Audit Planning & Implementation

You and your colleague are External Auditors for International Audits, a 3^rd party registrar company that audits and certifies organizations towards ISO standards, such as: ISO 9001, ISO 14001, and ISO 45001.

Your next assigned audit is to conduct a re-certification assessment for Altitude Structures, a medium sized General Construction company. Altitude Structures is currently certified to ISO 9001:2015 and ISO 45001:2018, with both certificates expiring on October 4^th, 2021. During the re-certification audit, it will also be International Audits job to review last years corrective action requests to determine if they are sufficient and ready for closure.

Additional Details:

• It is currently May 6th, 2021 and the audit must take place before Altitude Structures ISO certificates expire. Remember to consider scheduling best practices, like allocating enough time for the draft report to be reviewed and finalized prior to the certificate expiration date.

• Altitude Structures (auditee/client) has two location certified to both standards: The Main Headquarters (HQ) in Victoria, B.C. & a Warehousing Facility (WH) located in Chilliwack, B.C.
  • Establish which locations are under audit scope and should be visited during the re- certification. Logistics and travel time should also be considered.

Head Office Description:

• All main administrative duties carried out at Head Office.
• Departments: Human Resources, Finance, Executive Management, Engineering (Design & Development), Operations, Sales and Marketing.
  • All activities, less Sales & Marketing, are within scope.
• There are 110 workers at the main headquarters. The following are the leadership representatives:
  • Key Leadership Representatives:
    • CEO
    • CFO
  • Finance Department: CFO
  • Human Resource Department: Human Resource Manager
  • Project Management Department: PMO

• Operations: Operations Manager
• Construction & Engineering Department: Construction Manager
  • Complex Process: Design and Engineering

Warehousing Facility Description:

• Storage location for company tool and equipment assets.
• Main activities: tool and equipment calibration; general equipment maintenance work.
• Equipment Asset List:
  • 25 Hammers
  • 10 Hand Screwdrivers (nonelectrical)
  • 4 Electrical Testing Devices
  • 5 Laser Distance Meters
  • 10 Torque screwdrivers

Warehousing Site 5 Workers at location:

• Key Management: Warehouse Manager

• Altitude Structures uses an intranet at the HQ where all the primary documents are housed, such as:
  • Management System Manual
  • High Level Processes & Policies
  • Engineering Drawings & Designs
  • Standard Operating Procedures

• Last year during the surveillance audit, Altitude Structures had the following minor non- conformances (NCRs) which required corrective actions to be established.

Corrective Action Requests (CARs):

• CAR #1 Majority of employees were unfamiliar with the company Quality Policy.
• CAR # 2 A printed copy of an out-of-date construction design document was found in the Engineering department showing version #5. At the time of the audit, the correct version number was #7.
• CAR #3 The Health & Safety policy states no toxic chemicals should be stored at the Warehouse Facility. Evidence showed there was a small amount of chemicals found stored.
• CAR #4 - Calibration on 2 of the Laser Distance meters had not been serviced in over a year

Assignment: Identify all the steps in the audit preparation and implementation. Participate and collaborate within your group sessions.

Assignment Requirements:

1. Generate all the required documents used in preparation of this audit:
   • Audit Notification Letter
   • Audit Plan

o Define the audit scope, locations to be visited, and any omitted departments or processes.

• Audit Schedule

2. Conduct the audit:
   • Review last years surveillance audit CARs during the audit. Confirm if controls are in place. Is the control effective? Then initiate potential closure of open corrective action.
   • Analyze the audit re-certification scenario document, and decide as a group, if there are any findings, such as: best practices, opportunities for improvement, and non- conformances (minor or major). Findings should be recorded and justified. Include all findings in Audit report.

3. Mock Opening Meeting Presentation:
   • During Week 9, your group will conduct an opening meeting based on the Assignment. The opening meeting can be conducted as a live presentation or recorded through the group video assignment tool.

