Conducting the Audit: Methodology & Techniques
Audit tools and techniques (checklists, interviews, inspections, document review)
Audit methodology leverages tools such as structured checklists aligned to standards, interviews with employees, inspections of equipment and work areas, and review of documents and records.
Evidence gathering, observation and sampling methods
Auditors gather evidence by sampling records and operations, conducting observations of actual practice, interviewing workers and supervisors, and verifying that documented procedures match actual behaviour.
Auditor conduct, interaction with personnel, and ethical considerations
The audit team must behave with professionalism, impartiality and transparency, interacting respectfully with personnel, avoiding criticism of individuals, maintaining confidentiality, and ensuring findings are fact-based and objective.
Audit Findings, Reporting & Follow-Up
Structure of the audit report (observations, non-conformities, opportunities for improvement)
The audit report should clearly present observations (areas of strength and weakness), non-conformities (failure to meet requirements) and opportunities for improvement, along with evidence and references.
Prioritising corrective and preventive actions
Following the report, the organisation should prioritise actions based on risk, severity and resources, define corrective (addressing current issues) and preventive (avoiding future recurrence) measures.
Tracking implementation and verifying closure of audit findings
Monitoring implementation of actions, verifying their effectiveness, documenting closure of findings and feeding into the continual improvement cycle ensures that the audit delivers lasting value rather than remaining a report on a shelf.
Benefits, Challenges and Best Practices
Key benefits of external safety audits (objectivity, compliance assurance, credibility)
External audits bring objectivity and independence, enhancing credibility with regulators, clients and stakeholders; they help assure compliance, highlight hidden risks, and support continuous improvement of safety culture.
Common challenges and pitfalls in external audits
Challenges include insufficient preparation, lack of documentation, low personnel engagement, treating the audit as a “tick-box” exercise rather than learning opportunity, and failing to follow up effectively on findings.
Best practices for maximising value from an external safety audit
Best practices include being transparent with auditors, embracing their findings as improvement opportunities, integrating them into the safety management process, scheduling regular audits, and ensuring management follow-through.
Integrating External Audits into Overall Safety Management
Linking audit outcomes to continuous improvement and risk management
Audit results should feed into the organisation’s risk management processes and continual improvement loop: findings inform risk registers, corrective/preventive plans, safety objectives and management review.
Aligning external audits with certification standards (e.g., ISO 45001)
To leverage audits fully, organisations should align external safety audits with certification frameworks such as ISO 45001 to ensure that audits support certifications and systematic safety management.
Scheduling audit cycles and coordinating with internal audit programmes
A coordinated approach ensures the internal and external audits complement each other, avoid duplication, and that audit cycles are scheduled ahead of time (e.g., annual or multi-year). Integrated programmes reduce burden and enhance coherence.
Case Considerations & Industry Examples
Sector-specific features of external safety audits (e.g., oil & gas, manufacturing)
In industries such as oil & gas, external safety audits focus heavily on process safety management, fire/explosion hazards, emergency response and specific regulatory rules.
Surprise audits and pre-commissioning audits
Some sectors employ surprise external safety audits or pre-commissioning audits (before a facility goes into operation) to test readiness and compliance under real conditions, rather than merely reviewing documentation.
Real-world example: how organisations responded to external safety audits
Organizations that treat external audits as learning opportunities, integrate findings into their safety management, and demonstrate visible management commitment tend to achieve better safety performance and internal buy-in, rather than merely ticking compliance boxes.
