Audits Types

The notebook used should be a laboratory-type notebook with bound pages. The notebook should be clearly labeled as to the audit type, date, and auditor(s). Many auditors prefer to use a notebook for a single audit so it may be filed with the checklist and the final report. 

The following audit types will be conducted to this end ... 

Audit Type B/C, Hardware Design plus Manufacturing and Test. 

In summary, the audit strategy may have a mix of audits types, driven by management (the customer), and in order to feed back the relevant information up the management chain for timely action. 

Initially, in search of a safer facility, my compai developed and promoted a loss prevention review, which mimicked some of the excellent audit-type approaches Monsanto Chemical was employing at the time. Monsanto used Usts of well-worded process and equipment questions to audit, to evaluate, and to improve loss prevention practices and protection features. In addition to developing an on-going awareness of safety, we also continued to react to incidents to improve the level of safety. 

Note that for circumstances where operational conditions are changing, for instance in a combined oil and gas field where relative volumes of gas, oil, and seawater, as well as molecular wei ts are changing, the two audit types may occur simultaneously if retrofit, optimization, or redesign become an issue. 

QA should audit at least the most important suppHers. This type of review often results in the exchange of ideas for improvement to quaUty systems of both the suppHer and the customer. Sometimes such an audit also identifies a suppHer having a serious deficiency. 

The substitution of asbestos fibers by other types of fibers or minerals must, ia principle, comply with three types of criteria (36) the technical feasibihty of the substitution the gain ia the safety of the asbestos-free product relative to the asbestos-containing product and the availabiHty of the substitute audits comparative cost. 

Toller audits may be categorized into the following three types ... 

The ongoing production phase involves the last two types, preamendment audits and periodic audits. The differences in docu-... 

A P2 audit differs from most other types of audits because it makes use of a dual benchmarking approach namely, it uses both technical (environmental performance) and financial performance as its basis for making corrective actions. The status quo most often serves as the benchmark, though other standards certainly can be devised. A P2 audit can also affect non-environmental issues. The types of corrective actions can affect other types of wastes, energy, occupational safety, product quality, and worker productivity. 

Step 9.1 Identify the Effluent Discharge Points. Determine the points at which wastewater leaves the site. Wastewater may go to an effluent treatment plant, directly to a public sewer, or directly to a watercourse. One factor that is often overlooked in audits is the use of several discharge points. It is important to identify the location, type, and size of all discharge flows. Identify where flows from different unit operations or process areas contribute to the overall flow. In this way, it is possible to piece together the drainage network for the site. This can lead to startling discoveries of what goes where ... 

Requirements for written safety and health SOPs are found in paragraphs (b)(4)(I) of the HAZWOPER standard. None of the sites audited had developed comprehensive, site-specific SOPs that specify the controls necessary to complete each task. The contractor s SSAHP at Site B did discuss generic task-related hazards and SOPs however, the task-specific SOPs lacked detail. Eor example, the SOPs did not specifically identify the site locations where hazards were likely to occur, nor did they specify the appropriate types of controls. 

In judging the adequacy of provisions you will need to apply the relevant standards, legislation, codes of practice, and other agreed measures for the type of operation, application, and business. These activities are quality assurance activities and may be subdivided into design assurance, procurement assurance, manufacturing assurance, etc. Auditing, planning, analysis, inspection, and test are some of the techniques that may be used. 

The standard requires suppliers to define the type and extent of control exercised bp the supplier over subcontractors and goes on to require that these controls be dependent upon the type of product, the impact of the product on the quality of the final product, and, where applicable, on the quality audit reports and/or quality records of the previ-ousty demonstrated capability and performance of subcontractors. 

They mainly apply to products as most of them are concerned with protecting the product from damage and deterioration. They apply to the end product and any items that either form part of the product or are used to produce the product, including any tools, test equipment, and processing materials. Although it is possible for some types of services to deteriorate, this use of the term preservation is covered by the process control and auditing requirements. The only requirements that do apply to services are those for identification, unless product is used in the delivery of a service. If the servicing is done to a product, whether or not the product is owned by the supplier, protection of that product is important. 

Audits of practice against procedure or policy should be recorded as they are observed and you can either do this in note form to be written up later or directly onto observation forms especially designed for the purpose. Some auditors prefer to fill in the forms after the audit and others during the audit. The weakness with the former approach is that there may be some dispute as to the facts if presented some time later. It is therefore safer to get the auditee s endorsement to the facts at the time they are observed. In other types of audits there may not be an auditee present. Audits of procedure against policy can be carried out at a desk. You can check whether the documents of the quality system satisfy all the clauses of the standard at a desk without walking around the site, but you can t check whether the system is documented unless you examine the operations in practice. There may be many activities which make the system work that are not documented. 

Devise a method of determining when parts of the system were last audited. Decide on the types of audits to be conducted and the level of staff to conduct them. Determine the standards against which the organization is to be audited. 

Another link exists between the PIF concept and the sociotechnical assessment methods described in Section 2.7 The checklists used in the TRIPOD methodology are essentially binary questions which evaluate whether the sets of PIFs making up each of the general failure types are adequate or not. The hierarchical sets of factors in HRAM are essentially PIFs which are expressed at increasingly finer levels of definition, as required by the analyst. The audit tool which forms MANAGER also comprises items which can be regarded as PIFs which assess both management level and direct PIFs such as procedures. 

In the case of root cause analysis systems, more comprehensive evaluations of PIFs will normally be carried out as part of a full-scale human factors audit. This could make use of the types of comprehensive PIF evaluation methods described in Chapter 2 (see Section 2.7.7 and Figure 2.12). 

Hazard assessment findings are similar to audits, in that they are periodic measures. Hazard assessments might include Hazard and Operability (HA-ZOP) studies, What-If/Checklists, Fault Tree Analyses, or other techniques. The results of these studies will indicate what types of hazards exist and whether or not these hazards are sufficiently controlled. 

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