About Auditing for maximum impact – an introduction

Instructor: Julia Cotton

Biosafety professionals must be able to carry out biosafety and biosecurity audits and inspections, identify failures, non-conformities, corrective actions and areas for improvement and monitor progress.

Introduction
This course explains the differences between an audit and an inspection, the need for auditor competency, what to include in the scope, how to prepare and conduct the audit; who should receive the report; who should monitor progress and close out actions, and the influence of communication on the entire process with all relevant stakeholders

1. Scoping:
a. Discussion on the standards that auditors should meet
b. Determining the audit purpose, focus and preparing for it
c. The scoping meeting with the accountable person
d. What standards are being audited and inspected against?
e. What are the benefits of notifying people in advance of the things the auditor will be scrutinising?
f. Discussion on what are interfaces and why they are important in health and safety
g. What information does the auditor need before the audit?
BREAK
2. Conducting the audit:
a. Discussion on getting the most information out of short interviews: The power of the pause. What are your own strengths and weaknesses? How might these impact on your ability to get the best out of interviews?
b. Should internal audits and inspections also spread and communicate best practice as well as look for flaws and gaps? How would one do this during the audit process given the need to be confidential and to maintain trust?
c. Discussion on the membership of the inspection/observation team and the inspection process
d. What should an auditor do if they find something imminently dangerous or potentially hazardous?
e. Remote inspections and interviews – cameras and Zoom
BREAK
3. Reporting and monitoring
a. Discussion on how internal auditors and inspector, can get compliance and buy-in if they have no authority.
b. Who should receive the inspection and audit reports – and who will ensure they are implemented?
c. Who owns the audit actions, and how will you monitor progress on your recommendations?

Conclusion
In order for audits and inspections to be useful and well-regarded, one also needs to identify and engage with all relevant stakeholders.
Being prepared, competent and confident are important aspects of audits and inspections, but the written, verbal and non-verbal mechanisms for communicating during and after an audit are the key to success.

This course covers all of this and more.

Bullets

• What an audit is and is not
• how to prepare & setting scope and purpose
• what matters:
  • engagement, clarity, etc
  • reports & action

Learning outcomes

• Can describe the differences between an audit and an inspection
• Can prepare for an audit
• Understand how an auditor’s approach at the first interview can make the audit
• Understands the importance of written, verbal and non-verbal communication, observing and active listening.
• Can report negative audit findings using the sandwich technique.
• Understand different report styles and action plans, the power of the executive summary; and the importance of monitoring progress and closing out actions

CWA 15793:2011 Reference

B12 & C.2.1.2.15 The biosafety professional shall be able to carry out biosafety and biosecurity audits and inspections, identify failures, non-conformities, corrective actions and areas for improvement and monitor progress.