More Than Just the End of an Audit
The closing meeting is often viewed as the final step of a SIZA audit. In reality, it is much more than that. It is an important opportunity for the auditor and supplier to confirm what was observed, clarify findings, consider relevant evidence and ensure that both parties have a clear understanding of the audit outcome.
A well-managed closing meeting should not come as a surprise to the supplier. Throughout the audit, auditors should communicate clearly and professionally when potential issues are identified, ask relevant questions and provide the supplier with reasonable opportunities to explain the circumstances and present supporting evidence. The closing meeting then brings these discussions together in a structured and transparent manner.
The Role of the Supplier
For suppliers, the closing meeting provides an opportunity to ask questions, clarify findings and understand what corrective action may be required. It is important, however, to distinguish between a disagreement with a finding and a misunderstanding of the requirement. Where a supplier has relevant evidence that could affect the finding or its risk assessment, this should be raised with the auditor and considered as part of the audit process.
Suppliers should also be aware that auditors must follow specific procedures during the closing meeting. One of these is the finalisation and signing of the Corrective Action Plan (CAPS) report. The signed CAPS report is important because suppliers are expected to submit their CAPS within the 24-hour window following the audit. Therefore, please make yourself and the senior staff available at the end of the audit day. The signed CAPS report is also required when applying for a bridging letter. Suppliers should therefore ensure that they receive and retain their signed CAPS report as soon as possible following the closing meeting.
Consider the evidence
For example, an auditor may identify incomplete training records for employees handling chemicals. During the closing meeting, the supplier explained that the training did take place, but that the records were stored separately and were not initially available for verification. If the supplier can provide credible supporting evidence, such as signed attendance registers or training records, the auditor should consider this information before finalising the finding, where it is relevant and permissible within the audit process.
The closing meeting is therefore not simply a presentation of the auditor’s conclusions. It is an opportunity to confirm that the conclusions are based on the relevant evidence available to the auditor at the time. A similar situation may arise with working hours. An auditor may identify what appears to be excessive overtime based on the records reviewed. The supplier may explain that a particular period was affected by an unexpected production requirement or that additional relevant records were not initially provided. The auditor should listen to the explanation, assess the evidence and clearly explain how the applicable requirement has been interpreted. This creates a more constructive discussion than simply stating that a requirement has not been met.
The Role of the Auditor
For auditors, an effective closing meeting requires preparation, professionalism, objectivity and clear communication.
Findings should be explained in practical terms, including the relevant requirement, the evidence observed, the associated risk and what needs to be addressed. Rather than simply reading the wording of a finding, auditors should aim to explain:
- What was observed, why it poses a risk, and what needs to be addressed.
This helps the supplier understand not only what was identified, but also why it matters and how the business can improve. The closing meeting should also encourage consideration of the root cause and practical improvement.
For example, if an emergency exit in a packhouse is obstructed, the immediate correction may be to remove the items blocking the exit. However, the discussion should also consider why the obstruction occurred and how to prevent it from happening again. This could include reviewing storage practices, assigning responsibility for housekeeping inspections or ensuring that emergency exits are included in routine workplace checks.
The objective should be to address the underlying risk rather than simply correcting the immediate observation.
- When There Is Disagreement
Disagreement during a closing meeting does not have to result in conflict. Suppliers have the right to ask questions, seek clarification and provide relevant evidence. Auditors, in turn, have a responsibility to remain objective, assess the information presented and clearly explain the basis for their findings. The purpose of the discussion is not for one party to “win” an argument. It is to ensure that the audit outcome is fair, evidence-based and understood by the supplier.
A useful approach for both parties is to keep the discussion focused on the evidence:
-
- What was observed?
- What does the applicable requirement say?
- What evidence supports the finding or the supplier’s explanation?
- What is the actual risk?
- What appropriate action is required to address the issue and prevent it from recurring (how to address the root cause)?
Keeping the conversation focused on these questions helps maintain a professional and constructive closing meeting.
Turning the End of an Audit into the Beginning of Improvement
A well-managed closing meeting can turn the end of an audit into the beginning of meaningful improvement. For suppliers, it provides an opportunity to understand their findings, clarify expectations and take ownership of corrective actions. For auditors, it is an opportunity to communicate findings clearly, apply the requirements consistently and ensure that the audit outcome is supported by evidence.
Ultimately, the purpose of the SIZA audit process is not simply to produce a report and an Audit Completion Letter. It is to help businesses identify risks, understand their responsibilities and take meaningful steps towards continuous improvement. A good closing meeting leaves both parties clear on what was found, why it matters and what happens next.
For more information or questions, please contact the SIZA office on 021 852 8184 or email werner@siza.co.za
