In our previous issue of Insight, we published Part 2 of our series How Ready Are You for Your Next Management System Audit?  Part 2 reinforced the need to review and update Management System documentation to ensure it contains the information required by the respective Management System Standard, to ensure policies and procedures reflect current organisational practices, and to ensure that workers are able to access these easily and quickly. We also talked about keeping things simple so that key information is more likely to be found and implemented by those who need it.

This article is the third and final in the series designed to provide some useful background information to assist your organisation for how to best prepare when audit time rolls around.

As stated in Part 1 of this series, one of the key activities of the Auditor will be to conduct interviews and discussions with workers and management. In preparing for the Audit, the organisation should identify ahead of time the operational areas and roles within the Audit scope and the individual Managers and workers who will be participating. Book time in each Manager’s calendar/diary to ensure availability at Audit time. During these interviews, Managers must be able to clearly articulate:

  • Their role, their areas of accountability and their key objectives
  • The main risks associated with their areas of accountability and how these are being managed (i.e. the main control measures in place to prevent or minimise the risk)
  • Knowledge and understanding of organisational processes related to their accountability
  • Current Safety, Quality and Environmental performance and how this is being monitored, including knowledge of any incidents that have occurred
  • How obstacles to achieving the key objectives are being addressed

For discussions with workers, let workers know the Audit date and scope, and the preparation is essentially the same:

  • Ensure workers know their role and what they are responsible for
  • Workers should also be able to talk to the main risks associated with their work activities and the main control measures in place to prevent or minimise the risk
  • Ensure they are familiar with the organisation’s Management System and where to go to find required information pertaining to their role
  • Employees should have a clear idea of the organisation’s objectives, and how their role contributes to them
  • Each employee should have appropriate and current training for the work activities they perform
  • Most importantly, workers can validate in discussions with the Auditor that the current procedures and processes are correctly followed

In preparing workers to answer an Auditor’s expected questions, the preparation should include a reminder that this is not a test – Auditors are not looking for an exact answer. Rather, they want to know how employees go about finding required information and answers. Do procedures provide the information needed? If not, where does the employee go next? Do they ask a supervisor? In exploring the workers’ knowledge, Auditors will use a lot of “open” questions and statements such as “Tell me how this works” or “How do you go about this?”. Workers should be helpful but with a focus on answering the question that was asked.

Lastly, the workplace itself must be prepared for Audit Day. Your worksite, office, or facility should be clean and tidy with all the basic safety requirements in place (test & tag up-to-date, emergency exits free from obstructions, bins not overflowing with rubbish, noticeboards updated with only current information etc.). You don’t want to give the Auditor any reason to think you are anything other than a well-organised organisation.

In summary for Part 3, it is essential that your Managers and workers are prepared to participate in interviews and discussions with the Auditor. They should know their role, how they interact with your organisation’s Management System, and know their main risks and controls for their work activities.

Hopefully, this series of articles has provided some useful information and tips to prepare your organisation for its next Audit. Please contact QRMC for more information.