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The role of the auditors
14.3.4 The tasks to be undertaken by each audit team member will be assigned by the audit team
leader. These tasks may include conducting interviews with staff of the unit or section being audited,
reviewing documentation, observing operations and writing material for the audit report.
14.4 PLANNING AND PREPARATION
14.4.1 A formal notification of intention to perform the audit should be forwarded to the unit or section
to be audited in adequate time for any necessary preparations to be made. As part of the audit preparation
YES NO
Develop audit plan
Submit report
Carry out the audit
Determine corrective
actions
Determine follow-up
of actions
Corrective action
needed?
14-4 Safety Management Manual (SMM)
process, the audit authority may consult with senior management of the organization to be audited. The
organization may be requested to provide preparatory material in advance of the actual audit, for example,
selected records, a completed pre-audit questionnaire, and manuals. The organization being audited must
have a clear understanding of the purpose, scope, resource requirements, audit and follow-up processes,
etc. before the auditors arrive.
Pre-audit activity
14.4.2 Among the initial steps in planning an audit will be to verify the feasibility of the proposed
schedule and to identify the information that will be needed before commencement of the audit. It will also
be necessary to specify the criteria against which the audit will be conducted and to develop a detailed audit
plan together with checklists to be used during the audit.
14.4.3 The checklists consist of a comprehensive series of questions grouped under topic headings,
which are used to ensure that all relevant topics are covered. For the purposes of a safety audit, the
checklists should address the following areas in an organization:
a) national safety regulatory requirements;
b) organizational safety policies and standards;
c) structure of safety accountabilities;
d) documentation, such as:
— safety management manual; and
— operational documentation (including its local instructions);
e) safety culture (reactive or proactive);
f) hazard identification and risk management processes;
g) safety oversight capabilities (monitoring, inspections, audits, etc.); and
h) provisions for assuring safety performance of contractors.
The audit plan
14.4.4 An outline of a typical audit plan is shown in Table 14-1.
14.5 CONDUCT OF THE AUDIT
14.5.1 The conduct of the actual audit is essentially a process of inspection or fact-finding. Information
from almost any source may be reviewed as part of the audit.
Chapter 14. Safety Auditing 14-5
Table 14-1. Example of a typical structure for an audit plan
AUDIT PLAN
INTRODUCTION
[This section should introduce the audit plan and the background for the audit.]
PURPOSE
[The purpose, objectives, scope and the criteria against which the audit will be conducted
should be specified.]
UNIT/SECTION TO BE AUDITED
[This section should clearly specify which area is to be audited.]
PLANNED ACTIVITIES
[This section should identify and describe the activities to be performed, the areas of
interest, and how the different subjects will be addressed. It should also specify the
documents that should be available for the audit team. If the audit is to involve interviews,
the areas to be addressed during the interviews should be listed.]
SCHEDULE
[This section should include a detailed schedule for each of the activities planned.]
AUDIT TEAM
[This section should introduce the audit team members.]
14.5.2 In conducting a safety audit, there is often a tendency to limit observations to items of
regulatory non-compliance. Auditors must realize that such inspections have limited value for the following
reasons:
a) The organization may rely exclusively upon the audit authority to ensure that it is meeting the
standards.
b) The standards may only be met while the auditor is undertaking the inspection.
c) An audit report will only highlight those areas of deficiency found at the time of the inspection.
d) The audit will not encourage the organization to be proactive, and often, only issues raised by the
auditor will be verified.
14-6 Safety Management Manual (SMM)
Opening meeting
14.5.3 At the opening meeting, the audit team leader should briefly present the background for the
audit, its purpose, and any specific issues that will be addressed by the audit team. The practical
arrangements, including the availability of staff for interview, should be discussed and agreed upon with the
manager of the unit or section being audited.
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