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Internal audits and pastures new?
By Allan J. Sayle, President Allan Sayle
Associates
Appendix 2 - My publicly expressed views over the years
a) What did I write in my books?
Meeting ISO 9000 in a TQM World”, 1st edition, 1991, ISBN
09511739-3-6. In that work, I wrote of self audits (page 100-101):
“Self auditing can be used by foreground and background
staff to verify the state of readiness, of the equipment, of information
and of items that they require both before and during the working
day. Planned and periodic checks can also be performed by them.
Records of completed activities and routine checks can be reviewed
or audited…Customers are the final arbiters on service quality
and if their experience and views are obtained, a better guide becomes
available.”
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But, I also advised that normally such customer feedback is an after-the-event
matter.
I wrote of my “Process Model”, page 5, as follows:
“The benefits of using the process model for quality
planning and improvement are being increasingly recognized. The
idea is that one can consider individual jobs as “processes”
that can be planned and controlled. In a TQM environment much of
the responsibility for planning is delegated to the person who actually
has to accomplish it together with total responsibility for actually
controlling it…Chapter 15 ‘The Task Elements’
describes the constituents of every task (process) that require
planning and control and it details actions to be taken. The relationships
of the process models to the clauses within ISO 9001, 9002 and 9003
are shown diagrammatically in Chapter 3.” |
In those diagrams I showed how “self check” would be applied
to any “task” (a.k.a. “process”) though none of
the ISO 9000 series advocated the process model at the time.” Chapter
3, “The Process Model” described my process model
in a form current readers, of ISO 9001:2000, would immediately recognize.
The “Task Elements” had appeared much earlier in each of the
two editions of Management Audits that had been written up to
that time of writing the first edition of “Meeting ISO 9000…World.”
An earlier version of them had also been briefly described in Juran’s
“Quality Control Handbook” 4th edition.
Meeting ISO 9000 in a TQM World”, 2nd edition, 1994, ISBN
09511739-3-6.
In this edition, I repeated those diagrams linking the process
model to the (new, 1994) clauses of the standard and explained the following:
(Page 386),“Independent verification is now abandoned
with the exception of audit performance as constituting the only
type to be practiced within the firm. This is a good move consistent
with the TQM idea of self-control. Self-auditing, whilst not being
advocated/ required…is not disbarred”.
(Page 41), “Prior to starting a task required it is always
beneficial for the individual to perform a self-audit, otherwise
prevention cannot be assured. Self-checking is always vital. A central
tenet of TQM is that the person doing the work is responsible for
the results obtained. Responsibility cannot be said to have been
exercised if the individual hands over his/ her work in an unknown
or uncorrected state. Everyone must self-check his/ her own work
first to the best of his/ her ability. Self-checking is not inconsistent
with the precepts of process control found in ISO 9001 and 9002
[that is the 1994 releases]; self-auditing is not excluded by either
of those standards and a TQM programme will never be fully effective
without it.”
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Management Audits, 1st edition, 1981, ISBN 07 084556 5
This text was written in 1978 and finally appeared in print in
1981, at first as a McGraw-Hill (UK) publication. The text was, therefore,
prepared long before BS 5750 was released in 1979. That standard effectively
became the original ISO 9000, released in 1987.
Page 4 offered a definition:
“Management audit: an independent examination of objective
evidence performed by trained personnel, to determine whether integrated
management systems, which are required to fulfill the contractual
and legal obligation of the company to its customer and the community
are being effectively implemented, and the true and fair presentation
of the results of such examination.”
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On the same page, I expressed my hope:
“Eventually an organization such as Dun and Bradstreet
may include in their assessment of a company an analysis of the
efficacy of the enterprise’s management systems, based on
information gathered by an audit of the enterprise in question.
If this development should take place, a recognized auditor’s
qualification scheme will have to be introduced to lend these independent
audits the necessary credibility.” |
Management Audits, 2nd edition, 1988, 09511739-1-X.
On page 1-6, I expanded somewhat on that first edition’s
definition but the substance remained the same. But, I did also express
my views about multiple assessment (pp 1-10 – 1-12). At the time
of writing (1987) I was already becoming concerned about:
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The questionable credibility of “…various
assessment schemes designed to reduce multiple assessment of firms
in general”, and |
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Of the fact that,“…when an assessment body investigates
compliance with the [ISO 900X] standard, it will be investigating
AN interpretation – and it will issue a certificate whose validity
rests on that interpretation alone: assessment bodies do not, currently
have the authority to impose their interpretation of that standard’s
words into the auditee’s practices or management systems. Accordingly,
any company wishing to select a supplier solely on the basis of an
assessment body’s certificate would be well advised to remain
circumspect.” |
But, “self audit”, a practice I had been advocating for some
time, I described as follows:
“This is a particular type of internal audit performed
by an individual upon his or her own systems, procedures and facilities
in order to assess his or her performance, its needs, its strong
points and its failings.” |
“Management Audits”, 3rd edition, 1997, ISBN 0951173901.
In this edition, I added my views on “self auditing”
and also truncated the definition of “Management Audit”, as
follows:
Page 20: “The self audit places mature responsibility
onto one’s employees. Since everyone is a manager, it is sensible
for each individual periodically to determine the results of his
or her efforts and associated needs for improvement. This is one
area where the performance of a self audit is most useful. Although
the ingredient of independence is lost, the extra value of self
discipline and delegated trust fully compensate. Self audits are
performed in addition to, not as a substitute for, independent management
audits…the self audit is a particular type of internal audit
performed by an individual upon his or her own systems, procedures
and facilities in order to assess his or her performance, needs,
strengths and failings”.
Page 12: “A management audit is a fact finding exercise
which provides management information”.
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b) Views expressed in articles and papers
In a 1979 paper, “Quality Assurance – updating the definition”,
which was published by Britain’s IQA, I offered a definition for
“quality assurance” paralleling that used in the first edition
of Management Audits”.
In several papers I expressed my concern about the state of the quality
movement, audit performance, audit training and so forth.
c) Self-auditing video
I developed a self-audit training course and, with the kind assistance
and hospitality of Messrs Digital Equipment Corporation, shot a video
package showing self-auditing at Digital’s facility, in Fareham,
UK, in January 1989. The video showed people undertaking self-auditing
actions but not process review performed by their managers. It was shown
at the AQC Toronto later that year. Intel’s Urmil Desai took sufficient
interest to travel to London and see it. His (then) manager, Vivian Brown,
said then it was “timely but ahead of its time”.
It was advertised in a 1989 issue of Quality Progress. I still
have it.
d) Major speeches
In several of my keynote addresses to the ASQ’s Audit Division conferences,
I have expressed my concern about the generally poor state of auditing,
the generally poor service delivered to management, the inadequacy of
training courses et al and have forewarned that management may find its
own solutions for its needs. The texts to those speeches are available
from various sources.
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