Organizational Development: A Manual for Managers and ... - FPDL
Organizational Development: A Manual for Managers and ... - FPDL
Organizational Development: A Manual for Managers and ... - FPDL
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All descriptions must be agreed with the staff members who per<strong>for</strong>m the process in question or at<br />
least with the head of the subdivision. An approval here means not the approval of correctness of<br />
the process or its effectiveness but a simple approval that at the time of the audit the procedure is<br />
implemented in this particular way. The approval of the audit findings allows avoiding<br />
misunderst<strong>and</strong>ings, which may occur, because of the insufficient qualification of the auditor or<br />
different interpretation of the received in<strong>for</strong>mation.<br />
Sometimes the auditor may get the answer that no procedures are needed, because the process is<br />
defined in the legal documents. However, in most cases, legal documents only have very broad<br />
definitions of responsibilities, <strong>and</strong> set general requirements. The more specific regulations are<br />
usually not implemented, because the more specified is the normative act, the more often it should<br />
be changed to reflect the current situation, <strong>and</strong> there<strong>for</strong>e many detailed regulations are not<br />
changed when the environment has already changed, <strong>and</strong> there<strong>for</strong>e the actual procedure does not<br />
match with the regulation.<br />
So, if told that process is defined by the normative acts, the auditor should examine if the<br />
appropriate normative acts are implemented, <strong>and</strong> that the normative acts provide enough definition<br />
of the process including division of responsibility inside the organization, criteria <strong>for</strong> decisions <strong>and</strong><br />
does provide guidance in case of non-con<strong>for</strong>mance or cases when the general procedure could<br />
not be implemented.<br />
A management audit is not aimed to provide consultations on how to improve the procedures, but<br />
rather indicates the problem areas, which are influencing the efficiency of the administration.<br />
There<strong>for</strong>e, the auditor is discouraged to provide advice how to make the procedure work more<br />
efficiently or evaluate the procedure as “wrong” or “bad”.<br />
Staff recruitment, evaluation of qualification <strong>and</strong> training<br />
DEFINITION Competence – demonstrated ability to apply knowledge <strong>and</strong> skills. 8<br />
What needs to be audited<br />
The main question of interest <strong>for</strong> the auditor regarding auditing of the personnel related processes<br />
is “does the existing system assure that the work is per<strong>for</strong>med only by the personnel, who have<br />
adequate competence”. The following issues are related to this main question:<br />
• Are there requirements set <strong>for</strong> the competence of the personnel? In what <strong>for</strong>m? Are the<br />
requirements clear <strong>and</strong> unambiguous?<br />
• How is competence evaluated?<br />
• How are the personnel training needs identified?<br />
• How is training of personnel planned, organized, implemented <strong>and</strong> evaluated?<br />
• Is there a <strong>for</strong>mal staff recruitment procedure? Are there criteria <strong>for</strong> personnel recruitment<br />
established <strong>and</strong> maintained?<br />
Auditing procedure<br />
The in<strong>for</strong>mation about the personnel related processes are collected during the interviews with the<br />
heads of the departments (Form Nr.8). If there is a department or other subdivision responsible <strong>for</strong><br />
personnel related processes, a longer interview should be planned with the head of this<br />
department with an aim to describe the related processes.<br />
During the interview with the personnel separate set of questions related to the personnel related<br />
processes should be asked as indicated in the <strong>for</strong>m Nr.7.<br />
8 ISO 9000:2000 “Quality management systems – Fundamentals <strong>and</strong> vocabulary”.<br />
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