4. Complete a final audit report based on the above deliverables.

   Audit Planning & Implementation

   You and your colleague are External Auditors for International Audits, a 3^rd party registrar company that audits and certifies organizations towards ISO standards, such as: ISO 9001, ISO 14001, and ISO 45001.

   Your next assigned audit is to conduct a re-certification assessment for Altitude Structures, a medium sized General Construction company. Altitude Structures is currently certified to ISO 9001:2015 and ISO 45001:2018, with both certificates expiring on October 4^th, 2021. During the re-certification audit, it will also be International Audits job to review last years corrective action requests to determine if they are sufficient and ready for closure.

   Additional Details:

5. It is currently May 6th, 2021 and the audit must take place before Altitude Structures ISO certificates expire. Remember to consider scheduling best practices, like allocating enough time for the draft report to be reviewed and finalized prior to the certificate expiration date.
7. Altitude Structures (auditee/client) has two location certified to both standards: The Main Headquarters (HQ) in Victoria, B.C. & a Warehousing Facility (WH) located in Chilliwack, B.C.
   • Establish which locations are under audit scope and should be visited during the re- certification. Logistics and travel time should also be considered.

8. Head Office Description:

9. All main administrative duties carried out at Head Office.
10. Departments: Human Resources, Finance, Executive Management, Engineering (Design & Development), Operations, Sales and Marketing.
    • All activities, less Sales & Marketing, are within scope.
11. There are 110 workers at the main headquarters. The following are the leadership representatives:
    • Key Leadership Representatives:
      • CEO
      • CFO
    • Finance Department: CFO
    • Human Resource Department: Human Resource Manager
    • Project Management Department: PMO
13. • Operations: Operations Manager
    • Construction & Engineering Department: Construction Manager
      • Complex Process: Design and Engineering

14. Warehousing Facility Description:

15. Storage location for company tool and equipment assets.
16. Main activities: tool and equipment calibration; general equipment maintenance work.
17. Equipment Asset List:
    • 25 Hammers
    • 10 Hand Screwdrivers (nonelectrical)
    • 4 Electrical Testing Devices
    • 5 Laser Distance Meters
    • 10 Torque screwdrivers

18. Warehousing Site 5 Workers at location:

19. • Key Management: Warehouse Manager
21. Altitude Structures uses an intranet at the HQ where all the primary documents are housed, such as:
    • Management System Manual
    • High Level Processes & Policies
    • Engineering Drawings & Designs
    • Standard Operating Procedures
23. Last year during the surveillance audit, Altitude Structures had the following minor non- conformances (NCRs) which required corrective actions to be established.

24. Corrective Action Requests (CARs):

25. • CAR #1 Majority of employees were unfamiliar with the company Quality Policy.
    • CAR # 2 A printed copy of an out-of-date construction design document was found in the Engineering department showing version #5. At the time of the audit, the correct version number was #7.
    • CAR #3 The Health & Safety policy states no toxic chemicals should be stored at the Warehouse Facility. Evidence showed there was a small amount of chemicals found stored.
    • CAR #4 - Calibration on 2 of the Laser Distance meters had not been serviced in over a year

26. Assignment: Identify all the steps in the audit preparation and implementation. Participate and collaborate within your group sessions.

    Assignment Requirements:

27. Generate all the required documents used in preparation of this audit:
    • Audit Notification Letter
    • Audit Plan

28. o Define the audit scope, locations to be visited, and any omitted departments or processes.

29. • Audit Schedule
31. Conduct the audit:
    • Review last years surveillance audit CARs during the audit. Confirm if controls are in place. Is the control effective? Then initiate potential closure of open corrective action.
    • Analyze the audit re-certification scenario document, and decide as a group, if there are any findings, such as: best practices, opportunities for improvement, and non- conformances (minor or major). Findings should be recorded and justified. Include all findings in Audit report.
33. Mock Opening Meeting Presentation:
    • During Week 9, your group will conduct an opening meeting based on the Assignment. The opening meeting can be conducted as a live presentation or recorded through the group video assignment tool.
35. Complete a final audit report based on the above deliverables.