|
|||||||||||
|
When ISO/TS 16949 was rolled out last year, it was made clear that it would be updated once ISO 9001:2000 came on-line. Well, ISO 9K2K is here, so where is the new ISO/TS 16949? First, it is far too soon to expect the new 16949. Secondly, the second version of 16949 was expected to contain Asian standards rolled into it as well. Although all the official (http://www.iaob.org/) sites say nothing about the changes, sources questioned about it are looking for something to begin shortly. The normal process is close to a year, so unless they put this on a fast track, I would not look for a final second edition until 2002. More about the impact on QS-9000 later. |
||||
|
Title:
Assessing
ISO 9000 for Your Business : Key Elements and Strategies |
|
|||
|
You can order this book from internal-auditor.com at: http://www.internal-auditor.com/books.htm |
||||
|
One part of an internal auditor's life is the eventual (in some cases constant) contact with an auditee who plays some type of game. The reasons for auditee games are varied, but mostly they occur because the auditee believes (or knows) that the audit will not go well. Despite what we say, and do, most auditees equate a nonconformance with failure of them, or their department. Senior management often exacerbates the problem by placing internal audit performance in manager's overall performance evaluation. Even when these conditions are not present, internal audits still take some resources away from the department. If nothing else, the manager must take time from his, or her busy schedule to meet with internal auditors. The end result is that lower and mid-management would really avoid the audit altogether. Many of them resort to actions and activities that inhibit the auditing process. We call these actions "auditee games". That is, games auditees play to delay, disrupt or even avoid internal audits. The following are typical examples of auditee games. They are by no means the only games, just a sample of the most common.
Let's look at each of these in detail. We're Not Ready This is perhaps the most used auditee game. The auditee is not prepared to provide the resources and the evidence the auditor needs for the audit. Audit schedules should be publicized well in advance. Auditees should know when they are going to be audited (right to the hour). If neither of these two things occur, then we cannot blame the auditee if he or she is not ready for the audit. If they are aware of the audit time and date, then they have no real excuse. Key People Missing This is related to the "we're not ready" game. In this situation, the individuals you need to interview all just happen to be out of the area during the audit time. Now, we all know that emergencies can, and will occur, but I've seen instances where key management personnel are on vacation during the audit! If when the audit is scheduled, a key person has a vacation day, then the audit should be rescheduled. At a minimum, the auditor should be informed of the absence of key individuals at that time. Some of the other excuses have been just plain lame; the manager that suddenly must go visit a vendor, or customer; the manager that needs to go to the warehouse to determine stock levels. In one case, all the managers and supervisors were called to a meeting at the start of an audit. "Houston, We Have a Problem" One thing about management, they always seem to be in a crisis...perhaps they are. Many times management is busy with rush jobs, absenteeism, equipment breakdowns, etc. And as you can guess, these so-called "fires" tend to occur around internal audits. When the audit team arrives, the place is to busy too be audited. Shell Game There are many versions of this game, none of which can be "innocent". Basically, the shell game involves attempting to hide a nonconformance by hiding records, product or documentation. In one case, I heard that the auditee attempted to hide uncontrolled documents in the drop ceiling. The panel gave way under the weight of the binders and hit one of the auditors in the head. She wasn't injured, but added a nonconformance for workplace environment to the 4.5 nonconformance. There is also the reverse shell game. This is where there is not enough documentation, so the auditee attempts to shuffle the same copies of procedures or work instructions among several locations. In one large plant, the auditor noticed the same person handing the procedures to the auditee at each stop. Each time he handed over the book, the individual looked more and more winded. After a while, the auditor "accidentally" left a sticky note in the binder. At the next stop the auditor found his own note, and the auditee confessed. I'll Tell You What I Think You Want To Know When interviewing an individual, it is not uncommon for them to try to give you the answers they think you want to hear. Although they can be intentionally attempting to mislead you, usually they are only trying to be helpful. Bear in mind sometimes they may be trying to hide something, other times they might be trying to make you think things are worse than they really are. Related to this is the opposite, where the auditee tries to confuse, or impress, you with techno-babble. Using jargon, acronyms, and abbreviations that you might not be familiar with, the interviewee attempts to bury you in confusion. Hopefully, they think, you will be too embarrassed to ask for clarification, and the auditee can point out that the answer should have been clear in their last statement. What is an auditor to do? The auditor's best response occurs prior to the audit. Make sure that all key people know of the upcoming audit. One good way to do this is to copy all key players on all correspondence. If your organization has email, this is done quite easily. Once the game occurs, document it. Make sure the Management Representative receives a copy of the documentation, also send a copy to the area manager's supervisor. If it happens a second time, escalate the documentation to the "management with executive responsibility". During the audit, do not telegraph what you want to know. Avoid asking leading questions. Also asking the same question in different formats can discover if the answer is honest. If you are unsure of the answer, ask. Let them know, that you want clarification not only because you are unsure what they are saying, you want to make sure they know what they are saying! Auditee games could be a symptom of a greater problem. In many shops where internal auditors play these games at almost every audit, you will probably find that management views internal audits as a bother. Internal audits are something that they must endure in order to