Adding value to audits of management systems

There is a joke about auditing processes, which is that the same lie is told at every audit. It occurs at the opening meeting at the beginning of the visit when the auditor says: “We’re here to help you!”

The ‘humour’ lies in the fact that the auditing process is perceived by the auditee organisation as a long and intrusive task, aimed at uncovering mistakes and nonconformities, a process that is perhaps not helpful for the audited organisation.

As auditors, we have a duty to make this ‘joke’ a nonsense, through the implementation of actions that make the audit process really helpful for the auditees.

To achieve this, here are five ways to enhance the audit process in order to help to create value to the auditee organisation.

1. Integrate the audit of management systems into the process of continuous improvement

An organisation should use the findings of an audit as input for the enhancement of its processes. Start with the strengths identified and use these to define and implement actions to correct any nonconformities that were identified, and measure their effectiveness.

When a management system is integrated with the goals, objectives and activities of an organisation, audits will no longer feel like a forced, external or different activity from the usual daily ones.

2. Focus the audit towards the identification of opportunities for improvement, not only on the detection of nonconformities

Aligned with the above, audit findings should not focus exclusively on the identification of deficiencies in the management system. Audits are not about failures or hunting for weaknesses; rather, they should be open spaces for the identification of strengths within the organisation. 

Intelligent organisations use their strengths to overcome any weaknesses, to become more effective institutions. So it is necessary to identify nonconformities to develop best practices.
 

"Every organisation is different, and top management should be imaginative enough to engage with employees, then try out and approve mechanisms which could help in improving processes."

Pedro Mejias, Senior Auditor with Consorcio Kaizen in Venezuela

3. Use data analysis tools to obtain an objective view of the performance of the management system

The analysis of data related to quality management systems and their performance – for example, as key process indicators – is usually an area to which organisations do not pay enough attention. This can mean missing vital signs of the evolution of the enterprise, and in consequence, leave an organisation unable to make fact-based decisions. 

Generally, data is used for monitoring the evolution of the system by defining appropriate indicators at different levels of the organisation. But most of the data contains very valuable information about progress, limitations and trends of the processes, which must be extracted from the daily information flow. Within that flow is the opportunity to search for the causes of many of things that are happening before our eyes, while our processes are going on.

4. Encourage the active participation of employees in the audit – in the implementation of improvement measures

Encourage creativity to structure and implement the mechanisms that provide an opportunity for employees to propose and carry out activities contributing to the improvement of the areas of the quality management system over which they have influence.

Incentives or prizes are usually a good way to motivate employees – but not the only ones. The most accepted and implemented improvement ideas and initiatives arise from the various operational levels, rather than being imposed by top management. 

Every organisation is different, and top management should be imaginative enough to engage with employees, then try out and approve mechanisms which could be helpful in improving processes. 

5. Carry out internal audits with enough frequency to keep management systems constantly evolving

The defined frequency of how often to carry out internal audits is a very important factor in the identification and implementation of process improvement actions. 

Short audits that cover all areas of an organisation tend to have very limited scope in each process or department, as opposed to more extensive and deep audits that take into account the largest number of areas of the organisation and are performed at different dates in an evaluation period.

It is the responsibility of the professionals in charge of the planning, execution, evaluation and improvement of audits to management systems to design, define and apply mechanisms that allow the added value of this process to grow for an organisation. The challenge is always to contribute to making processes as effective and efficient as possible to achieve corporate objectives.