why are some audits, and auditors remebered

When we meet customer after the audit , we often get remarks like:

·         Audit by XYZ was very good.

·         Audit quality is now gone down.

These are some of the indicators organization need to look into. What exactly can make an audit as ideal is a debatable point, and can vary with customer expectations.

A value added audit, timeliness, fair evaluation, friendly atmosphere are common criteria. While NC and failures are not easily accepted and the trend also shows that auditors avoid NC, this generally is short term reaction.

Value added audit:

·         Pointing out weaknesses pertinent, important for success.

·         Identifying strengths which can help management to consolidate.

·         sharing valuable information like industry benchmarks, general practices ,

·         Sharing knowledge/ experiences across industry.

In contrast if the audit findings are:

·         Minimal

·         Overstressing on documents rather than practices

·         Not pertinent to core processes

·         In contrast with performance of the organization

 

The audit is not remembered. Though the auditee gives due respect to auditor, the memory of the audit is short lived.

 

Timeliness:

Common misconception is extended audit is in depth audit. Hence some auditors by habit extend beyond working hours, delay the schedule. This actually happens because if the auditor is not prepared or not aware of the working and has considered in adequate time.

Hence the auditor must obey his own time table. In some companies even the auditor is not entertained if he is reached before or after the schedule.

The timeliness also means that auditor is prepared, aware of process, and has clear idea of requirements to be covered.

 

Fair Evaluation:

The process of evaluation is always subjective. The auditor who specifies these criteria before, and repeats when the key point is observed, the evaluation is simple.

Negative evaluation is easy to identify, but difficult to communicate, and is always debatable.

Hence the method of explanation is important.

The correctness, completeness of report is what is a consistent to audit.

Friendliness:

This is point which is always a last priority. The stiff face auditors, those who use word system frequently and threaten auditee with system failure, are not liked.

In fact sometimes friendly auditors tend to be harsher, but apparently are liked more.

It is better to smile, crack a joke and give findings.

 

To sum up, if auditee gets the experience of all these, points, & considers the audit is a really worth spending, and believes that auditor is professional.   This is a role play Which needs to be played to perfection.

 

Overview of ISO 29990

The standard is aimed for Educational Institutions. The standard has number of peculiarities as listed below:

1.       Instead of use of word customer- it is divided as Sponsor, Learner.

2.       Tutor is Facilitator, or Associate based on the role.

3.       The PDCA approach is drafted suiting to the processes- Needs analysis/ Design/ execution/ Evaluation and monitoring.

4.       Design aspect is made clear with terms related to design- curriculum, evaluation, and schedule.

5.        Scope of organization is clarified on facilities, guideline notes, additional notes

6.       Evaluation process, concept is clarified further.

7.       Preventive actions are prior to Corrective actions again a peculiar requirement.

8.       The requirement of documentation, Procedures, records are explicitly specified.

9.       Monitoring from competent person, nature of feedback expected ( from sponsor, learner) are different.

10.   The standard gives the purpose or expectations of certain clause requirements like document control.

11.   The requirement of quality manual is not specified, giving flexibility to the organization.

12.   The management requirements are business oriented and more in line with current business practices- Finance, risk management, business planning, strategy etc.

 

Benefits envisaged are:

1.       Very focussed findings can emerge which are relevant to educational organization.

2.       The standard has elaborate requirements on learning needs, design of training. This will bring in some basic findings related to education.

3.       The clarity in what type of feedback expected from each interested party is different.

Implementation:

1.       The organization must have PDCA approach. This means

P – Need analysis, Competence, Infrastructure, and Environment

D- Design, Delivery of training

C-Monitoring, evaluation, feedback, Audits

A-PACA, Reviews, Business planning

2.       The documented system must address these requirements.

3.       The manual/ overall process chart/ matrix must address all the clauses.

4.       The mandatory procedures are documented in each clause accordingly- namely

3.3, 3.5.1c, 3.5.3.c, 4.1, 4.3, 4.4, 4.6.e, 4.7, 4.9.

The documents required for each clause requirement- 3.2.2, 3.2.3, 4.1, 4.2, 4.5, 4.6, Annexures.

5.       Hence for example documented need analysis, curriculum & exam pattern design shall be documented for each training.

Like this all such areas need to be established in the system.

6.       The expectation on type of feedback from sponsor and that from learner is different. The monitoring from competent authority is again different. This can be ideally compared to a 360deg feedback method used by world class organizations.

 

Internal audit, PACA, Reviews:

During implementation the system needs to be assessed. Considering the nature of sector, the amendment is evident asking to audit each area at least once in 3 years.

The auditor suitably qualified for any standard, and having knowledge of this standard can be used.

The PA is considered prior, probably because this is not a conventional manufacturing and rejections, defect are not clearly defined. For example a delayed completion / stretched topic, getting different need later during training can be more of PA than call for CA.

The purpose, output of review is clearly defined giving little elaborate agenda.

Completely new focus or a business focus is an interesting feature. A clear explanation about contents of business plan. This   gives a great benefit and a well-directed move towards sustained success.

For Auditors:

The entire audit is on core areas; hence any finding will be definitely adding value. The deviations will clearly show the risks / threats and will direct organization to think about future, and add to its image.