunch. The checklist contains a series of questions that are the “starters for ten”. By reviewing the documentation, the auditor can see a clear “audit trail” through the management system, based on the way it works – not by requirements in a standard. The questions will allow discussion around the matter being audited and, by having a small number of questions, the auditor will be able to adjust the speed of the audit to have a better chance of getting to the various meetings – and lunch – on time. One important point: an auditor should not consider that the impression gained during the review of documentation is necessarily accurate and must be prepared to change direction, whilst maintaining time. Not easy.		So far, the auditor has planned to visit one or more sections of the organisation in sessions before lunch and after lunch. The checklist contains a series of questions that are the “starters for ten”. By reviewing the documentation, the auditor can see a clear “audit trail” through the management system, based on the way it works – not by requirements in a standard. The questions will allow discussion around the matter being audited and, by having a small number of questions, the auditor will be able to adjust the speed of the audit to have a better chance of getting to the various meetings – and lunch – on time. One important point: an auditor should not consider that the impression gained during the review of documentation is necessarily accurate and must be prepared to change direction, whilst maintaining time. Not easy.
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	* Assists in the preparation of the audit report.		* Assists in the preparation of the audit report.

−	== Conducting the Audit ==	+	=== Conducting the Audit ===

	=== The Opening Meeting ===		=== The Opening Meeting ===
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	This meeting is led by the Lead Auditor if there is a team or by the auditor. It is an opportunity for the auditor to confirm the scope of the audit and the basis on which the organisation will be assessed, together with the plan for the day and other administrative arrangements. The audit team will look to have some space before the end of the day – and possibly at lunch time – to discuss what they have found and to prepare for the closing meeting.		This meeting is led by the Lead Auditor if there is a team or by the auditor. It is an opportunity for the auditor to confirm the scope of the audit and the basis on which the organisation will be assessed, together with the plan for the day and other administrative arrangements. The audit team will look to have some space before the end of the day – and possibly at lunch time – to discuss what they have found and to prepare for the closing meeting.

−	~~===~~ The Audit ~~===~~	+	The Audit

	1. Guides		1. Guides
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	The procedure, work instruction, standard or contract requirement against which the non-conformance has been raised, together with any other relevant documents. In some cases, observations can be raised. These are no lesser than non-conformances, but may be outside the scope of the audit, warnings of something about to go wrong, etc. The same details should be recorded for observations as for non-conformances.		The procedure, work instruction, standard or contract requirement against which the non-conformance has been raised, together with any other relevant documents. In some cases, observations can be raised. These are no lesser than non-conformances, but may be outside the scope of the audit, warnings of something about to go wrong, etc. The same details should be recorded for observations as for non-conformances.

−	~~===~~ The Closing Meeting ~~===~~	+	The Closing Meeting

	This meeting is also led by the Lead Auditor. It is a unique opportunity to confirm the findings of the audit and to discuss any differences of opinion before the end of the day. It is important that all differences are resolved before the end of this meeting.		This meeting is also led by the Lead Auditor. It is a unique opportunity to confirm the findings of the audit and to discuss any differences of opinion before the end of the day. It is important that all differences are resolved before the end of this meeting.
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	In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”		In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”

−	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[~~www~~.consig.org\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.	+	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[w/index.php?title=Www.consig.org&action=edit&redlink=1\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.

	[[Category:Construction_management]]		[[Category:Construction_management]]

ConSIG CWG at 21:50, 1 March 2022

2022-03-01T21:50:28Z

← Older revision		Revision as of 21:50, 1 March 2022
Line 1:		Line 1:
		+	= --[[User:ConSIG CWG\|ConSIG CWG]] 21:50, 01 Mar 2022 (BST) =
		+
	= Summary =		= Summary =

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	In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”		In some parts of the world, bribery is normal and commonplace. However, for the auditor, any attempt to influence the outcome of the audit is to be resisted. This then leads to what is meant by a bribe. Some auditors will not even accept a cup of coffee. Many companies lay down clear instructions that must be followed and it is for each auditor to decide what is acceptable. One guiding rule is that any item that is part of the normal promotional material is acceptable, if it is offered at a time and in a way that could not influence the outcome of the audit, such as after the closing meeting. Auditors should be very aware that in some cultures refusing a gift is an affront to the giver. The offer of gifts is a matter for careful consideration by both the auditee and auditor. On a personal note, I sat down to pull my notes together at the end of an audit and was offered a very fine pen in the company livery to do so. When I looked a little quizzical, the auditee said, “If I was going to bribe you, I would make it worth your while and not just a clicky pen!”
		+
		+	This article was originally written by [https://www.linkedin.com/in/keith-hamlyn-23504713/ Keith Hamlyn] on behalf of the [[www.consig.org\|CQI Construction Special Interest Group]], reviewed by [https://www.linkedin.com/in/colin-harley-70a745a3/ Colin Harley], accepted by the [https://www.designingbuildings.co.uk/wiki/Competency Competency] Working Group and [https://www.designingbuildings.co.uk/wiki/Approved approved] for publication by the Steering Committee on 1st March, 2022.

	[[Category:Construction_management]]		[[Category:Construction_management]]