Fixing findings

And so, the audit is finished, the exit meeting conducted and the audit report has hit your desk.  As discussed, there should be no surprises, there should be correctly categorised findings, there should be specific examples and now you have 3, 6, 9 or 12 months with which to fix them.

Now if you have findings that have to be addressed within 3 months, then you have got a nonconformity or a major corrective action (of course the names are different for every certification service provider) and if you have one of these, you normally have to provide details on what corrective actions you will take, what resources and a timeline to at least reduce the matter to an improvement request / minor corrective action if not closed all together.  The rest of the categories of findings you will just need to address before the next audit or at least consider if they are an observation.

So it really doesn’t matter what the category is, my recommendation is that you treat each finding as an individual event and include them in your system’s own corrective action process.  Make sure you cross reference them so that you can trace them when the auditor returns.

Once in the system, correct the situation as reported.  If the finding is the audit report for internal audit of purchasing in October was not signed….get it signed.  The matter can be closed.  However, if you are using certification as an improvement process, you should look into why the report was not signed.  At this point, I would close the original, then open a new corrective action and review the signing process but make sure you still make reference the originating circumstance.  Now this not the only methodology, you could keep the original open and make the review as part of the effectiveness review of the matter.

Just remember, don’t go re-inventing the wheel based on the findings and examples of one audit.  Be reflective and take only those actions that you need to do to address the findings tabled.  Once you have that out of the road and your certification provider, you can then get on with your own continual improvement cycle through your management reviews, internal audits and corrective actions.
previous blogs;
http://johnmasonstuff.blogspot.com/
http://john-mason-stuff.blogspot.com/

Management review

Management review is one of the most simplest of requirements in a quality management system.  The standard has its own clause.  The standard defines the inputs and outputs.  The standard then leaves it up to the organisation to define who, when, where and what format.  Just be careful.  Some certification service providers have some preconceived ideas.  If you have already chosen one, ask them their expectations.  Don’t ask what to do, just be aware.

Although the standard does not require a procedure, I always write on.  It should no more than a page in length and should focus on; who attends, the minimum attendance, the frequency (no longer than annual is the expectation), define the use of a checklist, a standing agenda, the minutes, reports, attachments, and responsibilities.  Try and externalise the data submissions / review before a meeting occurs so as to minimise the time needed.  Try and combine with other meetings, so long as they are relevant / complimentary.

Generate the minutes on the same day if possible.  Always include reference to and or actual tabled documents.  Always have an action list / summary and ensure that they are assigned to people with deadlines.

The rest is purely good meeting / governance best practices and your reviews will ensure the effectiveness of your quality management system is constructive.

previous blogs;
http://johnmasonstuff.blogspot.com/
http://john-mason-stuff.blogspot.com/

Meet Deadlines

Do you meet deadlines?  One of the two most successful strategies I have employed in my business life are; never quit, meet deadlines.

Why?  Because it is a bit like common sense.  It ain’t that common.  People are forever making commitments, promising deadlines and not meeting them.  And they don’t have to be big.  Every appointment, every meeting, very $1.36m project, has a start, has a finish.

And here is my top 5 list of things to do to keep deadlines; be realistic, delegate tasks, define milestones, do it right the first time (or eliminate waste / rework), communicate.

Easy.  Nothing will work against you more than over promising and under delivering.  And it’s the smaller things like commitment to being on time that can really make a difference.  One of the best compliments ever given to me was ‘He says, he delivers.  You can depend on him.’  Isn’t that what we all want, especially in business.  Go on, tell a colleague today that you will have it done by 4.00 and do it.  Do it twice, they will take notice.  Do it thrice and you are the ‘go to’ person from that moment.  The doors that open as a result will truly amaze you.

previous blogs;
http://johnmasonstuff.blogspot.com/
http://john-mason-stuff.blogspot.com/

exit meetings

Every audit must finish with one.  Make sure you manage the process.  This doesn’t mean hijack it, just manage it.  Find out what are the expectations from the auditor and certification provider.  Ensure an agreed time, location, and duration.  Negotiate to a mutually acceptable position and ensure it happens.

Once you have the logistics, communicate the requirements to the management review team and any interested stakeholders.  Don’t force anyone to be there.  If it the first certification audit exit meeting, it is suggested that at least the management representative and the managing director are present.  All subsequent exit meetings should just be sensitive to the requirements of the management team and or the certification provider.

Now as the management representative, you should already know the result.  If not, why not?  Always ensure open and often communication between yourself and the lead auditor.  We have dealt with findings in previous blogs, so just make sure you are aware.

The next step is to school the attendees as to their behaviour and what to expect during the meeting.  The most important aspect being not to argue ‘the toss’.  Get them to accept that you as the MR have accepted the findings, so should they.  If they think that the finding is incorrect, then raise it with you after the meeting.  No need to start the dialog during the meeting, it will just drag it out and open the door for more ‘discussion’ for the remainder of the findings.   Just take the verbal report on face value and in the knowledge it is just a courtesy communication rather than an opportunity to joust.

As most certification providers will announce the result within the first few minutes of the meeting, accept the overall result (which should be positive), bask in the good news and keep a few notes to demonstrate the importance you place on the process.

Even if the lead auditor should spring a surprise result / finding during the meeting, accept it, then ensure you seek clarification before they leave the site.  All forms of feedback, dispute can then be handled through due process with the certification provider as opposed to the individual.

previous blogs;
http://johnmasonstuff.blogspot.com/
http://john-mason-stuff.blogspot.com/