The Auditing process details (at a high level) the steps by step approach taken by our team as part of delivering our Auditing services to our client base.
CPG has a well-defined and proven track record delivering auditing services, our auditing service covers the who, what, how, when and why relating to the identified audit project activities
The Audit process outlines a high level steps by step approach on how the audit project activities are to be conducted.
CPG offers four different Auditing services to our client base:
- General Auditing
- Internal Auditing
- Supply Chain Auditing
- Certification Auditing
The Auditing application form can be initiated by contacting one of our sales team or via the online portal.
CPG simple and effective methodology to manage our Auditing services in an easy to follow step by step approach is in line with ISO 19011 and ISO 17021 standards.
The high level Auditing process is outlined below:
Auditing – Enquiry (Application form)
An Audit application form is completed and submitted by a client and or a CPG team member.
The application form is received and is used to initiate the remainder of the Audit Process.
The Auditing service delivery process begins with the completion of the Auditing Application form.
The Auditing Application form can be initiated by contacting one of our sales team or via the online portal.
An Auditing application form is completed and submitted by a client and or a CPG team member (in conjunction with the client representative).
The application form is received by our team and is used to initiate the remainder of the Auditing Process.
Auditing – Proposal (Estimate / Quote Response)
The information contained within the Audit application form (Audit – Enquiry) in conjunction with additional information gathered by our sales team establishes the basis of the Audit proposal.
The Audit proposal is a detailed document consisting of but not limited to:
- Audit framework
- Expected deliverables
- Audit plan
- Timelines and milestones
- Team members
- Management of change
The Audit proposal document establishes the foundation of the project engagement between CPG and the client on who, what, how, why and when and the audit project activities are being conducted.
Auditing – Assigning Team Members
Assigning suitable team members to take part in the audit process is one of the most important factors identified within the Audit Proposal.
CPG senior management take pride in team selection to ensure that the team members assigned to conduct the audit are best suited for the given engagement.
Team members are assigned to perform the audit based on skills, experience, qualifications, past performances and their pre-assigned ANZSIC codes.
ANZSIC codes refers to “Australian and New Zealand Standard Industrial Classification”.
ANZSIC codes are applied to each of our auditors to clearly identify which industries the auditor has the capability to audit.
Auditing – Framework
The audit framework defines the benchmark (requirements) that the auditor users to compare the clients documented policies, procedures and actual work performances.
CPG auditors fundamentally perform the following type audits:
- Client Internal Audits
- Client Supply Chain Audits
- Audit specific to an ISO standard
- An auditor to a non ISO standard
The Audit proposal outlines the type of audit which is to be completed for the given project engagement.
Regardless of the type of audit, and the selected benchmark ALL CPG auditors work within the guidelines and boundaries set out within the requirements of the ISO 19011 and ISO 17021.
Discounted accommodation rates are available to registered individuals and they are reminded to inform the hotel when making relevant bookings to attend our courses.
Auditing – Conducting the Audit(s)
Audits are conducted as per the audit plan schedule, the identified requirements list and or the selected standard being audited against.
Audit process consist of, but not limited to:
- Opening meeting
- Conducting interviews, open discussions with client representatives
- Conducting observations of staff performing daily work activities
- Conduct QA sessions to verify work performed being in line with documented policies and procedures and comply to the identified list of requirements
- Closing Meeting
All CPG auditors follow the requirements of the ISO 19011 and ISO 17021 standards, and the auditing activities are based on collecting supporting evidence of conformity to a given set of requirements based on a random sampling of a number of work activities within a number of departments of the organisation being audited.
Auditing – Assessment
The auditor(s) documents all their observations obtained (via interviews, discussions, observations, questioning and physical testing) throughout their auditing activities, and such observations are assessed and one of the following status are applied to a given observation:
Denotes a total absence of an identified requirements within an ISO standard, inclusive of Documented Information and or its implementation and or maintenance.
A MAJOR NC raised during the audit process will require the audit to be terminated. The client is given the opportunity to address the Major NC in a timely manner.
The audit needs to be re-scheduled and can take place when the client can supply evidence that the Major NC has been addressed.
Denotes partly absence of an identified requirements within an ISO standard, inclusive of Documented Information and or its implementation and or maintenance.
A MINOR NC raised during the audit process will NOT require the audit to be terminated. However multiple Minor NC raised may initiate the auditor to terminate he audit
The client is given the opportunity to address all the MINOR NC(s) in a timely manner.
If the audit is terminated then, the audit needs to be re-scheduled and can take place when the client can supply relevant evidence that the list of MINOR NC(s) have been addressed.
Denotes an observation that should be a Major or Minor NC, but ethically cannot be raised as such if the client demonstrates that the item was identified prior to the audit process and there is evidence that there is a clear documented plan for resolution within the suitable timeframes.
Opportunity for Improvement.
Opportunities for Improvement are provided as a reference for improvement only – it is not a requirement for the OFI to be addresses by the client.
Denotes an observation that highlights the activity observed conforms within the given ISO requirement.
The process of assessing the identified the observation and determining the final assessment needs to be repeatable by any suitably qualified and experienced auditor
All CPG Auditor assessment for a given observation is fair, non-bias and demonstrates objectivity and impartiality.
Auditing – Reporting
Audit reporting is the final step in the auditing process, the audit report is developed to be delivered in a structured manner to highlight all the finding and relevant assessment of the given findings.
All CPG auditors provide one of three types of reporting for a given audit.
- Verbal notification that the Audit has been terminated due to Major NC being identified during the audit, followed up with a written audit report supporting the reasoning for the audit termination.
- Verbal reporting of the findings via a close meeting presentation at the end of the audit process.
- A final written audit report highlighting the audit assessment and a recommendation for certification if applicable.
Auditing – Post Audit
The completion of the audit is a very rewarding experience and huge milestone a huge milestone for any organisation. However most organisation do not leverage form the audit outcome to an optimal result.
CPG provides a unique service to our client base which is auditing the implementation of the corrective actions after the completion of the main audit.
CPG has a well-defined framework, documentation information and proven track record of success in not only delivering post audit-audits but also how effective this service has been to our client base in realising efficiency gains.