NP16 - Audit Findings

Purpose

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

Description

Audit evidence should be evaluated against the audit criteria in order to determine audit findings. Audit findings should indicate conformity or nonconformity with audit criteria.

When specified by the Aquatic Safety Audit Plan, individual audit findings should include conformity and good practices along with their supporting evidence, opportunities for improvement, and any recommendations to the owner or manager of the aquatic facility.

Nonconformities and their supporting audit evidence should be recorded.

Nonconformities may be graded on a scale however a clear description of each of the scale points is required within the Aquatic Safety Audit Plan and discussed in the opening meeting.

They should be reviewed with the owner or manager of the aquatic facility in order to obtain acknowledgement that the audit evidence is accurate, and that the nonconformities are understood.

Every attempt should be made to resolve any diverging opinions concerning the audit evidence or findings, and unresolved points should be recorded.

The audit team should meet as needed to review the audit findings at appropriate stages during the audit.

Audit Conclusions

The audit team should confer prior to the closing meeting in order to:

1. review the audit findings, and any other appropriate information collected during the audit, against the
2. audit objectives;
3. agree on the audit conclusions, taking into account the uncertainty inherent in the audit process;
4. prepare recommendations, if specified by the Aquatic Safety Audit Plan;
5. discuss audit follow-up, as applicable.

Audit conclusions should address the following issues:

1. the extent of conformity with the audit criteria and robustness of the management system, including the effectiveness of the management system in meeting the stated objectives;
2. the effective implementation, maintenance and improvement of the management system;
3. the capability of the management review process to ensure the continuing suitability, adequacy,
4. effectiveness and improvement of the management system;
5. achievement of audit objectives, coverage of audit scope, and fulfilment of audit criteria;
6. root causes of findings, if included in the Aquatic Safety Audit Plan;
7. similar findings made in different areas that were audited for the purpose of identifying trends.

If specified by the Aquatic Safety Audit Plan, audit conclusions can lead to recommendations for improvement, or future auditing activities.

Reference

• AS/NZS ISO 19011:2014 Guidelines for Auditing Management Systems
• Guidelines for Aquatic Safety