During a SIZA audit, when a SIZA auditor makes a finding, the auditor must allocate a risk rating to each finding. The risk rating of the finding will be based on the root cause of the problem and certain risk factors observed on the day. The auditor will look at the information triangulated during the audit, including the following:
- Documentation available
- Site inspection to monitor the implementation of policies and procedures
- Interviews with management and workers from all appointment levels.
The auditor can allocate an ‘Observation’, ‘Minor’, ‘Major’ or ‘Critical’ risk rating. The level of seriousness will be based on whether the finding was previously mentioned during a previous audit, if it is a systemic occurrence, or whether it was an isolated case. Also, how big or small is the risk to the business and the market? Auditors will also look at things such as:
- Has management and or workers done anything to reduce the potential risks
- What is the root cause of the underlying issue
- Was this raised before, or what has management done since the previous audit to maintain the practice
Auditors must ensure that the risk ratings are appropriate to ensure the corrective action required will address the concerns. The number of findings and the risk ratings of each finding will result in an overall audit grading. The site can achieve a Platinum, Gold, Silver, or Bronze grading. The SIZA programme is improvement‐led rather than audit‐led and uses the SIZA Audit Frequency Matrix to provide for extended audit validity periods. In cases where sites achieve longer audit validity periods, the sites are subject to SIZA’s Between Audit Monitoring Programme, where visits will be made between third-party audits to ensure practices remain in place. A producer will be rated according to these risk categories based on the number and rating of each finding during their audits. As producers must drive continuous improvement and implement the required practices within their business, they should aim to get fewer findings and a higher rating during their next audit. It is important to remember that circumstances change over time. Each season has new challenges, such as a different workforce, legislation changes, market requirements, and other external factors that might influence everyday business operations, which can lead to various risk factors.
SIZA provides guidelines and resources to auditors and producers on allocating risk ratings in line with market and global requirements. SIZA also offers a training programme for producers and auditors to identify the root cause and how risk ratings are allocated. For more information, please get in touch with SIZA at 021 852 8184 or email werner@siza.co.za.
