Leveraging AI in auditing

Author’s note: This is the 7th in a series of articles on safety auditing and audit management. The content for these articles, which can be used to assist in the development of your own internal audit training content, is from the recently published book, Health, Safety, Environmental and Quality Auditing, by Terri Andrews and Wayne Pardy, published by Rowman and Littlefield.

Publisher: https://www.bloomsbury.com/ca/health-safety-environmental-and-quality-auditing-9798892050463/

The problem with audit checklists or protocols is that they can typically be out-of-date once they are created. This poses a problem because auditors who rely heavily on checklists, rather than fundamental knowledge of regulations, may not be evaluating a site based on the most recently applicable requirements. Many audit program managers do find it difficult to allocate the resources or the time to update protocols more than once every couple of years. An update, at least annually, is consistent with good audit practices. This is where having someone designated as a regulatory subject matter expert can play positive dividends for the HSEQ audit program.

Use of commercially available automated checklists can help to avoid the problem of outdated program documents. These checklists are updated automatically by the company providing the product. The initial investment in the checklists may seem high, but this updated service can be very cost-effective. Keep in mind that this area of intellectual data, customized for client use, is growing every day. A simple Google search of the phrase, "safety or environmental audit checklist" will give you an indication of the size and scope of this market.

The authors have also started to experiment with Artificial Intelligence though the use of several of the free AI tools on the market. While still in its infancy, there are potentially many different applications for the new AI tools for your HSEQ audit needs. What to try it out? Simply go to an AI platform like ChatGPT and give some thought to the question or content you would like it to generate for you. By way of an example, here’s a sample question:

“I am a HSEQ professional, and my company is embarking on a project to implement an integrated HSEQ Management system. I need a checklist to use to both develop a gap analysis and then eventually conduct an integrated HSEQ management system audit against the requirements of ISO 14001, 9001 and 45001. And I also need to align this with the requirements of the Newfoundland and Labrador OHS regulations which are applicable to these 3 ISO Standards. Develop this checklist for me”.

Of course, you can type in your own regulatory requirements instead of the Newfoundland and Labrador OHS regulations to suit your needs, but just look at the results.

I put in the query above and in less than 1 minute I git everything I need to start the audit almost immediately.  Now that’s some powerful technology! In fact, it took the authors about 15 minutes to edit and format what ChatGPT generated in less than 1 minute. Suffice it to say that Artificial Intelligence will hold much more potential for HSEQ audits in the coming months and years. And while we were tempted to lessen the burden of editing/re-writing this entire book by using AI, we can honestly say the only AI used for this book was in the example below.

So, we then took the baseline audit checklist ChatGPT developed for us, reviewed it and then enhanced it to make a more complete audit tool for field use.

While this HSEQ auditing book was written using old school methods, the world of work is rapidly being changed and challenged by the proliferation of AI tools and products. And it’s getting more and more evolved. While we don’t have a crystal ball, we predict that in the coming months and years, the HSEQ auditors’ job will be impacted (hopefully in a positive way) through the efficiency and productivity gains which the AI world might bring. To give everyone just a quick glance, here’s how your HSEQ audits might be impacted in the coming years by artificial intelligence.

We asked ChatGPT this question: “What impact might ChatGPT have on the world of HSEQ auditing in the future and how can ChatGPT is used by professional HSEQ auditors to conduct and deliver their HSEQ audit programs?”

Here’s what ChatGPT told us:

Impact of ChatGPT on HSEQ Auditing

1. Enhanced Efficiency and Productivity:

• Automating Routine Tasks: ChatGPT can automate repetitive tasks such as scheduling audits, sending reminders, and generating preliminary reports, freeing up auditors to focus on more critical tasks.
• Document Review: ChatGPT can quickly review and summarize large volumes of documentation, highlighting key points and potential areas of concern.

