Demystifying the Auditor''s Gathering of Evidence: Part Three

Demystifying the Auditor''s Gathering of Evidence: Part Three Keywords:

Related Article:Demystifying the Auditor''s Gathering of Evidence: Part Three

How are Documents Authenticated in Civil Lawsuits

In dealing with documentary evidence, the following things must be considered:

• Parole evidence – This is a principle in the common law of contracts which presumes that a written contract embodies the complete agreement between parties. As a rule, it forbids the introduction of ‘extrinsic’ information or external communication between parties, other than what is contained in the document.

• Best evidence – The issue in documentary evidence is competency, Hence, the best evidence rule in documents means the ‘the best and topmost form of evidence that can be produced for verification’. • Authentication • Hearsay – Based on legal definition, hearsay is evidence not proceeding from the personal knowledge of the witness, but is from the mere repetition of what he has heard others say.

What is Authentication?

Authentication is a rule that requires evidence to be sufficient to support a finding that the matter in question is what its proponent claims. This means that evidence must be proven genuine to be admissible.

Both parties in a trial can authenticate documentary evidence in much the same way as it can authenticate other real evidence. These are the common methods of document authentication:

• A witness, who is present during the signing of the document, can identify and attest to the existence of the document.

• A non-expert witness who is familiar with the handwriting or signature of the person, who signed the document, can also testify.

• An expert, a document examiner, who can compare handwriting samples and give his opinion regarding the document

• By so-called “trier of fact,” in which the jury or the judge would compare a known example of a signature with the signature on a disputed document

• Records of business transactions can be identified and authenticated by the custodian of the records.

• Certified copies of public records, official documents, and newspapers are self-authenticating documents that do not require outside authentication to be admitted as court evidence.

• Ancient documents also do not require outside authentication to be used as evidence. When presented with a corroborating circumstances or possession, ancient documents can be admitted as evidence in a trial.

Written documents when presented as evidence in courts are called documentary evidence. They form part of the basis for the resolution of cases.

However, certain documents do not require validation to be considered as original documents. Self-authenticating documents or documents that do not require outside authentication are the following:

1. acknowledge documents to prove receipt of such

2. some commercial paper and related documents

3. certificates of business records

4. certified copies of public records

5. newspapers

6. official documents

7. periodicals

8. trade inscriptions

Why Document Authentication is Necessary

If properly authenticated, documents can provide the courts the necessary information and help a judge or jury evaluate a case. Proper documents also provide resolution of the issue under question. In civil litigations, documentary evidence is an important part in determining the outcome of a case.

For more information about civil litigations, consult with competent California Attorney Services.

Find an ISO Registrar or Auditor that "Fits" with Your Company

Try to find a registrar that has somebody who can answer your questions, someone that you feel comfortable with. You’ve got to watch also that the cheapest quote might prove to be the most costly in the end. You’ve got to make sure the company has auditors with experience in your area. What good is a company that has an auditor that lives down the street from you if they’ve only audited service? They’ve never audited a metal stamping place, and you’re a metal stamping place.

You want an auditor the fits you and your company and gives you good observations and opportunities for improvement as they audit. Ask to talk with your potential auditor. It’s always nice to be able to converse with somebody so you get to know who they are before you meet them. If they are in the area, maybe they can drop in just to talk to you, just to put a face to the name.

Some registrars have auditors all over the United States and even some overseas. Be careful when you are trying to find an auditor close to you. Sometimes you are going to find that the auditor you like isn’t close to you. If you like that person, and are willing to pay travel expenses, the registrar should be happy to send that person to you.

In a perfect world, it would be nice to have an auditor right next door to each company, but that’s not always possible since some auditors can’t audit certain industries. We’re supposed to have auditors that have industry background for every audit they perform or some kind of education and auditing experience in that industry. All of our auditors are trained and certified to all the requirements of ISO 19011. In order for them to audit certain companies, they have had some time auditing with people in the process area of different companies.

If a company is having problems with their registrar, they are locked into their contract, and they are not getting any results from their complaint, they can submit an official complaint to their accreditation body. Most accreditation bodies have a website where you can submit a complaint online. Accreditation bodies are required to follow up on all complaints. They will go to the registrar and follow up with it. But, hopefully, following these tips will help you avoid this situation!

Author Bio:

Sandy Tokola works for DAC Audit Services which has been in business for fourteen years. DAC is a client-based, service oriented company that will direct you through the world of internationally accredited certification or regular certification. Whether you need a 3rd party, registration, ICOP, or 2nd party registration, DAC can help! http://www.DACAudit.com

Workplace Training Programs: Strengths and Weakenesses

Part 1 of a 3 part series

Part 2: Providing Good Training
Part 3: Results of Good Training

Why do training?

As an auditor, consultant, employee, and trainer, I have been in many dozens of different facilities. With that background I have been able to identify a common trait among companies that have strong business management systems, strong quality systems, a high customer satisfaction, and high employee morale. “What is it you ask?” Companies with these positive attributes and, oh yes, profitability, have very good employee training programs.

It should be understood that highly trained, competent employees are among a company’s greatest assets. These employees grow and change as the business changes. They are a tangible part of the company. However, many of you are going to say, “But, we can’t afford to train right now. Our direct labor costs are too high and our productivity is too low!”

