NP15 - Collecting and Verifying Information

Purpose

To determine the conformity of the system as far as documented and to gather information to support audit activities.

Description

During an Aquatic Safety Audit, information relevant to the audit objectives, scope and criteria including evidence between procedures, activities and responsibilities should be collected by means of sampling and verified.

Only information that can be verified should be accepted as evidence.
All evidence leading to Audit findings should be recorded within the appropriate checklists and supporting information.

Methods for collecting and verifying information should include but is not limited to the following:

1. Document Reviews
2. Interviews
3. Observations

Document Reviews

Document reviews should be conducted to determine the conformity of the system as far as documented and to gather information to support audit activities

When conducting a Document Review for an Aquatic Safety Audit, the Lead Auditor and/or Audit team members should consider the information in the documents provided is:

1. Complete (all expected content is contained in the document)
2. Accurate with the Guidelines for Aquatic Safety and any legislative or regulatory requirements
3. Consistent in itself and with related documents
4. Current and up to date
5. Covers the scope of the Audit and provides sufficient information to support the audit objectives

The document review should also:

1. Promote the use of information management systems to ensure efficiency
2. Ensure privacy and security information is protected

Interviews

Interviews are one of the important means of collecting information and should be carried out in a manner adapted to the situation and the person interviewed, either face to face or via other means of communication.

1. interviews should be held with persons from appropriate levels and functions performing activities or tasks within the audit scope;
2. interviews should normally be conducted during normal working hours and, where practical, at the normal workplace of the person being interviewed;
3. attempt to put the person being interviewed at ease prior to and during the interview;
4. the reason for the interview and any note taking should be explained;
5. interviews may be initiated by asking the persons to describe their work;
6. careful selection of the type of question used (e.g. open, closed, leading questions);
7. the results from the interview should be summarized and reviewed with the interviewed person;
8. the interviewed persons should be thanked for their participation and cooperation.

Observations

Direct Observation assessment is exactly as the name suggested – the Lead Auditor and/or audit team members observe individuals or tasks being performed to see if they have the ability to perform it properly. Practical skills particularly those of a Lifeguard should be done in accordance with the relevant training performance criteria

An oral assessment may be used as a follow-up assessment to supplement any questions. Sometimes, there is no effective alternative to direct observation.

The structure of an observation assessment greatly depends on the discipline in which the assessment takes place; it also depends on whether the assessor is observing the entire work or only part of the work. In general, the assessor will observe for 5 -10 minutes, make a field note to help with the feedback and grading. This may be followed by an interview/oral assessment.

Reference

• AS/NZS ISO 19011:2014 Guidelines for Auditing Management Systems
• Guidelines for Safe Pool Operations

Template

• Observation Checklists
• Pool Safety Audit Closing Meeting Agenda