Tales from an auditor
recalls two different companies, both desperate to pass their certification audits
In a worldwide competitive market, the continuing success of both large and small organizations is dependent on satisfying the needs of customers. This happens to be a key basic requirement of the current ISO 9001 standard.
The two organizations referred to below had evidently been told that there would not be any orders for them if they did not achieve ISO 9001 certification.
Passing no matter the cost
Although the media highlights cases of bribery and corruption from time to time, I believe this is relatively uncommon in the UK, butI have had my own close encounter with such unsavoury dealings.
One day, I received a telephone call at home from a man who announced: ‘Dr Green. You are coming to audit us tomorrow.’ He went on to explain that he had been acting as a consultant to the company in question. He then added: ‘We must pass – even if it costs £5,000.'
I immediately, but politely, terminated the conversation and telephoned my controller at the certification body. I explained what had happened and said I intended to carry on with the audit, but only on the clear understanding that if at any stage payments were mentioned I would withdraw. He concurred with my proposals.
I carried out my audit in the normal manner, except that I was looking and listening out for any hints of bribery. At the end of the day, during the closing meeting, I said that I would be recommending to the certification body that a certificate be awarded. Early the next morning I telephoned the certification body and reported that all went well.
I am glad to say that it has been the only incident of its kind in all of my auditing experience. I did say to the certification body afterwards, with my tongue firmly in cheek: ‘The problem was that £5,000 was not enough: I might have had a problem if £25,000 had been offered!No pressure
Sometime later, I carried out another audit. I was wellreceived at the company and was immediately introduced to the new managing director and four other directors. All were most courteous and at least one accompanied me around the factory at all times.
At the completion of the certification audit, I said I had no hesitation in recommending that they be awarded a certificate. At the end of the closing meeting, one of the directors suggested that he would like to accompany me to my car. He said that he wanted me to know that my recommendation was more important to the company than I could possibly realize.
Prior to the audit he and the other directors had discussed among themselves whether they should let me know when I arrived how important it was for the company to be successful. They decided that it would be wrong for them to do so. He then said that their success meant that they would now get a contract for a large and important order. I was naturally delighted for them. I congratulated them on making a correct decision.
Auditors must be beyond reproach
An auditor’s job is to determine whether a client satisfies all of the requirements of the standard to which they are assessing. When there is a decision that a recommendation cannot be made for the award of a certificate, the reasons are given. The client should always be advised that there is a method of appeal to the certification body.
A failure to recommend that a certificate be awarded gives an auditor no pleasure, but what is more important to the whole business of certification is that the auditor’s decision is based on objective evidence.
If at any stage during an audit there is even a hint of any personal reward for recommending that the organization is successful, then a record should be made immediately as to what was said and the audit should be politely terminated.
About the author
Dr Dennis Green is an international consultant, principal auditor on ISO 9001 and the author of five books on quality management systems. Three of his most recent books have been published by BSI: Quality Patient Care in Hospitals, Quality of Care in Residential Homes for the Elderly and Medical Devices: ISO 13485 and ISO 9001.
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