[Audit Procurement Feiyang] How to Establish Good Communication with Leadership During the Audit Process

　　During the audit process, communication with some auditors revealed that certain auditors focus on auditing professional clauses while neglecting the general clauses, believing that the general clauses are basically the same and lack novelty. I dare not agree with this view and would like to share my personal experience with everyone.

　　In October 2022, our audit team of five people went to audit a chemical company in Weifang. The person responsible for receiving us was Manager Wang, the acting director. I requested a face-to-face meeting with the general manager. Manager Wang said the general manager was busy with business and might not have time to participate in the audit. I asked if it was possible to communicate with the general manager to spare half an hour for a brief chat. With my insistence, the general manager finally agreed to a half-hour meeting.

　　I prepared an outline for communication with the general manager in advance:

　　1. What is the scope of the management system certification the company is applying for? What is the content of the QES policy?

　　2. When, why, and what conclusions were drawn from the management review?

　　3. What are the internal and external environments the company faces in hazardous chemical production activities? (Internal factors include: products, personnel, technology, funds; external factors include: industry policies, environmental protection, occupational health and safety requirements)

　　4. What risks and opportunities have been identified, and what countermeasures have been taken?

　　5. Where does the leadership think the direction for improvement of the company's QES management system lies?

　　Based on this outline, during the communication, I found that the general manager was very familiar with relevant national laws, regulations, and industrial policies, had a thorough understanding of the company's internal and external operating environment, and provided a relatively comprehensive explanation of the risks and opportunities faced...

　　Finally, the general manager said that although the company currently has five full-time personnel in the Safety and Environmental Protection Department dedicated to safety and environmental management, the basic work is busy responding to inspections and rectifications from the Emergency Management Bureau and the Ecological Environment Bureau, lacking autonomous management and innovation; additionally, the company's equipment is relatively old, and if maintenance is not timely, it may cause major safety accidents.

　　I told the general manager that the QES system established by United Zhiyie Certification Company guides the organization to build a systematic management system, continuously discovering existing hazards and deficiencies, making ongoing improvements, and ultimately achieving continuous improvement and enhancement of management. The key lies in United Zhiyie Certification Company's deeper understanding of management systems, which can systematically apply management system risk analysis and process control methods to ensure the organization improves the management system's performance on a legal and compliant basis.

　　After the communication, the general manager was very satisfied and shook my hand, saying that originally they thought enterprise certification was just about obtaining a certificate, but unexpectedly, the auditors could pass on valuable knowledge and bring the most needed scientific management experience to them...

　　Through this leadership communication, I realized that both general clauses and professional clauses need to be taken seriously. On-site audits must be rooted in the operation process of the organization's main business, continuously discovering and solving problems, helping improve enterprise management, bringing value-added services to clients, and at the same time realizing the auditors' own value.