ISO 9001 : 2000

Management Audit

How “Quality Management Principles” are

getting addressed in our Division

Quality Management Principle 1

“Customer Focused Organisation”

Organisations depend on their customers and therefore should understand current and future customer needs, meet customer requirements and strive to exceed customer expectations.

Our Actions:

Involvement of auditees at the time of Audit Planning,

Execution & Report Presentations .Obtaining feedback

from Customers after each audit and incorporating

improvement suggestions in the Audit Processes.

Participation by CAE in Business Planning Meetings to

understand the customer needs. Informal communication

on general feed back by CAE on a regular basis.

Quality Management Principle 2

“Leadership”

Leaders establish unity of purpose and direction of the Organisation. They create the internal environment in which people can become fully involved in achieving the organistion’s objectives.

Our Actions:

Clearly laid down written Vision, Mission, Goals,

Charter, Responsibility Statement etc. Leaders’ regular

email ‘communication’ to team members.Championship

on different activities of the Division.Verticals to

achieve indepth audit with building synergy across

Verticals.

Adopting IIA’s PPF Standards .

Quality Management Principle 3

“Involvement of People”

People at all levels are the essence of an organisation and their full involvement enables their abilities to be used for the organistion’s benefit.

Our Actions:

Individual team members ‘Owning’ audit projects -

‘Project Owners’ named. ‘Championship’ in different

areas of development. System that enables

ownership & authority at functional levels and need

based intervention by CAE on issues.

Quality Management Principle 4

“Process Approach”

A desired result is achieved more efficiently when related resources

and activities are managed as a process.

Our Actions:

‘Process approach’ for audit execution by adopting the

Professional Practices Framework given by IIA, Inc.

USA. ‘WEBMARS’ effectively used as an enabler for the

above. GA , TA & SA (related resources ) effectively

interwoven to add value to the Business.

Quality Management Principle 5

“System Approach to Management”:Identifying, understanding and managing a system of interrelated processes for a given objective contributes to the effectiveness and efficiency of the organisation.

Our Actions:

Each auditing process viz. Technical Audit, Systems Audit &

General Auditing well integrated as a total system when

delivering the final products to the internal customers for

achieving effectiveness and efficiency.

Audit Planning, Execution, Reporting & Knowledge Management interrelated in the Process SW WEBMARS’.

Trying to bring Risk Asst. as a process which is a part of Audit System

Quality Management Principle 6

“Continual Improvement”:Continual Improvement is a permanent objective of the organisation.

Our Actions:

Monthly ‘Kaizen’ System introduced and being implemented .

Interaction / exchange of audit notes with audit professionals

from outside companies to adopt best practices. ( IFFCO, HCL

TECH. , Sundaram Clayton , KSFC,ITC,Balrampur Chinny,

Oberoi, Thomas Cook )

Trying to build a strong internal library with materials on

World wide Internal Audit Best Practices Contd.

Quality Management Principle 6

“Continual Improvement”:Continual Improvement is a permanent objective of the organisation.

• Our Actions:

Effective participation in external professional seminars to

improve knowledge.

Team members active involvement in Professional Bodies as

Leaders. [ Systems Auditor – ISACA, Tech. Auditor –

ENFUSE , Head of Audit – IIA ]

Adapted Skills Matrix- Birket et al 1999A for Auditors

Quality Management Principle 7

“Factual approach to decision making”

Effective decisions are based on the analysis of data and information.

Our Actions:

Implementation of Customer feedback matrix

Quantification of audit benefits - Technical Audit

Volume of transactions , Value exposure , level of

decentralisation, employee turnover are all some of the data based

criteria in the risk based planning exercise.

Analysis of information regarding the support auditors

during evaluation of the right fit for the job.

Quality Management Principle 8

“Mutually beneficial supplier relationships”Mutually beneficial relationships between the organisation and its supplier enhance the ability of both organisations to create value.

Our Actions:

Criteria based selection process for support auditors

Continuous orientation of internal processes through

effective interactive meetings with these outside teams

Organising internal seminars with the external support

auditors as resource persons

Sharing knowledge / facilities such as Division’s Audit

Software tools

Alignment with Corporate Thrust

Aggressive growth through

ruthless execution

Go beyond !