2. Improved Data Analysis:

• Real-Time Data Analysis: ChatGPT can analyze data from various sources in real-time, identifying trends, patterns, and anomalies that may not be immediately apparent to human auditors.
• Risk Assessment: By analyzing historical data and industry benchmarks, ChatGPT can help identify potential risks and suggest mitigation strategies.

3. Enhanced Decision Making:

• Knowledge Integration: ChatGPT can integrate knowledge from multiple standards (ISO 9001, ISO 14001, ISO 45001), helping auditors to make more informed decisions during integrated audits.
• Continuous Learning: ChatGPT can stay updated with the latest regulations, standards, and best practices, providing auditors with the most current information.

4. Streamlined Reporting:

• Report Generation: ChatGPT can assist in drafting detailed audit reports, ensuring that all relevant points are covered, and the language is clear and professional.
• Customizable Templates: It can use customizable templates to generate reports tailored to the specific needs of different clients or industries.

5. Enhanced Communication:

• Stakeholder Engagement: ChatGPT can help in communicating findings and recommendations to stakeholders in a clear and concise manner.
• Training and Development: ChatGPT can be used to create training materials and modules for auditors and employees, promoting continuous learning and development.

How ChatGPT Can Be Used by Professional HSEQ Auditors

1. Pre-Audit Preparation:

• Document Review and Summarization: Upload documents such as policies, procedures, and previous audit reports for ChatGPT to review and summarize key points.
• Checklist Generation: Create customized audit checklists based on the specific requirements of ISO 9001, ISO 14001, and ISO 45001.

2. During the Audit:

• Real-Time Assistance: Use ChatGPT to look up specific clauses or requirements of the standards during the audit.
• Data Entry and Analysis: Input findings and observations into ChatGPT for real-time analysis and initial categorization of non-conformances.

3. Post-Audit Activities:

• Report Drafting: Have ChatGPT draft the audit report, including executive summaries, detailed findings, and recommendations.
• Action Plan Development: Use ChatGPT to develop corrective action plans based on audit findings, including timelines and responsibilities.

4. Continuous Improvement:

• Trend Analysis: Periodically analyze audit results to identify recurring issues and areas for improvement.
• Training Programs: Develop and update training programs for auditors and employees based on the latest standards and best practices.

5. Regulatory Updates:

• Stay Informed: ChatGPT can monitor and inform auditors of changes in regulations and standards, ensuring compliance and up-to-date practices.

Practical Examples

1.  Automated Checklists and Reports:

• After uploading audit criteria and previous reports, ChatGPT can generate a comprehensive checklist tailored to specific audit needs.
• Post-audit, ChatGPT can compile findings into a structured report, saving time on documentation.

      2.  Real-Time Query Resolution:

• During an audit, auditors can query ChatGPT about specific standards or best practices, receiving instant, detailed responses.

      3. Training and Onboarding:

• New auditors can use ChatGPT as a learning tool to understand auditing processes, standards, and methodologies through interactive Q&A sessions.

     4. Data-Driven Insights:

• By feeding audit data into ChatGPT, auditors can receive insights on compliance trends, common issues, and potential risks, allowing for proactive management.

Future Developments

1. Integration with IT and Data Systems:

• Seamless Data Collection: Integration with IoT devices and enterprise data systems can provide real-time data for audits.
• Predictive Analytics: Advanced analytics can predict potential issues before they become non-compliances.

2. Advanced Natural Language Processing:

• Contextual Understanding: Improved NLP capabilities can provide deeper insights and more accurate interpretations of audit findings and documentation.

3. Customized AI Models:

• Tailored Solutions: Developing industry-specific AI models to address unique challenges in different sectors within HSEQ.

By leveraging ChatGPT, HSEQ auditors can enhance the efficiency, accuracy, and effectiveness of their audit processes, ultimately leading to improved compliance and safer, more sustainable operations.

Of course, there are many, many other AI tools which can be used but we simply used ChatGPT for demonstration purposes. Stay tuned on AI for HSEQ auditing specifically, and safety generally. . . it’s going to be an interesting ride.