What are the types of audits and what are the benefits of auditing?
There are various types of audits, with benefits to each but with a differing approach taken.
Internal audits
Second party audits
Third party audits
Audits, what are they and who undertakes them
Internal audits are undertaken by trained, competent auditors working within the organisation. They may be located at the same site or a sister site, depending upon the size and geographical distribution of the organisation.
Second party audits are undertaken by those working on behalf of an organisation such as a consultant who is there to provide the independence and fresh look that internal auditors may not be able to provide. It may be that the internal audit team is so few in number and too close to developing and working with the management system to give full independence.
Third party audits, typically brought in by the organisation as part of a certification process, at various stages in the cycle from gap analysis, through to initial and secondary phase assessments, certification, and recertification. It may also include audits undertaken by or on behalf of your clients / customers to validate what services or products your organisation provides, wishes to provide or as a result of a complaint or non-compliance. They may be there as part of their certification process to certification.
What are the benefits of audits?
A review of your processes, procedures, policies, documents and records etc.
o Are they in place?
o Known?
o Followed?
o Beneficial?
o Correct? A
o Are they working for the organisation?
They can help identify if you are compliant with your legal / statutory requirements?
If you have a certified Management System, are you compliant with the clauses of the Standard(s)? An audit can help identify if this is the case and if not where any issues may arise.
Identify if the organisation is achieving it’s goals / KPI’s / Business Strategy.
Are they statements or claims an organisation is making for example on sustainability substantiated?
Identify if you have recurring issues that have not been addressed or trends not identified or acted upon.
Verify if you have happy customers and if you are providing the goods or services which you are contracted to do so?
Highlight where you can make continual improvements to your organisation, management system including your communication, engagement with interested parties including your employees.
Identify if your employees are happy and are being listened to and are part of the communications process.
The outcome of all audits
It is most important to take head of the outcome of any audits and act accordingly. The steps to take include:
1. Fully reading the scope and context of the audit
2. Taking note of the outcome of the audit, including:
a. positive findings;
b. opportunities for improvement and
c. non-compliances.
3. Share the outcome.
4. Create an action plan with actions designated to those with responsibility and authority to carry out the actions. Include team members who can contribute, who are affected by processes etc, ensuring they feel part of the changes, they are more likely to comply.
5. Set timescales for achievement, include interim targets and deadlines if required. Review the progress regularly and add additional actions as required.
6. Review the outcome of the actions.
a. Have they been implemented?
b. Have they been successful?
c. Is everyone who is required to know what the changes are, aware and complying?
d. Are there any other suggestions or issues which have bene identified as a result of this process and if so, what has happened to those?
7. Do the actions taken resolve the original non-conformity and can this be clearly evidenced?
8. Have the above actions been documented and evidenced?
9. Note that even the positive findings may require action, this may be as simple as communicating the outcome and thanking those taking part.
10. Opportunities for improvement are there for a reason, do not ignore them as they could become a positive finding in future if taken further, or a non-compliance if ignored.
11. Throughout the audit and action process, be honest:
a. Where there any issues which you or others could see could have been identified if the auditor had asked that question, or requested to look at that document or department?
b. If so, investigate, raise as an internal non-compliance or opportunity for improvement, and act upon those also, you may not be so lucky next time.
If you are in need of independent second party auditing or gap analysis, contact enquiries@ehsqconsultancy.com.
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