Fact-find not fault-find: the value and challenges of environmental auditing

The challenges

Let’s start with what occurs after the audit has been completed. In part one, I discussed mindset and the approach to auditing, and this explains many of the challenges for auditors in getting buy-in to the process. However, after the audit, it can be just as difficult to get buy-in to resolve any non-conformances. Here is where we need to talk about the ‘plan, do, check, act’ (PDCA) cycle. The audit is the ‘check’ part of the cycle and this drives towards the ‘act’ part, where continual improvement can be achieved.

Just completing corrective action (immediate action) to rectify the non-conformance is not enough as this may not stop the issue from reoccurring and may be just papering over the cracks in the management system.

Once you have established the root cause of the non-conformance, using tools such as ‘the five whys’ and fishbone diagrams, you can take preventative action (the ‘100-year fix’) to update the management system and ensure that the issue doesn’t happen again. This may need investment in terms of money, time and additional resources, and should not be avoided. So we head back to mindset and buy-in from senior management to ensure that this investment can be provided.

However, what happens if the audit result is deemed to be poor and the mindset is still about blame? We then have some of the challenges mentioned in part one. This may also cause mental health issues for the people involved because this mindset can lead to stress, depression and blame. I have seen the effects of a perceived failure of an audit and it can take months, years or even decades to recover. We need to prevent this by seeing an audit as a continual improvement opportunity rather than seeking to blame.

Other challenges can be:

• Getting buy-in throughout the year and not just around the time of the external audit. Rather than having just one audit that covers all the required areas once a year, scheduling internal audits throughout the year will help ensure that you are always audit-ready.
• Interpretation of standards by auditors. We are all different and have different experiences, so auditors may interpret the requirements of the standards differently. To ensure consistency, it is important that companies give auditors training, coaching and support, and that they follow ISO guidance, which is detailed with the standards. We need to look at auditor verification systems for internal auditors, which are completed by an experienced auditor to ensure that there is consistency throughout the audit programme.
• It is a moment in time. Any audit has limitations as it can only review what is present at the time of the audit and what is shown to the auditor. This is why unannounced audits (to remove the staged audit) are a positive addition to the auditor’s toolkit. It is also important to be open and honest with the auditor to ensure that this is a true reflection of the site and the management systems.

The value it brings

Let’s finish this series of articles by looking at the value that audits bring to a business when they are completed with the right mindset and approach, and with skilled auditors.

The obvious benefits are regarding compliance with the standard requirements of ISO section 9.2, and it is part of a due diligence defence in a court of law. However, audits can add so much more value than this.

Completed correctly, audits:

• Identify gaps and allow for the continual improvement of the management system.
• Ensure that the site is complying with the law.
• Encourage accountability of areas of the standard in departments that are not normally audited.

Auditing can also bring extra value that may not be as obvious. Completing internal audits in an appropriate manner can help train the site teams to be more confident in handling external audits. This is where having a safe environment in which staff can make mistakes when presenting information to an internal auditor can help. Internal auditors can also offer them guidance on how best to present to external auditors.

"Auditing, internal or external, should be a positive experience and not something to fear or dread"

This can then have a knock-on effect of providing confidence to the site that the management system is working correctly, and that the product or service is compliant with the requirements of the business.

Where a company has multiple sites or locations all working to the same management systems, having the internal auditors visit these sites allows for shared learning and best practice to be spread throughout the company. This can be through recommendations/observations being raised where the auditor has seen the same requirement managed in another way at a different site. After all, there are many ways to achieve compliance with the standard.

And finally…

Auditing, internal or external, should be a positive experience and not something to fear or dread. Audits need to be structured, planned and approached with an open mindset that does not prejudge or look to cast blame. After all, one of the main purposes of the audit is to fact-find, not fault-find.

Audits can provide opportunities to highlight areas of improvement, and internal audits can be used for training employees and preparing for external audits. Yes, there are limitations to any audit, but the positives outweigh these.

So I leave you with a question. Now that you have read the series, how will you approach auditing in the future and what can you do to improve the auditing experience within your own company?

Garry Warhurst AIEMA is the founder of Warhurst Associates, a consultancy firm supporting businesses in their compliance journeys