- Title
- The influence of interpretation of iso 19011: 2018 guidelines on performing third-party quality audits to promote uniformity and consistency in the audit process
- Creator
- Sepeng, Thembekile Debora
- Subject
- ISO 9000 Series Standards -- Auditing
- Subject
- Quality control -- Auditing
- Subject
- Process control
- Date Issued
- 2024-04
- Date
- 2024-04
- Type
- Doctoral theses
- Type
- text
- Identifier
- http://hdl.handle.net/10948/64797
- Identifier
- 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.
- Description
- Thesis (PhD) -- Faculty of Engineering, the Built Environment, and Technology, School of Engineering, 2024
- Format
- computer
- Format
- online resource
- Format
- application/pdf
- Format
- 1 online resource (xi, 364 pages)
- Format
- Publisher
- Nelson Mandela University
- Publisher
- Faculty of Engineering, the Built Environment, and Technology
- Language
- English
- Rights
- Nelson Mandela University
- Rights
- All Rights Reserved
- Rights
- Open Access
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| Thumbnail | File | Description | Size | Format | |||
|---|---|---|---|---|---|---|---|
| View Details Download | SOURCE1 | Sepeng, TD.pdf | 10 MB | Adobe Acrobat PDF | View Details Download |