Process Auditing Approach- Management Commitment
Now that we have examined what to look for and what to ask for in the area of documentation requirements, it's time to move forward to the area of management commitment. Within the area of management commitment, you will be examining the areas of customer focus, quality policy, organizational planning, responsibility, authority and communication. The organization's top management should be involved and engaged during this portion of the audit. As the auditor, be sure to keep in mind the sensitive nature of this process.
Management Commitment
Begin this portion of the audit reviewing any form of written management statement, the manners in which this statement is communicated throughout the organization, documented employee improvement plans, management reviews and the general involvement of upper l evel management in the day-to-day affairs of the business. Examples of documents that may be reviewed include meeting and activity notes, written management policies and stated management objectives.
As you review these areas, consider asking for the names and positions of top leaders within the organization. And in relation to the review processes, be sure to clarify whether top leaders are involved in the reviews or whether these obligations are delegated.
Customer Focus
When evaluating the organization's customer focus, consider looking for some or all of the following examples of evidence:
Customer satisfaction surveysMarketing/customer acquisition campaignsCommunication policies and arrangements/platformsPercentages of on-time and on-quality deliveriesWhen interviewing top leaders with regard to customer focus, consider asking who the organization's top customers are, whether focus is placed on top customers and on-time deliverie s and how these areas are measured across the organization.
Quality Policy
Is the organization's quality policy well communicated? Do appropriate personnel understand the policy? And, can these key employees communicate the policy to others? As you examine the area of quality policy, consider asking for relevant, documented policies and stated objectives. Ask about the methods of communication utilized from the top down. And, inquire into what types of ongoing reviews are utilized to ensure that quality is sustainable.
When looking at the area of planning, are the organization's objectives specific, measurable, attainable, realistic and time-bound (SMART) at each level within the organization?
Responsibility, Authority and Communication
When looking at these areas, request the organizational chart which outlines specific roles and responsibilities for key employees and/or positions. Examine job descriptions for relevant roles. Is this information readily available? And, is it communicated effectively throughout the organization?
Finally, when examining management overall, examine whether consistency is present with regard to processes throughout the organization. Request evidence to support these areas, which could include statistical data, summary tables, graphics, and reports covering product delivery performances. And, be sure to provide evidence showing the impact of proposed changes to the management system or business as a whole as well as any controls needed or identified.
Working through these specific questions and collecting suggested documentation will improve this portion of your audit. Stay tuned for our next article in the series covering Process Auditing, Provision of Resources.
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