Reasons Why ISO Operations Become 'Audit-Dependent' and Steps to Break Free

Breaking free from 'external dependence' centered on audits
—Think of auditors as 'expensive outsourced resources' and
non-conformities as 'weapons for improvement'!

In the previous article, I discussed
flexible approaches to
ISO management system operations.

This time, let's think about
surveillance audits and renewal audits,
which are regular ISO events.

1. Start by stopping the 'hospitality' toward auditors

It is not uncommon for companies to be filled with a strange tension
as an audit approaches.
Internal audits turn into rituals to make ends meet,

and if deficiencies are found, records are hurriedly adjusted.
On the day of the audit,

they line up model answers to avoid displeasing the auditor,
and try to get through it with excessive 'hospitality'.
However,
this is not the negligence of the person in charge, but a


'culture of conforming to audits'

that theorganization has spent many years creating,a structural problem.

As long as you view this external audit as a
'ritual to receive a passing grade',
ISO will end up being nothing more than a 'transit pass'
for that organization forever.

The external audit body is an
important
outsourced partnerthat you are paying for and contracting with,and it is by no means a god or
a customer.

First, thoroughly share this perspective
to every corner of the
organization.

2. Thinking Shift 1: Auditors are the 'best benchmark material'

Throughout the year, auditors audit and observe
dozens to hundreds of workplaces,
from competitors to different industries.

They are extremely valuable beings who know
'market common sense', 'failures of other companies',
and 'trends in improvement'
that you could never obtain by staying inside your own company.

Nevertheless,
many companies stick to being on the 'receiving end' of
auditor questions,
and do not try to go and get that living information.

This is a huge loss.

To turn audit costs into an
'investment',
you need to actively throw questions
at them from your side.

• 'Are there any examples of other companies doing this process more smartly?'
  

• 'Looking at recent trends, isn't this risk measure too lenient?'
  

Just these two questions alone will
dramatically change the quality of the audit and
the organization's system thereafter.
The attitude of 'squeezing out' the auditor's knowledge is the

first step toward breaking free from external dependence.
Of course, auditors are tight-lipped.

Right?
Because they have a duty of confidentiality.

That doesn't mean I'm telling you to entertain them.

Also, auditors say

'We do not provide consulting'.
This is natural, but it is because it is

a professional iron rule that auditors must follow
.
But they should give you hints.
If you think that all departments and all employees are working sincerely,
they should tell you,

'Doing it this way might be good'.

However, it is dangerous to swallow the auditor's hints
whole.

They are just hints, after all.
How you cook them is what matters.

But, it is a fact that sometimes
there are outrageous auditors.

Don't be intimidated by that.
Let's confidently assert ourselves to the auditor.

3. Thinking Shift 2: Non-conformity is a 'weapon for improvement'

Many companies view non-conformities and observations
as a 'disgrace'.

If even one non-conformity is issued,
management gets furious.

It is true that in the past, there were many companies
that only valued such appearances and face.

That is why they hide inconvenient things, tell lies,
and make the system rigid.

From the employee's point of view, at this point,
ISO itself becomes the
new 3Ms of meaningless, wasteful, and useless
.

That is precisely why,
if you seriously want to improve management quality and quality culture,you need to shift your thinking
180 degrees.

Non-conformity actually becomes a 'weapon for improvement' that should be welcomed.

The official endorsement of 'non-conformity' from the outside
becomes the strongest justification
for changing old internal customs and
useless rules that are tormenting the workplace.

• "Since it was pointed out during the audit,
  we will abolish this dual management."

• "Because it is non-conforming to the standard,
  we will update this inspection criteria."

Such reforms become a force to move
the 'heavy rock' that could not be moved
from within alone.

However,
what I do not want you to misunderstand is
that the goal is not to mass-produce
formal non-conformities
point.

The aim is to visualize the pain and contradictions on the front lines
and turn them into an engine for improvement.

Looking at it another way,
I am troubled by auditors
who lack the audit capability
to identify even a single non-conformity or opportunity for improvement.

Are you not becoming paralyzed
by wasting money, time, and effort
on audit organizations with low exploratory skills?

4. Conclusion: The Protagonist is Always the Auditee

The times have changed.

Let's end the practice of
creating business systems
just to suit auditors.
Let's stop it.

External audits are
not a routine ceremony
for 'passing rituals' or 'certification renewal,'
but a health check for your company
and an opportunity for management improvement.

What should remain
after the auditor leaves
is not a single certificate of maintenance,

but material for improvement
so that the front lines
can truly feel,
"This has made my work easier."

In the next audit,
start by asking just one question
from your side.
They will be happy,

and the expression of your usual auditor will change.

And please,
welcome any non-conformities that arise
as 'seeds for improvement'
together as a team.

Especially, "major non-conformities" are very welcome.
Huh?
We'll have our certification revoked!

This is a major incident, a major scandal.

But if it is a fact that violates the law,
that possibility exists,
but usually, it doesn't go that far.

As you may know,
in the case of a major non-conformity,
investigating the root cause
and taking corrective actions
to eliminate that cause
become important tasks
that the entire organization should tackle.

From that moment on,
ISO begins to transform
from a 'system pushed around by external forces'
into a 'tool to strengthen the organization'
that the whole company works on together.

However, in advance,
you must prepare the internal and external environment,
including sufficient simulation training,
for specific responses
in the event of such a situation
and for the subsequent reforms.

Convey the necessity of a
paradigm shift (major transformation)

in the significance and perception of external audits
thoroughly within the organization.
The bad habits of the past,
such as creating and reviewing records just before the audit,

internal audits for the sake of the audit,
and management's audit Q&A, etc.
Declare at the beginning-of-the-year general meeting

that you will not do any of these meaningless acts at all,
and make sure everyone in the organization knows
that every day is an ISO activity before you get started.

Old traditions and customs
invite various
cognitive bias monsterization due to deep-seated beliefs and resistance.

Centered on the typical "status quo bias",
sunk cost effect
conformity bias
authority bias
normalcy bias
and other
renowned bias monsters
will attack you
as a "complex bias monster"
intertwined with each other,
and will hinder structural improvements and reforms.

But, as the ancients said, "there is always a way to think about things."
Or
they also say, "a day you decide to do something is a lucky day."

Envision the new organizational management
and operational form of the future,
make a great decision,
and take a great step forward.

In your organization,
is there any work
that is just to match external audits?

If you have any opinions or comments, they are very welcome. Please send them in.

Also, if you follow or give a "like," it will be encouraging.
Thank you.

The
cognitive bias monsters that appear in this article
are explained in various ways
in the "World of Cognition"

on my blog.
Please feel free to stop by. You can read any article individually.

For the "Bias Monsters" in the text, please check the following books!

If you are serious about rebuilding ISO, this series is perfect!

For rebuilding the ISO internal audit system