initial Audit of their organisation to assess level of compliance

BACKGROUND To give some more background, you are a Senior Auditor who works for a Consulting Company who has been contracted by these three (3) organisations (independently) to have your organisation carry out an initial Audit of their organisation to assess level of compliance to the four (4) Standards (9001, 14001, 19600 and 4801). Your Boss has told you they want you to conduct the audits and they are to be started and completed within one working month. For the first Part (Part A) of this assessment they have told you, you are to do it by yourself. However, as a result of your initial assessment / planning and your discussions with them following your initial assessment (Part A) (including the evidence you have provided) they have told you they will give you three (3) additional Auditors and they have sent you away for Part B of the assessment to consider additional things you need to consider as the Team Leader of an audit team of four (4) auditors (including yourself). 2.1 Reference Material You will need to access the following reference documents to enable you to successfully complete this assessment: a. Participants Workbook; b. A c. S/NZS ISO 19011 Guidelines for Quality and / or Environmental Management Systems Auditing; d. AS/NZS ISO 9001 QMS – requirements and 9004 Guidelines; e. AS/NZS ISO14001 EMS – requirements and 14004 guidelines; f. AS/NZS 4801 OHMS – requirements and 4804 guidelines; and g. AS ISO 19600 CMS – requirements. 3.1 ASSESSMENT REQUIREMENTS IN TWO PARTS:- PART: A Read each scenario and answer all questions as follows: a. Scenario 1 – 3 x Questions, b. Scenario 2 – 5 x Questions, and c. Scenario 3 – 3 x Questions. Answer both additional questions in (3.2.4) as they apply to the three scenarios collectively. PART: B Complete Segment ‘A’ individually and Part ‘B’ of the Assessment as a team (in a classroom environment – as if you are the Team Leader). Part ‘B’ is defined on page. Your responses to Part A will contribute to completing this part. 3.2 SCENARIO – PART ‘A’ 3.2.1 Scenario 1 Background You have been requested to conduct an audit of a small transport firm. The firm employs 30 permanent and 10 part time staff, consisting of drivers, mechanics, store persons, clerk/receptionist, HR/accountant/safety officer, dispatch clerk. They operate 10 vehicles/trucks and are based on the outskirts of a major city. The range of activities includes picking up and delivery of local and intrastate parcels and goods. Your Actions: Answer the following questions: Q1. What specific information, if any, would you need from the organisation to finalise the planning of this (scenario 1) audit? file:///C:/Users/monst/Documents/External%20Auditors%20Course/Templates/Pdf_pt210_public_transport_audit_checklist.pdf Business Plan – Services the business provides Quality Management Systems – Policies & Procedures – Human Resource – Duties/Roles and Responsibilities, Pay Rates, timesheets, leave forms, – Asset Management – Vehicle Log books, Vehicle Services, Workplace Health and Safety Q2. What organisation documentation, systems, procedures, compliance obligations and risk impacts would you consider when conducting this audit? Q3. What clauses, if any, would you consider not applicable from the safety, quality and environmental standards? 3.2.2 Scenario 2 Background You have been requested to conduct an audit of a National company within Australia. This company refines oil from Australian and Middle East oilfields and distributes the fuel, oil products etc. through its own network of bulk depots and service stations.. This company employs several thousand people and with a majority being permanent workers. Its headquarters are based in Melbourne with three refineries (one each) being located in Geelong, Sydney and Brisbane, with 18 major (bulk fuel) distribution centres around Australia and numerous outlets (petrol stations) in all States. They outsource their maintenance within the refineries. Your Actions: Answer the following questions: Q1. From a context point of view, what points or questions would you consider during this initial Planning assessment would be your main focus during the Audit? Give the reason why. (This is mainly from a scope, schedule and audit team make up point of view.) Q2. List the common and different clauses in auditing the company, across the various sites, in relation to the three standards. This is in respect to the difference between a refinery, bulk store to Service Station and what you would audit based on level of risk? Q3. How would you, as an auditor, go about identifying the way in which the company has gone about complying with the various Commonwealth and State legislation? How would this impact the time required, scope and schedule? Q4. How would you, as an auditor, go about identifying the way in which the company has gone about its Risk assessments for the various locations in developing their system and audit program. Q5. Define what clauses in ISO 9001 they could define as being “not applicable” for each key component (refinery, bulk store, service station) and the scope of their management system. NOTE: For Q1 