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.
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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.
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Audit Program In Nuts
• .
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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.
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Head Office
should audit:
• documentation
• planning & analysis of data
• management review
• internal audits
• effectiveness of continual improvement
• purchasing.
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Audit Plan Template
Rego No: AU???
Company:
<<Company Name>>
Address:
See Client Details Report
Audit No:
???
Standards:
???
Sites :
STATE - ADDRESS – START & END TIMES - DATE – AUDITOR
STATE - ADDRESS – START & END TIMES - DATE – AUDITOR
STATE - ADDRESS – START & END TIMES - DATE – AUDITOR
HEAD OFFICE - ADDRESS – DATES – AUDITOR
Audit Type: Triennial Audit
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: ???
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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
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20 minutes prior to completion
Audit Plan Template…cont.
Management System Requirement
(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
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Time
Audit Plan Template…cont.
HEAD OFFICE – DATE
Personnel – responsibilities, job descriptions & training
Internal communication
Customer requirements, liaison & feedback
<<DEPARTMENT or SITE>>
<<DEPARTMENT or SITE>>
<<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
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Audit Plan Template…cont.
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.
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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.
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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. ????????????
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Audit
• Entry/Exit Meeting – formal meeting not
required at sites
• audit as normal iaw Audit Plan.
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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.
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Audit Input
• TQCSIF-20B
• outstanding discrepancies
• new discrepancies & observations
• General Comments
• selected sections of Audit Summary
• Auditor’s Declaration
• number of pages!
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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.
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Thank You
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