Whether it be your Safety, Environmental, Quality, or Information Technology Management System, or a combination of these, preparing for an audit is a very important step for your organisation. An external audit from a third party (be it to achieve certification to a recognised Standard such as ISO 9001 Quality Management Systems or ISO 45001 Occupational Health & Safety Management Systems, or to maintain certification from a surveillance audit) requires a significant amount of preparation and planning.
This article is the first in a series designed to provide some useful background information and tips to assist your organisation in how to best prepare when audit time rolls around. (As a caveat, if a management system is embedded, mature and functioning optimally, the focus of the preparation should be akin to polishing an already clean car. The functioning of the management system itself is the preparation.)
At its most simple, the purpose of any management system audit is to achieve four things:
- Determine whether your organisation has documented processes that meet the requirement(s) of the applicable Standard.
- Interviews and discussions with workers and management to verify whether the processes are known and understood within the organisation.
- Seek evidence that the processes are being followed by workers.
- Provide feedback on whether the organisation’s processes are effective at achieving the desired outcomes.
Before examining each of these steps in further detail, it is crucial to understand other inputs such as when the audit is scheduled and how much preparation time you have, how long it will take, and which workers (including management) are required to be involved.
Preparing your organisation for an audit takes time and effort. Not only do policies and procedures need to be developed, or reviewed and updated, they also need to be implemented, and any required training delivered.
There is a need to review the outcomes of the previous management system audit and any internal audits completed in the previous 12 months, and ensure that any identified non-conformances have been actioned and are complete.
The organisation must conduct an internal audit. Not only is this a requirement of the ISO Standards, but it is also the best way to identify any system weaknesses that could become major non-conformances prior to the external audit. It is far better that these are identified and addressed in-house than be uncovered by the certification auditor. Internal audits are also a good way to prepare staff for the audit interview process.
The organisation must also conduct a formal management system review. Typically, this is an area where a lot of organisations struggle to grasp the requirements of the respective Standard. Quite simply, has top management (typified by your Executive Leadership Team for larger organisations), taken time to specifically look at the management system to ensure it is still suitable, adequate and effective for the needs of the organisation. Circumstances both within the organisation such as a major restructure or new ownership, and external to the organisation such as the current global Coronavirus pandemic, may have significantly impacted the way your management system is able to deliver its intended objectives suitably, adequately or effectively. Remember how quickly we all needed to adapt to working from home and the logistics necessary to make this work ? Your management system must suitably, adequately and effectively provide for these and other unusual circumstances.
Additionally, the management review process is a chance to reflect on whether the management system’s objectives are still relevant and achievable. The Standard goes into greater detail as to the other items that need to be reviewed by top management on a regular basis, and if the organisation can demonstrate that top management has taken time out of their busy schedules and dedicated it to look specifically at the current and intended future state of its management system, this will go a long way in preparing for the audit. It also shows how serious the organisation takes its Quality, Safety and Environmental risks and opportunities.
Part 2 of “How Ready Are You for Your Next Management System Audit” will look at each of the four points mentioned above in greater detail and the steps and tips of preparing for a successful audit.
Please contact QRMC for more information.
