tqcsi auditor training multiple auditors & multiple sites audit reporting

TQCSI Auditor Training

MULTIPLE AUDITORS & MULTIPLE SITES

AUDIT REPORTING


Competency

• MM 4.5 refers

• leading audits of multiple sites when other auditors are used is not as simple as it might first appear

• multiple sites should be considered similarly to departments.


Audit Program

• Audit Programs are scheduled in Nuts

• Audit Team Leader should feed input through Scheduler (eg Site A should be audited again next time)

• exported Program from Nuts to Audit Team Leader.


Audit Program In Nuts

• .


Audit Plan

• required for every audit (incl CAs)

• template on website - ‘Audit Plan – TA – HO & multi sites’

• plan Head Office audit last

• branches/sites very different to Head Office

• identify outstanding discrepancies to review at each site

• complete well in advance of first audit.


Head Office

should audit:

• documentation

• planning & analysis of data

• management review

• internal audits

• effectiveness of continual improvement

• purchasing.


Audit Plan Template

Company: <<Company Name>> Rego No: AU???

Address: See Client Details Report

Audit No: ??? Audit Type: Triennial Audit

Standards: ???

Sites : STATE - ADDRESS – START & END TIMES - DATE – AUDITOR STATE - ADDRESS – START & END TIMES - DATE – AUDITOR

STATE - ADDRESS – START & END TIMES - DATE – AUDITORHEAD OFFICE - ADDRESS – DATES – AUDITOR

Scope of Audit: the sites listed above, the capability statement listed on the Client Details Report and the processes and functions listed below.

Audit Team Leader: ??? Other Auditor(s): ??


Audit Plan Template…cont.

ALL BRANCHES

Entry Meeting On arrival (see dates/times above)

Tour facility – safety & environmental inspection

Review of relevant previously raised discrepancies

Review of current environmental aspects & impacts

Review of current safety hazards/risks – facility inspections

Internal audits

Improvement – nonconformances, customer complaints, accidents, corrective action

Improvement planning – quality, safety & environmental objectives and targets

Personnel – responsibilities, job descriptions & training

Internal communication

Emergency plan

Customer requirements, liaison & feedback

Operations – control, monitoring, identification & traceability

Control of monitoring & measuring equipment

Exit Meeting 20 minutes prior to completion



Management System Requirement Time

(Department or Process)

HEAD OFFICE - DATE

Entry Meeting

Tour facility – safety & environmental inspection

Review previous NCRs & discrepancies

Review changes to documentation (policies & procedures), organisation and Quality, Safety & Environmental Policies

System review – management review & internal audits

Review of current environmental aspects & impacts

Review of current safety hazards/risks – facility inspections

Review of risk assessment process

Legal & regulatory compliance

Lunch break

Improvement – nonconformances, customer complaints, accidents, environmental issues, corrective action and data analysis

Improvement planning – quality, safety & environmental objectives & targets

Design of new products

Suppliers & purchasing

Intended completion



HEAD OFFICE – DATE

Personnel – responsibilities, job descriptions & training

Internal communication

Customer requirements, liaison & feedback

<<DEPARTMENT or SITE>>



Lunch break

Operations – control, monitoring, identification & traceability

Control of monitoring equipment

WHS claims management & rehabilitation

Contractor management

Emergency plan

Exit Meeting

Intended completion



Remarks:

This is a Triennial Audit for re-certification against ???.

Senior management should be present for the Entry and Exit Meetings.

This Audit Plan is intended as a guide only and can be changed to meet operational requirements.

Please advise if any personal protective equipment or special clothing is required of the auditor.

Audit criteria and objectives are as described in the TQCSI Rules of Certification.

Outstanding Discrepancies (to be checked by respective auditor):

BRANCH - ??

BRANCH - ??

BRANCH - ??

Branch audit report inputs are to be emailed to Audit Team Leader on TQCSIF-20B nlt <<DATE>> for single combined Audit Report.


Email Audit Team

• Audit Team Leader should email Audit Team with the Audit Plan

• advise of specific requirements

• emphasise when the TQCSIF-20B should be sent.


Example Email

For ??? audit, there will be one combined Audit Report which I will develop. Please email me your input on TQCSIF-20B (attached) before the ??? audit. The Client Details Report should be page one of your Auditor Worksheets - forward them direct to Head Office in the normal manner. No formal Entry/Exit Meeting is required (that will happen at Head Office). Please note your discrepancies are as follows:QLD (???) ???NSW (???) ??? WA (???) ???. The rest are mine (SA and System). There are no outstanding NCRs. There is no reason to review the Management Manual, procedures and forms- only documentation and processes immediately pertinent to the Branch. Do not audit management review and internal audits and focus on ISO 9001 Sections 7 and the risk assessment practices for WHS/EMS. ????????????


Audit

• Entry/Exit Meeting – formal meeting not required at sites

• audit as normal iaw Audit Plan.


Findings

• Audit Team shouldn’t find NCRs, should only find discrepancies & observations

• issues at a site may not be systemic

• Audit Team Leader to determine NCRs.


Audit Input

• TQCSIF-20B

• outstanding discrepancies

• new discrepancies & observations

• General Comments

• selected sections of Audit Summary

• Auditor’s Declaration

• number of pages!


Audit Report

• TQCSIF-20

• list discrepancies by site

• massage inputs into a seamless Audit Summary

• specific to sites really only relevant to ‘Operations’

• list outstanding discrepancies by site

• ensure Client Details Report correct

• next audit date consider HO last.


Thank You

tqcsi auditor training multiple auditors & multiple sites audit reporting

Documents

audit type

head office audit

triennial audit standards

nuts audit team leader

audit incl cas template

environmental issues

intended completion

data analysis improvement