maintain their registration. Their registration is something they must put up with to keep in business. They resent the intrusion in their business of the entire process. If this attitude carries up to the executive management, then all is lost. Your best bet is to either resign as an internal auditor, or update your resume. You will be considered part of the problem, and your life will become difficult...at best!. Most companies are not like that. In most companies that have problems, the attitude is isolated to a few individuals. Sometimes the best way to deal with them is use Major Nonconformances to 4.1 to bring the problem to the attention to their superiors. But, there may be a better way. We discuss this briefly on The Back Page. We will also be focusing on how to turn management hearts in upcoming issues. Summary: When attempting to avoid auditee games, take into account that not all auditee games are deliberate. In some cases, situations arise that are beyond the auditee's control that might, or might not appear to be games. Should a governmental regulator arrive announced, the auditee may have to divert auditing resources to the regulator. The prospect of shutting down a customer assembly plant, might also demand all of the manager's attention as well. Some of the above things could very well be honest and completely innocent circumstances. Auditors need to develop discernment, so they can distinguish what is real, and what is deception. Do you have any experience of auditee games you wish to share? Email them to auditeegames@internal-auditor.com. I will post them on the website, as they come in. We can all learn, or maybe laugh from your experiences. As always...Good Auditing! |
||||
|
Advertisement: 
www.nsf-isr.org |
||||
|
Question and Answers: Q - I have read and heard a lot about the new ISO 9000 update. We are a tooling manufacturer to the big three, and are certified to the QS-9000 TE. How does this affect us? A - There are a lot of requirements based on ISO 9000:1994. QS-9000, and the Tooling and Equipment supplement is just one of them. At the current time, QS-9000 and QS-9000 TE are not affected. In our Update section this month we focus on ISO/TS 16949. That is probable going to change. At the last meeting with the Task Force, it was unclear what the 16949 future holds for the tooling and equipment industry. It will probably take another year or so for that to unfold. In the mean time, continue to march with the Tooling and Equipment Supplement to QS-9000. Q - My company is registered to ISO 9002. Our registrar has stated that 9002 is gone, and we must now be registered to 9001. If we don't do design, how can we be compliant? A - In clause 1.2 Application, there is a provision to exclude certain provisions of the standard. Part of the "permissible exclusions" includes the design and development requirements. You will still be registered to ISO 9001:2000, but your quality system will exclude those parts that don't apply (there are some restrictions on what you can exclude). |
||||
|
Observations from the Field: This is from one of our sponsors, Quest Analytical: "Be sure to follow-up on corrective actions from previous audits: don't only audit to see the corrective actions have been implemented. Make sure the corrective action corrected the problem that caused the corrective action in the first place." Betsy Hsiao, Quest Analytical Editor's note: One theme internal-auditor.com has pushed over and over again is the output of audit nonconformances should be effective corrective actions. My good friend Betsy is absolutely correct. This is one area where many internal audit programs are weak. We don't want to upset the auditee when the corrective action is ineffective, so we overlook the situation. Read the observation again, study it, and do it! |
||||
|
Element Understanding: 8.2.2 internal audit [ISO 9001:2000] "An audit programme shall be planned, taking into consideration the status and importance of the processes and areas to be audited, as well as the results of previous audits." The 1994 version required scheduling based on "status and importance". 9K2K goes much further. Now, not only are these things considered in the scheduling, but the planning as well. Status, importance and previous results need to be included in the scheduling, the scope and objective, as well as any checklists you may use. The intent is to make the audits more real, and more effective...and we agree! |
||||
|
Monthly Scenario Explained: May 2000's question: The answer: |
||||
|
The Back Page:
Living in the Detroit Michigan area, there is always great concern when an automaker shows signs of illness. This is especially true when it is an American nameplate. The recent problems at Daimler-Chrysler has everyone talking. Most companies, including suppliers are looking for ways to save money. There have already been open calls to eliminate ISO or QS-based registrations. Hundreds of millions could be saved, they proclaim. But at what cost? Look at how much they (and we) could save if automobiles were made of cardboard! The price of the automobile would be perhaps 1 to 2 percent of the current price. But also at what price? Some auditors (including internal auditors) are beginning to feel the pressure from peers and superiors. There are those in the organization that still see us as a drain on organizational resources. As auditors we need to be mindful of the gains the organization has made as result of our efforts. Internal Audit Program Managers need to be measuring the success of the internal auditing program. Next month, the format will be a little different. I don't want to deviate from the published schedule, so I will dedicate "The Back Page" to outlining what measurables or metrics to use to show the true value in internal audits. Please help me by emailing the measurables you use in your system. You can email them to measurables@internal-auditor.com. As always... ...Good auditing!
|
||||
|
Copyright notice: internal-auditor.com is
fully protected under US and International copyright laws. Copying, or
re-transmitting all, or any part of internal-auditor.com is expressly forbidden
without prior written consent from Ruth Ellen Carey Communications.
Because this site uses information from many different sources, it must be pointed out that any advice, tips, information, etc., provided should be regarded as opinion and not fact! What works well for one company may be a disaster for another. Also, what one registrar, or auditor may allow, another may not. As always, reflect on what you read, see if it fits into your own quality system, and if it conflicts with your auditor...you've got to make a decision |
||||
