Audit Responses to ASSI

Image depicting an Audit ChecklistIf you have been subject to audit by ASSI you’ll know that we have been using an electronic system over the last few years to manage our audit process and to track findings. The tracking function of our system allows Inspectors to keep on top of all findings efficiently. Equally, your methods of tracking your audit findings should ensure your audit actions and responses meet the finding closure date.

If the agreed closure date cannot be met, you need to contact ASSI in writing (email) before the closure date explaining the reason(s) the closure date cannot be met, proposing a revised date along with a reason for postponement and any associated risk mitigations to support the delay. The key is to get in touch with ASSI in good time BEFORE the closure date is reached.

Recently ASSI has provided an additional page on the ASSI website to describe the levels of findings you will see on an audit report and another page describing our regulatory oversight.

When responding to an audit finding ASSI generally wants to know, with evidence, the following:

1.  What did you do to fix the specific thing that was found by the finding? You’ll be surprised to how many times people just stop here, when there’s more to do.

2. What have you identified as the root cause (here the 5 ‘whys’ is a useful tool, or you may use other similar methods to determine this)?

3.  What did you do to find and fix other things that were not right because of that root cause?

4.  Lastly, and importantly, what did you do to prevent that root cause happening again?

Taking such actions and clearly describing what you did in a response will greatly increase the chances of the finding being closed and better still should prevent a repeat finding. Should ASSI, or your own internal audit system identify a repeat finding it is very likely that you have not identified, or adequately addressed the root cause.

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