That brings to mind a plant tour I was on at Wainwright Industries in St. Peters, Missouri about 10 years ago. When the company was well in the “red” and losing money, the ownership instituted a dramatic employee training program to supplement the changes being made to the way the business was being run. Three or four years later Wainwright won the Malcolm Baldrige National Quality Award. Guess what happened to their profitability!

Last year I was conducting a Second Party Audit at an aerospace parts machining company in Central Illinois. This was a privately owned company with about 125 employees. I had the following Objective Evidence to support a training finding (QMS nonconformance):

A. Not all managers have a training file. For example the Engineering Projects Manager that was hired seven months prior to this audit does not have a training file.

B. Training records for Internal Auditors, both management and hourly could not be produced. (Note that this training was limited to two hours for each Internal Auditor)

• A training needs assessment, or identified training needs for management personnel does not exist. For example the Quality Manager does not have any future training needs identified, even though he has been the Quality Manager for less than two years and has less than 10 years in the field. None of the management personnel or other personnel have completed ISO 9000 Lead Auditor training.
• New hire orientation training records are incomplete. Those new hire orientation records that do exist do not reflect a review of the Quality System.

This is just one of several Findings identified during this Audit. The On-The-Job training performance was also weak. Typically, a new employee at this company was given minimal direction for their OJT… “Here, just do this and when you get that figured out come and see me.” Were there serious problems…absolutely! There is a reason the customer sent me to this company. Late shipments, damaged shipments, incorrect packaging, defective parts, incorrectly labeled parts were some of the problems that the customer had been experiencing from this supplier in the previous several months. A typical indication of the absence of well-defined processes.

Contrast this audit with another aerospace parts supplier the customer sent me to, also located in Central Illinois, which I Audited the next day. I found out later that this company was being considered for additional business. They were also privately owned and had about 75 employees. The following is a portion of my Audit Report:

XYZ demonstrates a determined effort to invest in the business. Recent investments are a 10,000 sq. ft. building addition and recent major machining equipment purchases. Housekeeping was very good considering the nature of the operation. Even though this is a small operation, each manager has a fully trained back-up, and a total of 5 managers have gone through QS 9000 Lead Auditor training.

There were not any issues or concerns as a result of this audit.

This company had an incredible training program; both formal and OJT. They clearly had the desire to invest in their business, including their employees. There is a reason this company was being considered for additional business. In addition, they had low employee turn-over and apparently high morale – all integral ingredients for continuous improvement.

Some training program strengths that I’ve observed:

• Managers are involved in the training needs identification and program development.
• There is an understanding that the purpose of training is to change behavior.

• Expectations are created prior to the training.
• Training is Simple, Relevant, and Factual
• Juran’s thinking is followed in that the vital few concepts are taught and not the trivial many.
• There is an understanding that training is not an expense, rather it is an investment.
• Effective training programs in general follow a Deming Cycle: Training needs are identified…Training is developed…Training is delivered…Training feedback and effectiveness are obtained.
• In-House trainers are well trained, enthusiastic and passionate ‘experts’.
• Training is made as enjoyable as possible for both the trainer and trainees.
• Training is considered part of one’s job. When a person goes back to their normal activities the work is not piled up waiting for them to catch up, rather it has been distributed to others as much as possible.

  Why companies don’t do training?

  I’ve discovered two primary reasons. One, managers, including top management, don’t understand the benefits and need for thoroughly training employees at all levels. Two, managers don’t understand that employee training is an investment and not an expense. Note that both of the reasons rest with management.

  Managers, who are often not trained past their education or OJT, do not understand the need for and benefit of a well-trained workforce. The key element here is the need for enlightenment. Different people learn differently and, a company needs to invest in their entire workforce, with relevant and appropriate training. As management becomes more enlightened (trained), they will see the need and benefit for a well trained hourly and professional workforce.

  Too often companies are run by cost and tax returns (the accounting department). While the discussion of this will have to wait for another article, companies operating in this mode typically have problems. Companies in this mode will state that they cannot afford to have direct labor employees taken away from their normal work and put into training sessions. This activity is measured as a loss of productivity and is considered an expense.

  However, an interesting thing I notice about these companies is that they can always find the time and means to rework bad product or to accept high scrap rates. Both of these items are direct expenses—in other words, wastes. In addition, managers at these companies are typically left on their own for training and career enhancement. Enlightenment is needed here to. These companies need to understand the concept of training as an investment and not an expense.

  To learn more about implementing continuous process improvement within your organization, attend the next improvement class How to Align a System of People and Processes for Results . Or, Learn How to Create Well-Defined Processes and to document processes.

  ISO 9000 Quality Auditor classes are forming now for Internal Auditor or Lead Auditor. Call for information on having your own private in-house classes today.

  
  

  • bizmanualz
  • policies and procedures
  • marketing
  • Chris anderson
  • policies
  • Marketing
  • Business

Unhappy with Your ISO Registrar or Auditor?

How To Make A Halloween Ghost Gathering

Unhappy With your Iso Registrar or Auditor?

Internal Auditor Career Options

Demystifying the Auditor’s Gathering of Evidence: Part Three

Demystifying the Auditor’s Gathering of Evidence: Part Two

Demystifying the Auditor’s Gathering of Evidence: Part One

Leave Comment