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ISO 9000 & AUDITS WORLD CONFERENCE

Future Integrated Management System Auditing: ISO 9001, ISO 14001, ISO 45001 and More

Presenter:   Dr. Roderick A. Munro, Senior Lead Assessor,  Lloyd’s Register, Houston, TX, USA

Keywords: Internal Audit, Process Approach, Risk, Management System, ISO 9001, ISO 14001, ISO 45001, ISO 16949, ISO 13485, ISO 9100

Industry: Manufacturing

Level: Intermediate

ABSTRACT

 Einstein’s Definition of insanity is stated as: ‘Doing the same thing over and over again, but expecting different results!’ So, the question to ask here is: Are you using the same internal audit techniques and tools for the updated Management System requirements and expecting an excellence internal audit process?” If so, and as a full-time auditor for one of the larger registrars, I have to put a mirror in front of many managers to raise the risk to the business question about what they could be missing! A key element to this has been recently highlighted by The Wall Street Journal as identified by the Business Roundtable, a group of nearly 200 of the USA’s most powerful CEOs, as they redirect the purpose of their companies of only looking at the profits of shareholders to making decisions that take into account all stakeholders. Nearly all of the CEOs endorsed a plead to consider the interests of customers, employees, suppliers, and the communities in which they work. This aligns exactly to the requirements of the ISO 9001, ISO 14001 and ISO 45001 in reviewing what the local management teams are supposed to be discussion around interested parties and the documented information needed to demonstrate how risk the business is being analyzed. Organization should be utilizing the internal audit process as a tool of management versus a check off point to meet Management System requirements. A lot of opportunities could be forthcoming which should assist the management team to utilize various aspects and factors into their risk planning process. Examples from the past eight years of watching various organizations struggle with this changing need will be discussed with examples from multiple industries and examples of what seems to be working well. One of these will be the idea of starting to utilize the high potential employees as internal auditors to become both a succession planning tool as well to gain new insights of the company’s operations for the management team. The traditional way that internal audits have been conducted in mimicking the external auditors will also be challenged. Instead of using simple check sheets in a day long or monthly department auditing process, changing up the internal audit process to be process approach based on the business model will be reviewed. One interesting twist to this was seen at one company that included a risk-based thinking element (not unlike a light FMEA) to create a risk based internal audit model to the audit plan to ensure that high risk areas would be audited more frequently. The use of the “CPR for Internal Auditors” will be discussed to get internal auditors into the process approach and risk-based think mindsets that management is required to promote in the ISO 9001 5.1.1 d). The CPR acronym represents: compliance or conformance, process approach and risk. This model could easily be used by all internal auditors moving forward and given that management is supposed to be reviewing the internal audit results could lead to another example of how management meets the requirements of the ISO. The end result of this presentation should be a good starting point for any organization to rethink how and why they are conducting internal audits and the improve the auditing process to achieve better results for the organization. It has been stated that if a company is spending all of the time and money to be registered to the ISO Management System process and cannot demonstrate bottom line results to the organization, then something is wrong with the current process. Challenging the current status quo how the internal audit process is being conducted could be a great starting discussion with most management teams on how they utilized risk-based think within their organizations. Another way to state this is that if your internal audit process is not finding a minimum factor of 10 times the findings of external auditors, then a refresh of the internal system is needed. Five specific takeaways for this presentation will include:

• Internal Audit Risk Matrix
• High Potential personnel as internal auditors
•  Rice & Munro Evaluation system model – training effectiveness ROI
• Knowledge Audit transformation
• CPR for Internal Auditors

Government Organizations




Corporations

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(*) based on previous conference attendance






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