Understand the process audit approach
Organizations that organize their management systems according to the way business processes work as opposed to standards are implementing the process management approach. Interest in this type of approach has been increasing, particularly after the issuance of ISO 9001 in December 2000. Today, the international standard promotes the process-based approach, particularly for organizations seeking to develop, improve and implement an effective management system. .
Traditional audit vs. Process audit
Internal audits are designed to obtain valuable information to be used in top management decisions. Traditional audit approaches have focused more on procedures than on the quality of those procedures. Costs were often not examined. And, the results were often sidelined, and not used by management to drive decisions within their organizations.
A process audit approach is designed to help the organization achieve stated end results. The process audit approach is designed to provide:
- Critical data required for managerial decision-making, particularly in the areas of technology, staff training and development, product and process launches, and overall growth
- A review of whether current organizational performance is on target
- Information on performance improvement opportunities through better controlled processes
- Ideas and concepts to improve internal processes
While many of the same things are reviewed during the audit, the result and information collected requires a change of approach and a slightly different procedure. In addition to the on-site audit, prior preparation by the auditor is required. The auditor should become familiar with the processes and procedures being evaluated so that their audit can be customized.
Process Audit Preparation
When auditing processes within an organization, a number of basic questions must be addressed to ensure an accurate reporting result. Some of the more basic questions might include:
- Are the processes adequately identified and defined?
- Are the responsibilities and their respective owners defined?
- Has each process been implemented and is it properly maintained?
- Are the processes achieving the desired end results?
Developing a list of questions for each upcoming audit will not only facilitate positive dialogue, but also ensure that the type of information needed to complete the audit is collected.
Next Series of Articles: Understanding the Process Audit Approach
In the next series of articles, we’ll discuss the basic questions to ask during each segment of the process, including:
- Documentation Requirements
- management commitment
- Provision of resources
- Product Realization Planning
- Customer-related processes
- Design and development
- Production and Provision of Services
- Monitoring and Measurement
- gets better
Issues that arise during audits should be compared to the requirements of 9100:2009. While the next series of articles addresses key areas of this audit process, acceptable compliance is not limited to just these concepts. However, understanding what to look for and what to ask during each stage of the audit will result in a more accurate assessment of the organization and more valuable information for key business leaders.
Stay tuned for the second article in this series, Documentation Requirements.