and Q4 you might consider developing a basic flow chart outlining the various parts/operations of their business. This may help you define context and risks for the business overall and each operation arm. 3.2.3 Scenario 3 Background You have been requested to conduct an audit of a brick company. This company owns the quarry that supplies the base ingredient in the brick manufacturing process, it operates a transport company that transports the product from the quarry to the brickworks and distributes the bricks to a retail outlet for sale and subsequent distribution. They outsource all their maintenance from the quarry and transport fleet. They have the head office and brickworks approximately 200km East from the quarry and the Transport Company is 270km North of the head office. They employ approximately three hundred employees and do not employ a full time safety person, that role is part of the HR Managers duties. The quarry employees are of ethnic and indigenous origin and have problems with language, literacy and numeracy skills. The quarry is located 10kms East of the main highway, on a dirt road and on the Northern boundary are heritage buildings and on its Southern boundary is a rare strand of fir trees that supports a very sensitive eco system. There are also possible indigenous culturally sensitive issues. Your Actions: Answer the following questions: Q1. What points/issues would you consider during this initial planning phase that would guide you in establishing the scope, schedule and what you would audit and how? Q2. What clauses if any would you consider not applicable or not worth auditing from the level of risk point of view, from the Safety, Quality, Compliance and Environmental Standards between the various key segments of the operation. Include any clause in the ISO 9001 they could legitimately deem “not applicable”. Q3. What additional information if any, would you need from the organisation to finish planning this audit? Note: For Q1. You may consider key operation components and develop a basic process flow chart and answer from a Q, S, E C perspective for each component (your response can be on the flow chart). 3.2.4 Additional Questions In addition to the specific questions relating to each scenario, you are to answer the following questions as they apply to the three scenarios collectively: Q1. What common / generic points from each standard (9001, 14001, 19600 and 4801) would you consider when planning the three audits (remember you are conducting a quality, safety, compliance and environmental management system audit)? Q2. What would you do differently (if anything) when conducting the audit at each scenario organisation? You are to explain / justify your response. To answer these questions you may need to also refer to standard AS/NZS ISO 19011:2014. 3.3 SCE
NARIO – PART ‘B’:- PART B (Relates to 3.2.2 scenario 2 only – oil company) Remember PART B will be done in the class environment and will consist of two segments: 3.3.1 Segment 1: Completed individually. (1 hour duration) You are to list things you need to consider as a team leader when planning to conduct the audit of scenario 2. You will need to refer to standard AS/NZS ISO 19011. You are to type or hand write your response in preparation to move onto Segment 2. 3.3.2 Segment 2: Completed in your allocated audit team – 1 hour duration. The team is to prepare: (i) Basic audit plan and schedule; (ii) Allocate responsibilities to the team; (iii) Develop typical audit questions; and (iv) Develop a summary of key context, compliance, risk and interested parties for the business overall. For segment 2 you are to use the Basic Plan schedule and typical questions you prepared for segment No. 1 and expand them and supplement them to accommodate that you now have a team of four (4) doing the three audits. The instructors have the option to modify how the two segments are conducted. It can be done as defined or they may choose to conduct as a “Brain Storm Session” recording on white board group input. If it is done this way each participant needs to record down what the group agrees to. If you do not finish in class you have until 4.00pm day five (5) to fully complete Part A and Part B. The completed assessment must be handed in by 4.00pm day five (5) for marking. In some circumstances the instructor may allow you to complete after the course (individually or with your allocated team). If this is allowed then your individual response is to be back in the hands of the senior instructor/assessor of Advance Profitplan within one (1) month after completing this course. 4. Forms Used 4.1 Forms – In addition to Workbook notes completed thus far, the forms to be used are as follows (attached to this document): a. Audit Planner – context, interest parties, compliance, risk, initial assessment (MSATP-PAWF-1-2); b. Audit Preparation Planner (MSATP- PAWF-1-3); c. Audit Worksheet – Site Schedule (MSATP- PAWF-1-4) d. Audit Worksheet – Questions to Verify (MSATP- PAWF-1-6). These are required to be used by you and your team/group members for Part B Scenario 2 and handed in as part of your AST-6 response package.

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