normally expected. While an expectation of impartialityremains,the focus
willshiftsomewhat to technicalexpertise,experienceand the abilityto
make appropriatejudgments in situations that are not blackand white.- Efficiency. Audits for efficiency are mentionedherebecause efficiencyis a
necessary part of the next category(improvement).In isolation theseaudits
are usually basedon an assumption of compliance and effectivenessand
targeted at reducing identifiable `losses' in terms of time, materials,
utilisation and othercostcategories. Because of theseassumptions and
focus, auditors are usually froma financialbackground. - Improvement. An auditfor improvementessentially takesall of the above
levels (basicdesign,control)and aspects(compliance,relevance) and seeks
to identify,explainand prioritiseitemsfor potentialimprovementagainst
the backgroundof the above-mentioned`all relevant considerations'.This
willinclude internally and externally establishedstandardsbut will go
beyondthosewhereappropriate. Compliance to formally applicable and
adopted standards remains highlyrelevantas such,and for the auditteamto
be able to judgethe organisation'sabilityto improve ± if the facility cannot
implementwhat they haveformally adopted, the credibility of further
improvementinitiatives is dubious.
An improvement audit is much moredemanding on the auditor, who mustbe
ableto makean informedjudgementregardingthe appropriatenessof basic
design,controlsystem and incident managementspecificationsand practices
(oneof the reasonswhy auditorsusuallycomein teams).As the outcome of this
typeof auditwillbe closerto a blueprint of an improvement programme,
without any formalapproval or certification consequences, the above-mentioned
technical expertisecombinedwithcommunicative and teachingabilities will be
moreimportantthanassurances of formalindependence and impartiality.
Apartfrom the mainpurposes of an audit system, thereare secondary
purposes to be considered:
∑ Education of auditors-in-trainingor of the auditees. Withineachof the main
purposes, the common format of an expert assessment of systems and
practicesis an ideal opportunityfor trainingpurposes.In some thirdparty
certification audit formats this is precluded by strict requirements of
independence and avoidance of any potential legal liability, but an
improvementaudit by its verynatureshouldbe morelike a masterclass.
∑ Sharingof best practice. Where manufacturing sitesare in a position to share
best practicewith eachother(e.g.becausethey belongto the samecompany),
auditsare potentiallyexcellent opportunities to exchange experiences.
40.5 Designing a system for improvementaudits
Focusingon improvementaudits, we can address a number of audit-system
designelements:
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