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Audit procedures
14.5.4 The techniques for gathering the information on which the audit team’s assessment will be
made include:
a) review of documentation;
b) interviews with staff; and
c) observations by the audit team.
14.5.5 The audit team should work systematically through the items on the relevant checklist.
Observations should be noted on standardized observation sheets.
14.5.6 If a particular area of concern is identified during the audit, this should be the subject of a more
thorough investigation. However, the auditor must keep in mind the need to complete the rest of the audit as
planned and therefore must avoid spending an excessive amount of time exploring a single issue and so risk
missing other problems.
Audit interviews3
14.5.7 The principal way in which auditors obtain information is by asking questions. This method
provides additional information to that available in written material. It also gives the staff involved an
opportunity to explain the system and work practices. Face-to-face discussions also permit the auditors to
make an assessment of the level of understanding as well as the degree of commitment of the staff of the
unit or section to safety management. The persons to be interviewed should be drawn from a range of
management, supervisory and operational positions. The purpose of audit interviews is to elicit information,
not to enter into discussions.
Audit observations
14.5.8 Once the audit activities are completed, the audit team should review all audit observations and
compare them against the relevant regulations and procedures in order to confirm the correctness of
observations noted as nonconformities, deficiencies or safety shortcomings.
14.5.9 An assessment should be made of the seriousness with respect to all items noted as
nonconformities, deficiencies or safety shortcomings.
14.5.10 It should be borne in mind that the audit should not focus only on negative findings. An
important objective of the safety audit is also to highlight good practice within the area being audited.
3. For further guidance on interviewing techniques, see Chapter 8.
Chapter 14. Safety Auditing 14-7
Closing meeting
14.5.11 Management may require regular progress reports throughout the audit. Nevertheless, a
closing meeting should be held with the management of the unit or section at the conclusion of the audit
activities to brief them on the audit observations and any resulting recommendations. Factual accuracy can
be confirmed and significant findings highlighted.
14.5.12 Prior to this meeting, the audit team should:
a) agree on the audit conclusions;
b) prepare recommendations, such as proposing appropriate corrective action, if required; and
c) discuss whether there is a need for follow-up action.
14.5.13 The audit findings may fall into three categories:
a) serious discrepancies of non-compliance warranting action to suspend a licence, certificate or
approval;
b) any discrepancy or non-compliance that must be rectified within an agreed time limit; and
c) observations on issues that are likely to impact on safety or become a regulatory issue before the
next audit.
14.5.14 At the closing meeting, the audit team leader should present the observations made during the
audit and give the representatives of the unit or section being audited the opportunity to correct any
misunderstandings. Dates for issuing an interim audit report and for receiving comments on it should be
mutually agreed upon. A draft copy of the final report is often left with management.
Corrective action plan
14.5.15 At the completion of an audit, planned remedial actions should be documented for all identified
areas of safety concern. The management of the unit or section has the responsibility for developing a
corrective action plan setting out the action(s) to be taken to resolve identified deficiencies or safety
shortcomings within the agreed time period.
14.5.16 When completed, the corrective action plan should be forwarded to the audit team leader. The
final audit report will include this corrective action plan and detail any follow-up audit action proposed. The
manager of the area being audited is responsible for ensuring the timely implementation of the appropriate
corrective actions.
Audit reports
14.5.17 The audit report should be an objective presentation of the results of the safety audit. As soon
as possible after completion of the audit, an interim audit report should be forwarded to the manager of the
unit or section for review and comments. Any comments received should be taken into consideration in
the preparation of the final report, which constitutes the official report of the audit.
14-8 Safety Management Manual (SMM)
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Safety Management Manual (SMM) 安全管理手册(95)
