Certification audit is a three - year process
The audit report contains areas for the auditors to make recommendations, observations, and identify opportunities for improvement by Roger Georgeson-Gunn.
The principle focus of a Certification Authority is to conduct a Certification Audit, and thereafter, Surveillance Audits, usually annually, for the three-year period of the contract.
Client organisations could use this same authority for re-certification of its quality management system, which entails assessment of four major issues:
1 effective interaction between the processes within the management system
2 effectiveness of the management system relative to internal and external changes
3 demonstrated commitment to maintain the effectiveness and continuous improvement of the management system to enhance overall performance
4 operation of the certified management system to contribute to policy and objectives.
If these four issues are properly reviewed by the organisation itself, it would surely receive surveillance audit value-add, within the limits of the contract.
The focus in re-certification is on the concept 'effective', meaning that the system and audit should enable the organisation to achieve the desired quantities and qualities.
Quality describes the ability to bring about an effect, for producing an intended result, thus meeting the client organisation's requirement.
The system should be controlled by qualities that would give the organisation the power to produce what is needed, without waste.
Quality culture
'Demonstrated commitment' involves management of the system. Auditors should assess the organisation's commitment to the culture' of quality, alignment of the system to corporate goals and strategies.
Is the business strategy securely integrated into operational processes? How are the responsibilities and authorities for quality identified and assigned?
How is quality integrated into operational planning, problem identification, solution implementation, process control, to ensure that stated objectives and policy (intentions and principles) are achieved.
If auditing is to add value to the organisation, the responsibility before and after the audit lies with the organisation. They have to make continuous improvements to their own management system.
Auditing v consulting
ISO 9001 states in Section 5, under 'Management Responsibility: the Certifying Authority is not in consulting mode, but purely auditing mode, to prevent a conflict of interests. External auditors are not necessarily limited by this conflict, as they are employed by the client, for the client's benefit.'
However, the audit report contains areas for the auditors to make recommendations, observations, and identify opportunities for improvement. Auditors could word corrective actions more comprehensively.
However, if senior management members were not trained in the structure and function of the management system, either ISO 9001,14001, or OHSAS 18001, nor in the role of auditors, they could not fully appreciate audit reports, even if corrective actions were detailed.
Clients should reviewed their auditing contracts at the end of every three-year period, and review the value-add, at least against these terms:
Did the audit cycle contribute to our system's growth?
Are we better off now than three years ago?
Has the audit cycle contributed to reducing our problems?
Have we gained knowledge about ourselves?
Have our audits grown, or are we still auditing the same things as three years ago?

