The influence of interpretation of iso 19011: 2018 guidelines on performing third-party quality audits to promote uniformity and consistency in the audit process
- Authors: Sepeng, Thembekile Debora
- Date: 2024-04
- Subjects: ISO 9000 Series Standards -- Auditing , Quality control -- Auditing , Process control
- Language: English
- Type: Doctoral theses , text
- Identifier: http://hdl.handle.net/10948/64797 , vital:73915
- Description: Third-party quality audits (TPQA) facilitate performance improvement and reliability that give confidence to organisations concerning the process quality of services and products. In South Africa, ISO 9001: 2015 standard certification gained popularity as a requirement in the business tender criteria. While TPQA are crucial for evaluating conformance to industry standards, reportedly numerous organisations share disappointments as their expectations seem no longer realised. Certification faces criticism about its effectiveness in delivering TPQA that add value. Research has shown in some cases that despite the revisions of the ISO 19011: 2011 standard and limited studies conducted TPQA are regarded as added cost activities, and their initial purpose as an impartial tool to ensure quality of deliverables is no longer upheld. Increasingly, because of inconsistencies and unethical practices often observed in the industry, organisations question the significance of TPQA. Hence, the need was identified to determine and explain the influence of the ISO 19011: 2018 standard interpretation on the application of the audit guidelines in performing TPQA, to promote consistency in the audit process. A sequential exploratory mixed-method study was conducted employing a document analysis of the ISO 19011: 2018 standard, semi-structured interviews with the certification managers (CBs) and third-party quality auditors; and a survey questionnaire which was sent to quality practitioners and experts. The findings of the qualitative phases of the study were verified during the quantitative phase. The outcome of each phase of the study informed the development of the data collection instrument in the next phase. Two frameworks were designed: A conceptual framework after the document analysis and an empirical framework based on the interview data. The qualitative findings and quantitative results were integrated before conclusions were drawn and recommendations made. Achieving effective audits requires that an audit programme be established, implemented, monitored, reviewed and improved within the confines of the principles of auditing. The study found that the value of the audit process is limited by the different interpretations of the audit guidelines held by CBs and auditors. Adherence to the principles of auditing particularly, integrity and independence were found as the core of the audit process while their disregard reflected failure of the real intent of auditing. In managing the audit programme the study revealed that the inconsistencies in the audit procedures and documents developed for the auditors were ascribed to some CBs’ personal interpretations. Potential pitfalls are exacerbated by most auditors being contracted across the different bodies, and work according to the different CBs’ processes. The different interpretations of the standard suggest that certain guidelines might be vaguely written, resulting in uncertainties concerning reproducibility of the audit process. Competence featured most so that lack of it was perceived as the main hindrance to the audit process. The study recommends formal consultations among experts and practitioners to reflect on the interpretation of the guidelines to manage the audit programmes, and eliminate root causes and practices affecting the audit process. Also recommended is integration of the study findings into auditor training courses to support standardisation and reduce the variations across and amongst the different CBs and auditors. , Thesis (PhD) -- Faculty of Engineering, the Built Environment, and Technology, School of Engineering, 2024
- Full Text:
- Date Issued: 2024-04
- Authors: Sepeng, Thembekile Debora
- Date: 2024-04
- Subjects: ISO 9000 Series Standards -- Auditing , Quality control -- Auditing , Process control
- Language: English
- Type: Doctoral theses , text
- Identifier: http://hdl.handle.net/10948/64797 , vital:73915
- Description: Third-party quality audits (TPQA) facilitate performance improvement and reliability that give confidence to organisations concerning the process quality of services and products. In South Africa, ISO 9001: 2015 standard certification gained popularity as a requirement in the business tender criteria. While TPQA are crucial for evaluating conformance to industry standards, reportedly numerous organisations share disappointments as their expectations seem no longer realised. Certification faces criticism about its effectiveness in delivering TPQA that add value. Research has shown in some cases that despite the revisions of the ISO 19011: 2011 standard and limited studies conducted TPQA are regarded as added cost activities, and their initial purpose as an impartial tool to ensure quality of deliverables is no longer upheld. Increasingly, because of inconsistencies and unethical practices often observed in the industry, organisations question the significance of TPQA. Hence, the need was identified to determine and explain the influence of the ISO 19011: 2018 standard interpretation on the application of the audit guidelines in performing TPQA, to promote consistency in the audit process. A sequential exploratory mixed-method study was conducted employing a document analysis of the ISO 19011: 2018 standard, semi-structured interviews with the certification managers (CBs) and third-party quality auditors; and a survey questionnaire which was sent to quality practitioners and experts. The findings of the qualitative phases of the study were verified during the quantitative phase. The outcome of each phase of the study informed the development of the data collection instrument in the next phase. Two frameworks were designed: A conceptual framework after the document analysis and an empirical framework based on the interview data. The qualitative findings and quantitative results were integrated before conclusions were drawn and recommendations made. Achieving effective audits requires that an audit programme be established, implemented, monitored, reviewed and improved within the confines of the principles of auditing. The study found that the value of the