Certification Audit Research Articles

Shedding light on ISO 14001 certification audits

This article analyses the extent to which the ISO 14001 certification audit can be considered as an independent and rigorous process ensuring organizational conformance with the standard and improved environmental performance. Although the ISO 14001 certification process and external recognition are based on external audits, the rigor, focus and reliability of these audits tend to be taken for granted and have been largely overlooked in the literature. Moreover, the experience of auditors and ISO 14001 professionals has rarely been taken into account in the literature. As a result, the reasons why organizations which have superficially implemented the ISO 14001 standard have succeeded in becoming certified remain unclear. This article describes a qualitative study conducted in Canada with thirty-six professionals involved in ISO 14001 certification audits, and sheds light on the rather elastic interpretation and application of this standard, with a focus on procedural rather than substantive aspects of the Environmental Management System. The findings call into question the prevailing opinion on the rather objective, rigorous and unambiguous nature of ISO 14001 certification audits.

Shedding Light on ISO 14001 Certification Audits

This article analyses the extent to which the ISO 14001 certification audit can be considered as an independent and rigorous process ensuring organizational conformance with the standard and improved environmental performance. Although the ISO 14001 certification process and external recognition are based on external audits, the rigor, focus and reliability of these audits tend to be taken for granted and have been largely overlooked in the literature. Moreover, the experience of auditors and ISO 14001 professionals has rarely been taken into account in the literature. As a result, the reasons why organizations which have superficially implemented the ISO 14001 standard have succeeded in becoming certified remain unclear. This article describes a qualitative study conducted in Canada with thirty-six professionals involved in ISO 14001 certification audits, and sheds light on the rather elastic interpretation and application of this standard, with a focus on procedural rather than substantive aspects of the Environmental Management System. The findings call into question the prevailing opinion on the rather objective, rigorous and unambiguous nature of ISO 14001 certification audits.

ISO Certificates as Organizational Degrees? Beyond the Rational Myths of the Certification Process

This paper explores both the concrete and symbolic aspects of how ISO 9000 certification audits are prepared for and passed. Based on interviews with 60 respondents employed in certified organizations, this study analyzes the process of preparing for and passing an ISO certification audit through the lens of the degree-purchasing syndrome (DPS) in education, which refers to the disconnect between the acquisition of academic degrees and the learning process they should entail. This perspective makes it possible to go beyond the neo-institutional approach to shed light on the scholastic, ethical and contradictory aspects of the ISO certification process, which remain largely unexplored in the literature. The findings debunk the rhetoric of impartiality, objectivity and rigor surrounding the ISO certification process. They also reveal the tendency to acquire ISO certification as a sort of “organizational degree” after passing a quite predictable exam, with all the pitfalls that entails, such as rote preparation, procrastination, short-term focus and cheating.

Praktische Umsetzung von Qualitätsmanagement in einer radiologischen Abteilung

This article describes the architecture of a project aiming to implement a DIN EN ISO 9001 quality management system in a radiological department. It is intended to be a practical guide to demonstrate each step of the project leading to certification of the system. In a planning phase resources for the implementation of the project have to be identified and a quality management (QM) group as core team has to be formed. In the first project phase all available documents have to be checked and compiled in the QM manual. Moreover all relevant processes of the department have to be described in so-called process descriptions. In a second step responsibilities for the project are identified. Customer and employee surveys have to be carried out and a nonconformity management system has to be implemented. In this phase internal audits are also needed to check the new QM system, which is finally tested in the external certification audit with reference to its conformity with the standards.

Aiding the Audit: Using the IT Audit as a Springboard for Continuous Controls Monitoring

Demand for continuous controls monitoring (CCM) has increased in recent years as software platforms have matured and ERP systems have become more robust. The question remains of how to effectively implement the CCM model. This study shows how an ERP Certification Audit can be used as a springboard for effectively creating rulebooks and exception reports that both fulfill requirements of the CCM model as well as aid the audit itself. The researcher followed the certification audit of a large, recently acquired software company and worked with the internal audit team to create an automation rulebook based on the parent company's existing audit program. By the end of the systems audit, rules for approximately 63% of the controls tests were successfully automated. Additionally, due to the homogeneity of the parent company's information systems, the rulebooks and reports created can be easily adapted for use with other subsidiaries without the need to repeat the entire creation process. This paper details the benefits and limitations of using the IT audit as a conduit for CCM implementation.

