Audit system examples
Audit system examples
Here are two (safety) management audit system examples :
Safety audit system example
1, of a chemicals manufacturer
Safety audit system example 2, also of a
Please note that the element structure is not included
in the elements of these audit system examples. Including such structure could have an important influence on the
end results of an audit. The lack of this structure is quite common in management- as well as in the audit systems
to verify proper functioning of the management system. I consider that inclusion of the structure in each of the
elements of both audit and management system is necessary and desirable to reach success.
In 1993 I was involved in making the IPSRS - an ISRS version for the process industry
including issues relevant to the process industry. The IPSRS included the element structure while the ISRS did
not. Both audit systems included scoring opportunities resulting in a level award for
the entire management system ranging from 1 to 10 - 10 being the highest qualification. Both audit instruments were used parallel to each other when auditing a chemical plant in Spain. The ISRS
audit resulted in a level 8 rating while the rating with the IPSRS did not go beyond level 1. A precondition using
the IPSRS was that the improvement cycle, as represented by the structure, had to be there and had to be a closed
An extended version of example 2 is available under Management
Resources including a scoring method allowing rating of the safety management system and its
elements. Scoring allows putting a relative value on the element and allows management system rating.
Looking at the examples provided, please do not forget that I consider two issues to be
relevant when setting up a management system: Content and Structure.
Content refers to:
- a sufficient number of relevant activity areas or "elements" that make up the management system. These
elements are the building blocks necessary to reach the objective(s) of the management system.
- the specific activities that are within each element of the management system - the more detailed "what
shall be done, by whom and when" to reach the objective(s) of the element concerned
Structure refers to the structure of each of the
elements to stimulate implementation of specific element activities and to obtain the objective(s) of the element
or activity area.
Content and structure together refer to: WHAT shall be done, WHEN and by WHOM".
There is then another important issue which is very much related to the management system: the description of
HOW the specific activities are to be carried out. For practical purposes the HOW is normally contained in
documents, procedures work instructions etc. that I would like to see separate from the management system as such.
The advantage is that this will keep the management system manual - describing the management system and its
elements - limited in size. Also the procedures etc. may change more often than the management system as such.
But ... if you feel that the "how to" should be included in the manual, please do so.