audit process is limited by the different interpretations of the audit guidelines held by CBs and auditors. Adherence to the principles of auditing particularly, integrity and independence were found as the core of the audit process while their disregard reflected failure of the real intent of auditing. In managing the audit programme the study revealed that the inconsistencies in the audit procedures and documents developed for the auditors were ascribed to some CBs’ personal interpretations. Potential pitfalls are exacerbated by most auditors being contracted across the different bodies, and work according to the different CBs’ processes. The different interpretations of the standard suggest that certain guidelines might be vaguely written, resulting in uncertainties concerning reproducibility of the audit process. Competence featured most so that lack of it was perceived as the main hindrance to the audit process. The study recommends formal consultations among experts and practitioners to reflect on the interpretation of the guidelines to manage the audit programmes, and eliminate root causes and practices affecting the audit process. Also recommended is integration of the study findings into auditor training courses to support standardisation and reduce the variations across and amongst the different CBs and auditors. , Thesis (PhD) -- Faculty of Engineering, the Built Environment, and Technology, School of Engineering, 2024
- Full Text:
- Date Issued: 2024-04
Enablers for lean process sustainability within South African manufacturing industries
- Authors: Roth, Benlloyd Koekemoer
- Date: 2015
- Subjects: Lean manufacturing , Manufacturing processes , Process control
- Language: English
- Type: Thesis , Masters , MBA
- Identifier: http://hdl.handle.net/10948/6591 , vital:21122
- Description: James Womack and his colleagues Daniel Jones and Daniel Roos changed the way western civilization approached manufacturing. In 1990, they published a book called ‘The Machine That Changed the World: The Story of Lean Production’. It was a concept that had slowly filtered from the east but had not made its mark on the manufacturing sector. The concept of lean, born out of the Japanese Toyota Manufacturing System, was first thought to be impossible to duplicate outside of Japan. Since Womack and company popularised this “new” way of producing goods and delivering services it spread across industries finding popularity in the medical, engineering, accounting and especially the manufacturing industries. Over the last few decades lean practices has been synonymous with efficiency, cost reduction, supply chain optimisation and innovative problem solving (Anvari Norzima, Rosnah, Hojjati and Ismail, 2010; Pieterse et al., 2010; Womack et al., 1990). Lean process implementation has been researched in abundance, as has failed attempts at lean implementation. The purpose of this study was to identify and assess enablers of lean sustainability in organisations where lean processes are already being implemented. The literature study found Organisational Culture, Leadership, Employee Engagement and Trade Unions participation as factors that contributed to successful lean implementations. The author developed a model to test Organisational Culture, Leadership, Employee Engagement and Trade Unions as enablers to sustain lean practices in organisations in South Africa’s manufacturing industries. The results proved that Organisational Culture, Leadership and Employee Engagement were considered enablers for lean sustainability. These three enablers have an interlinked relationship and together help sustainability. Lacking just one factor would surely result in unsustainable lean practices. The study was conducted in the quantitative paradigm, as the hypothesised relationship was statistically tested. The data was collected from a homogenous group via an email sent with a link to the questionnaire. The data was statistically analysed with Statistica software and Microsoft Excel.
- Full Text:
- Date Issued: 2015
- Authors: Roth, Benlloyd Koekemoer
- Date: 2015
- Subjects: Lean manufacturing , Manufacturing processes , Process control
- Language: English
- Type: Thesis , Masters , MBA
- Identifier: http://hdl.handle.net/10948/6591 , vital:21122
- Description: James Womack and his colleagues Daniel Jones and Daniel Roos changed the way western civilization approached manufacturing. In 1990, they published a book called ‘The Machine That Changed the World: The Story of Lean Production’. It was a concept that had slowly filtered from the east but had not made its mark on the manufacturing sector. The concept of lean, born out of the Japanese Toyota Manufacturing System, was first thought to be impossible to duplicate outside of Japan. Since Womack and company popularised this “new” way of producing goods and delivering services it spread across industries finding popularity in the medical, engineering, accounting and especially the manufacturing industries. Over the last few decades lean practices has been synonymous with efficiency, cost reduction, supply chain optimisation and innovative problem solving (Anvari Norzima, Rosnah, Hojjati and Ismail, 2010; Pieterse et al., 2010; Womack et al., 1990). Lean process implementation has been researched in abundance, as has failed attempts at lean implementation. The purpose of this study was to identify and assess enablers of lean sustainability in organisations where lean processes are already being implemented. The literature study found Organisational Culture, Leadership, Employee Engagement and Trade Unions participation as factors that contributed to successful lean implementations. The author developed a model to test Organisational Culture, Leadership, Employee Engagement and Trade Unions as enablers to sustain lean practices in organisations in South Africa’s manufacturing industries. The results proved that Organisational Culture, Leadership and Employee Engagement were considered enablers for lean sustainability. These three enablers have an interlinked relationship and together help sustainability. Lacking just one factor would surely result in unsustainable lean practices. The study was conducted in the quantitative paradigm, as the hypothesised relationship was statistically tested. The data was collected from a homogenous group via an email sent with a link to the questionnaire. The data was statistically analysed with Statistica software and Microsoft Excel.
- Full Text:
- Date Issued: 2015
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