System Audit
System audit is a systematic and independent examination of an organization’s established management system (such as quality, environment, safety, etc.). Its core objective is to verify whether the system meets established standards, is effectively implemented, and can be continuously improved.
Ensure the effectiveness of the system: Avoid the management system being merely “paper talk” and ensure that the requirements of the documents are truly implemented, rather than just remaining on paper.
Drive continuous improvement: By identifying weaknesses, we can force the organization to optimize processes, improve systems, and enhance the standardization of management.
Meeting external requirements: Passing third-party audits and certifications can gain market recognition and customer trust, while avoiding cooperation risks caused by non-compliance of the system.
Reduce operating costs: Minimize waste, rework, or accident losses caused by chaotic processes and non-standard operations, thereby improving overall operational efficiency.
Core Elements
Audit Target
Focus on the organization’s formally established management system, including system documents (manuals, procedure documents, work instructions), actual operation process, relevant records (such as quality inspection reports, training records), and personnel implementation status.
Review basis
This mainly includes international/national standards (such as ISO 9001 quality management system, ISO 14001 environmental management system), the organization’s own system documents, customer requirements, or industry-specific specifications.
Reviewing entity
Audits are divided into internal audits (conducted by trained personnel within the organization for daily monitoring and improvement) and external audits (conducted by third-party certification bodies or professional teams commissioned by clients for certification or supplier evaluation).
Common System Audit Types
Quality Management System Audit (QMS)
Focusing on product/service quality, verify whether the process can consistently output results that meet requirements, such as the effectiveness of quality control in the production process and customer complaint handling mechanisms.
Environmental Management System Audit (EMS)
Verify whether the organization’s environmental management activities, such as pollution prevention, resource conservation, and achievement of environmental goals, comply with environmental regulations and system requirements.
Occupational Health and Safety Management System Audit (OHSMS)
Pay attention to the safety of employees’ working environment and verify whether safety systems, risk control measures, and emergency response mechanisms can effectively prevent safety accidents.
Information Security Management System Audit (ISMS)
Regarding data security and information confidentiality, verify whether the protection measures, access controls, and risk prevention of information assets comply with standards such as ISO 27001.
Standard Implementation Process
Planning Stage
Define the scope of the audit (e.g., a specific department or system module) and its purpose (e.g., pre-certification self-inspection or annual surveillance), form an audit team, develop an audit plan and checklist, and collect relevant system documents and standards.
Implementation Phase
Evidence of system operation is collected through document review (verifying the completeness and compliance of system documents) and on-site audits (observing actual operations, interviewing employees, and verifying records).
Reporting Phase
Analyze the evidence for compliance with standards/documents, identify “nonconformities” (steps that do not meet requirements) and “observations” (potential areas for improvement), write an audit report, and clarify the priority of issues and rectification requirements.
Improvement and Tracking Phase
The responsible department develops corrective actions (to address current problems) and preventative measures (to prevent recurrence), and the audit team tracks and verifies the effectiveness of the rectification to ensure that the system forms a closed loop of “operation-inspection-improvement”.
SUSTECH
SUSTECH is an innovative technology service company with artificial intelligence, big data, and blockchain at its core. We specialize in ESG (Environmental, Social, and Governance) testing, certification, and compliance management, helping companies achieve their sustainable development goals. Through digital and intelligent means, we are redefining the testing and certification industry, making ESG compliance more transparent, efficient, and credible.
Core Advantage: Technology-enabled ESG Compliance
Intelligent ESG Data Acquisition and Analysis
- IoT Environmental Monitoring: Real-time collection of data on enterprise carbon emissions, wastewater discharge, energy consumption, etc., and automatic generation of ESG reports.
- AI carbon footprint calculation: Based on supply chain data, it accurately calculates the carbon footprint of a product throughout its entire lifecycle, in accordance with international standards such as ISO 14064 and GHG Protocol.
ESG Certification and Rating Optimization
- Automated compliance checks: AI compares data against global ESG standards (such as GRI, SASB, TCFD) to identify ESG risks for enterprises and provide improvement suggestions.
- ESG Rating Enhancement Solution: Combining industry best practices, we develop actionable ESG optimization strategies to help companies improve their ESG ratings from MSCI, S&P, and other ranking bodies.
Blockchain-based Evidence Storage and Transparent Traceability
- Tamper-proof ESG reports: All test data is stored on the blockchain to ensure traceability and auditability, enhancing the trust of investors and regulators.
- Supply chain ESG penetration management: Tracking supplier ESG performance to ensure compliance with the requirements of major international manufacturers.