Effectiveness of planning and implementation stages of the ISO 14001 standards EMS at the Obuasi gold mine, Ghana

This paper evaluated the effectiveness of the planning and implementation stages of the ISO 14001 Standards Environmental Management System (EMS) at the Obuasi gold mine in Ghana. The purpose was to identify growth factors, challenges and opportunities for improving process efficiencies through ISO 14001 Standards EMS implementation. A modified ISO 14031 Standards criterion for performance evaluation at the Plan-Do stages was adopted. In all, planning and implementation at eighteen business units were evaluated over a two-year period. Nine out of ten systems procedures evaluated scored above certification audit pass mark of 90%. Environmental Aspect and Impact Identification, and Competence training improved in performance over the study period by average values of 151% and 104%, respectively, while significance rating and environmental observations respectively dropped by 12% and 64%. Environmental training and awareness creation, good aspect and significance rating schemes, establishment of performance reward system for meeting environmental objectives, among others, could serve as key factors that can sustain the ISO 14001 standards EMS. Notable challenges of the EMS were: lack of guide tools, apathetic attitudes, group certification concept, cost constrains, legacy issues and complexity of company’s operations.

Forest certification audit results as potential changes in forest management in Canada

An analysis of CSA, FSC, and SFI audit conditions was conducted identifying areas requiring operational changes to obtain certification. Audit reports for each standard differed in both number and focus of requirements. The FSC audits required more changes in environmental, social and economic themes, while CSA and SFI audit reports emphasized changes in management systems and aquatic ecosystems management. Although not a guarantee of changes in operations and management, the audit conditions point towards areas where forest certification can potentially have impacts on forest management.Key words: forest certification, standards, audit conditions, forest management

El sistema de gestión de la calidad como aporte para el desarrollo de habilidades y capacidad gerencial en las Pymes de Bogotá

<p>Los sistemas de gestión de la calidad se han convertido en los años más recientes en una alternativa importante para que las organizaciones obtengan una certificación, por parte de un ente certificador, que les permite aumentar las posibilidades de participar en negocios con otras empresas nacionales e internacionales y con entidades del Estado. El problema está en que al concentrarse en este punto focal, el comercial - que de por sí no es contradictorio - las Pymes no han logrado percibir la importancia que tiene el desarrollo y establecimiento de estos sistemas en la mejora real de la organización, para que, fortalecido su sistema de trabajo, teniendo como soporte los requisitos de una Norma como la NTC ISO 9001:2000, puedan sustentar la rentabilidad, el crecimiento y sostenibilidad de la empresa en el mediano y largo plazo. La forma en que las organizaciones - es decir el <em>cómo</em> - abordan los sistemas de gestión de la calidad al tener como referente primordial la situación comercial que los liga en el corto plazo, es decir, con la intención centrada en responder a una auditoría de certificación o de seguimiento, hace que los aportes de la Norma, al interpretar los requisitos, sean mínimos y terminen por hacer del sistema un problema más con el que las empresas tienen que lidiar, siendo en consecuencia imperceptibles las soluciones que aporta y poco apreciable al beneficio.</p><p>Uno de los factores que impide tal crecimiento sostenible es la gran debilidad que existe en los cuerpos gerenciales de estas organizaciones, por falta de conocimiento, para generar capacidad de dirección propia que, aplicada a la realidad de la empresa, se convierta en un modelo de gestión más amigable, útil y de alto impacto para los intereses de la organización. </p><p> </p>

Akuter Thoraxschmerz: Chest-Pain-Unit – die Zertifizierungskampagne der Deutschen Gesellschaft für Kardiologie

The Chest Pain Unit (CPU) Task Force of the German Society of Cardiology inaugurated elaborated prerequisites for a CPU certification program to evaluate CPUs across the country. For this reason, a consensus document including criteria for CPUs was developed and published in October 2008. Aim of this effort is to ensure a network of elaborated centers which meet or exceed quality-of-care measures in order to improve the standard of care of patients with acute thoracic pain. After application and a formal checkup of the institution, the minimum requirements are assessed by an expert committee of the German Society of Cardiology according to presubmitted documentation of the care processes for patients with acute thoracic pain. Components of certification include characteristic locations, equipment, diagnostic and therapeutic strategies, cooperations, staff education, and organization. Certification specifically implies algorithms for ST segment elevation myocardial infarction, non-ST segment elevation myocardial infarction, unstable angina, stable angina, hypertensive crisis, acute pulmonary embolism, acute aortic syndrome, cardiogenic shock, and resuscitation. Availability of a catheter laboratory ready within the facility is mandatory. The CPU and the cath lab are obliged to be available 24 h per day over 365 days per year. After successful documentation review, a certification audit team reviews the facility's application, infrastructure, patient care, and each of the requirements according to the consensus document on site and makes recommendations to the expert committee. Certification is finally awarded by the expert committee of the German Society of Cardiology to those CPUs which fulfill the dedicated requirements and successfully run through the complete certification process. Within this process, CPUs can plan and organize the delivery of care in a systematic manner, and the differentiation between minimum requirements and best practice allows further developments and innovations.

