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Audit Process: Justification Information

Select the Justification Information menu item in the Navigation Pane.

This information justifies the number of employees that have been interviewed and the number of sites that have to be visited as part of the audit.

A typical protocol includes two tables and a comments section in this window:

Site/Location Summary:     

The Site/Location Summary table lists all the employees and sites that are covered under the specific audit that was captured with the eC-AuditTool™. It is important not to include locations that were covered by other auditors – this is especially important when conducting team audits.

Using the Site / Location Summary table:

  • To add a location to the table simply type the name of the location in the Site / Location text box (1) and then select the Add New Site button (2) to add it to the Site Name list (3).

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  • Once a site has been entered the user must navigate to each Employee Count Cell (4) to enter the number of employees of each role for a specific site.
  • The Visited check-box (5) identifies which sites have been visited during the auditing process. It is important to keep in mind that only sites visited will be available as an option in the Review Documentation, Conduct Interviews and Record Observation sections.
  • Note that all external employees are represented in cells that have a darker shade of grey (e.g. see contractors). External employees are excluded from the Total Employee count (6).
  • Depending on the protocol used, the Total Employee count (6) will be used to calculate the number of Required Interviews (7) according to the audit protocol used.
  • The Total Interviewed (8) is equal to the number of employees that have been interviewed (9) – also see the section on Conduct Interviews
  • A comparison between the Required Interviews (7) and the Total Interviewed (9) will determine if the audit requirement has been met.  
  • For extremely large companies with tens, or hundreds of sites/locations – depending on the guidelines of the audit protocol (check with them first) - you may be able to eliminate data entry for each individual location by:
    • creating a site / location called “All Other Sites” and entering the aggregate information for all sites that were not visited during the audit, and;
    • Setting the Total Sites / Locations (10) to the appropriate number. 
  • Define a short Description of Operations (11) performed as the Site.
  • The status Icon for the Justification element (12) will indicate a status of “Incomplete” (!) until the number of Total Interviews (9) equals or exceeds the Required Interviews (7).

Interview Summary 

The Interview Summary table lists all the employees that have been interviewed and captured with the eC-AuditTool™.

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This table is not editable and only lists the results from data gathered in other locations. The following is important to keep in mind:

  • The legend in the upper right corner of the table (1) shows that the information in the cell indicates the number of interviews that were done in person and the number of interview responses that were received as questionnaires submitted by employees. In the example below (2) indicates that 4 Workers (Full-time) were interviewed and 1 Worker (Full-time) submitted a questionnaire at the Calgary location.
  • At the bottom of the table the following totals are listed:
    • (3) The total number of employees interviewed in each role/category
    • (4) The percentage of the total employees (captured in the Site/Location Summary) that have been interviewed or that submitted questionnaires
    • (5) The percentage of the total employees (captured in the Site/Location Summary) that submitted questionnaires

At the bottom of the page is a Comments (6) entry window where the user can add additional information that is pertinent to this section.

 

Recommended Interview Plan        

The Recommended Interview plan is the recommended distribution of interviews across the visited sites and the number of interviews for each role at the visited site. 

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  • Select the Recommended Interview plan (1) in the Navigation pane.
  • The table on the right now calculated the minimum number of employees of each role to be interviewed at each visited site.
  • By mousing over a cell in the table (e.g. (2) the details pane (3) to the right of the table displays the total number of employees and the recommended number of interviews.
  • The user can edit any of the cells by merely typing an updated number of minimum interviews in each cell (please note that most certification bodies (or Certifying partners) will reject an audit if the calculated numbers are altered).
  • A Recalculate all (4) button will recalculate the distribution over all sites, and individual site calculation buttons (5) will merely recalculate based for a given site (this should only be used if some of the site interview plans have been edited by the user)

Note: the Planned number of interviews (6) is almost always slightly higher than the Minimum Required Interviews (7) that were calculated in the Site / Location Summary table (this is because any calculations that do not result in an integer number of interviews for a role at a site will be ROUNDED UP to the next larger integer). 

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