AN EVALUATION OF THE ENVIRONMENTAL CARE ORIENTATION OF DECIDUOUS FRUIT PRODUCERS IN THE WESTERN CAPE

A classification system developed to evaluate the environmental care orientation of companies and, more specifically, their strategies to deal with the environmental care requirements presrcibed by the market was applied to the deciduous fruit sector in the Western Cape. A survey was done to determine the attitude towards and status of, environmental care activities amongst deciduous fruit producers who have already obtained Eurepgap certification or who are busy preparing for the certification audit. A questionnaire was used and the responses were judged in terms of the guidelines of the classification system. The nature of the typical South African—European deciduous fruit export supply chain is that South African producers desire to supply the retail market at higher prices than that of the wholesale market. The producers are then confronted with the stringent environmental care requirements of the retail chains, who use the environmental care product image aggressively as a selling point in the retail market, acting like typical Class III market oriented institutions. The classification shows that the majority of producers try to comply with these requirements with minimum effort (Class I). The more progressive producers accept them as good agricultural practices to increase their production efficienc. (Class II). Some farmers participate in a comprehensive Integrated Crop Management (ICM) system to establish a culture of environmental care at farm level in a more efficient way. ICM implementation also helps to prepare proactively for possible changes in the environmental care requirements of individual retail chains. This seems to be the more effective strategy for the primary producer.

Implementation of a Quality Plan (ISO 9002) In a Regional Tissue Bank.

Quality control and standardized preservation methods are essential in the field of transplantation. The International Organization for Standardization (ISO) has established a common set of manufacturing, trade and communications standards that are applicable worldwide and that provide the basis of a quality plan for Tissuebreak Banks.The Sectorial Tissue Banking (STB) of the Regional Blood Transfusion Center (RBTC) of Córdoba (Spain) is a non-profit-making tissue bank, established in 1992 to provide tissues for surgical procedures to the hospitals in a regional area. In 1998, the STB as a part of the RBTC embarked upon the path of becoming ISO-certified: after two years of the implementation of the project, STB attained ISO 9002 certification, thus becoming one of the first tissue banks in Europe to achieve this qualification. In this paper we describe the process of becoming ISO-certified, to demonstrate the positive impact that it has had on our entire organization.The assistance of an outside consultant who provided the necessary information for implementing an ISO quality management system was required. The initial improvement was: a well-defined quality manual to address all elements of the ISO 9002 standard, an improved document control system, detailed standard operating procedures (SOPs) and improved employees training processes. A quality committee team and developed quality indicators were created. The internal quality auditing program was established by the selection of employees from a cross-section of the organization, who were trained in internal auditing processes. A formal corrective action system was developed and implemented to facilitate process improvement. The consultant conducted a pre-certification audit, and one month later the certification audit was performed.In conclusion, the implementation of an ISO quality program in the STB has helped our center to establish a control process in the manufacturing of products and services to meet the expectations of our customers, by providing components and services that comply with the national regulatory standards and requirements.

The experience of implementing ISO 9001 in a small university workshop

The University Industrial Centre of The University of Hong Kong passed its ISO 9001 certification audit in November 1997. This is believed to be the first department of a university in Hong Kong which has acquired the ISO 9001 certified status. Discusses the reasons for the Centre to implement ISO 9001, the process and the benefits of certification. The experience of the Centre is discussed and analyzed with reference to the experiences of other certified companies in Hong Kong and other countries. Also discusses approaches for further improvement.

Certification of sustainable forest management systems: The importance of field verification

Certification requires an independent third party verification, commonly called an audit, to ensure that all components of a certification standard have been met. Field visits are an essential element to the Certification audit; however, the degree of field verification during the audit may vary depending on the objectives of the Sustainable Forest Management System. A key issue will be determining the proper balance between systems evaluation and field verification. Field audits establish credibility with the forest manager, the public and customers in addition to providing opportunities for training and public participation.

Quality Assurance for Alcoholism Treatment

Mechanisms that seek assurance of quality care at reasonable cost include utilization review, accreditation, certification, licensure, and patient care audit. Within the social rehabilitative field, it is probably safe to say that only alcoholism has developed and implemented what might be considered the majority of the significant elements of a quality assurance program.