TASK Module Audit

STUDENT

ANGELO SIVARIS LOPEZ HERRERA

CÓDIGO: 80.216.728

TUTOR:

JAIR CESAR MACHADO BERNAL

COLOMBIAN SECURITY COUNCIL CCS

DIPLOMA: MANAGEMENT OF THE INTEGRATED MANAGEMENT SYSTEM IN

SAFETY, HEALTH, ENVIRONMENT AND QUALITY

ENVIRONMENTAL ENGINEERING PROGRAM

26 DE ABRIL 2021
OBJECTIVES

General objective

It was based on interpreting and understanding guidelines for Audit Management Systems and their
importance and context in the field of QMS to highlight the similarities,
inconsistencies could arise with the case study of the module Audit exercise

Specific Objectives:
. Develop a diagnosis to identify the failures in the aspect of Management Systems
of Auditing in the case study and apply the observations based on ISO standards
for the relevant corrections.

. Analyze and interpret each of the parameters that make up the management systems.
from the audit of the standard regarding the proposed case study.

. Develop the exercise by identifying the conformities and non-conformities with it.
proposed by the case study and its interpretation to the norm.
IDENTIFICATION OF ISO 19001 NORMATIVE REQUIREMENTS

REQUIREMENT
WHAT DOES THE COMPANY HAVE FINDING UNDER ISO 19011:2018
NORM

(NUMERAL)

5 Management of an audit program

5.1 Generalities The auditor arrives at the company's facilities, giving the audit program in the
compliance with the previous recommendations made to the organizational objectives, ev
by the system manager in the company, before parameters in accordance with the numeral
start the opening meeting they inform you of the protocol present shortcomings in the coordination
that the company to act in case of emergencies, is from the company its department
It starts with the opening meeting in which the auditor informs about the review being conducted.
Other aspects Objectives of the audit, process timing.
audit, types of findings, methodology of the
evaluation, topics to consider in the audit of
agreement with the established standards to be certified,
schedules and delivery date of the report with the possible
findings that can be determined in the process of
evaluation.
5.2 Establishing the opening meeting in which it informs among others the selection criteria were evaluated.
of the objectives of the audit aspects, audit timing, contractors, and external suppliers
program Draft findings, evaluation methodology, topics found in the company's QMS
audit take into account in the audit according to what should be established by the
established in the standards to certify, schedules and date of could be evidenced in the records
delivery of the report with the possible findings that were contracted where gaps are presented
may be determined in the evaluation process. that should be corrected as soon as possible
inconsistencies in the progress of s

5.3 Determination In this case, a planning report is received. There is a failure in the risks.
and evaluation of the strategy which includes the policy, objectives, and generated by a planning in
risks and guidelines that are desired to be achieved, but this does not meet the needs of their clients equally
opportunities of the effectiveness analysis of the necessary documentation actions of the re
program of proposals in the HSEQ System. leading to a failure with what is provided
audit section

5.4 Establishment of the audit program

5.4.1 Roles In the opening meeting, only the participants take part in a meeting.
responsibilities representative of the system who is in charge of the HSEQ system
from the operations personnel, the HSE coordinator and the HSE assistant, and present the guidelines of the program
responsible for informing that the general manager and legal representative will take place and where
management the find outside the country and that the people in charge have responsibilities regarding
program of the processes does not need to be in the meeting date but presenting inconsistencies
audit for opening since the HSEQ system manages it in its HSEQ in its records and monitoring
totality the HSEQ coordinator company
5.4.2 Competence For the management of the HSEQ system, the person in charge of the program has a
of the professional people in business administration with expertise in their area and capable of managing
responsible for the diploma in quality management system ISO is not complete focusing on u
management from 9001:2014 certification as an internal auditor by a 9001:2014 entity but the company managed
program of a certifier recognized at the national level. ISO reason for presenting
audit number of the standard 5.4.2 on
of the audit program
5.4.3 The auditor establishes after sending the audit plan.
Establishment of 8 days in advance, establishes a communication of the exposed activities for the
the extension of the prior with the company to clarify doubts about the company's facilities
program of the process that is carried out there and to finalize the visit of what will be applied and the activities.
audit field that will be carried out according to the list of objectives of the auditable processes
current projects sent by the company where they are outside their facilities
they define the activities that are carried out in each one, external and internal stakeholders
numero de contrato, nombre de la contratante, número la empresa para su aprobación est
of exposed persons and execution percentage agreeing with the n
project.
5.4.4 To review the resource allocation, the coordinator finds flaws in the requirements.
HSEQ determination reports that there is no allocated budget for facilities, equipment, and resources.
the resources assigned by management's decision allocate the resources for conducting inspections and this e
program according to your needs and that they are very budget-friendly for the department
auditing They are broad, they always give money for whatever is needed, depending on management for recovery.
to prevent them from generating PQRs. execution of their work and prevented
correctives that would provide a solution.
5.5 Implementation of the audit program

5.5.1 It begins with the documentary phase of the HSEQ management system and that this contribution is carried out
Generalities During the second and third day of the audit, the company's HSEQ team will be carried out.
the field view verifying the activities performed, records and processes carried out
to verify compliance with the SIG regulations direct the work route and the
requested. in every area of the organization in
moment but with failures due to the i
from the company this work will take m
5.5.2 Definition of HSEQ objectives, the HSEQ coordinator shows a During the audit, a findings is found.
the objectives, the compliance matrix of objectives where he is the adequacy of the management system
scope y los responsable del cumplimiento de todos los objetvos a los por el coordinador presenta incon
criteria for one that performs monitoring just like its tracking for what
individual audit those that measure the failures in the processes
5.5.3 Selection and the coordinator displays it on the computer screen for this contribution, a meeting was held.
determination of your position, the minutes of management meetings held under the HSEQ system and the auditor in which
the methods every four months in which meetings and commitments are not taken into account
audit systemic aspects of the HSEQ management system nor monitoring facilitate in part the displacement
to the commitments made and the company review minutes, this with the help of the eq
managerial where only the HSEQ indices were analyzed but still has inconsistencies
of customer satisfaction and that it was carried out a year provided by not having followed through
 before the current audit is carried out based on agreements outlined in the information
count the cutoff periods.
5.5.4 Selection of the system representative who is the director. This section is not fulfilled due to
the members of operations, the HSE coordinator and the HSE assistant being part of the company's HSEQ team
audit team the only members and a few employees are often not enough
area that collaborates sporadically apart from that, they don't provide support for

processes that are evident in the inf

5.5.5 Assignment Basically, there is no identified group for this task In this aspect, only one is available.
responsibilities more than the assigned professional for this function but the coordinator and an assistant and the a
The team leader does not have a support group from the same backing for their work due to that
audit for a company and one or another employee who collaborates were provided digitally
individual audit area audited would not be complete in its entirety
5.5.6 Management of Upon reviewing the policy, it is found that it does not include It is evident that there is a lack of communication
results of the commitment to comply with legal requirements nor towards its employees and contractors
program of identifying hazards, evaluation, assessment ignorance of many of the
audit of the risks and determination of controls. the auditor manifests this in their ha
company directives
5.5.7 Management and It is additionally reported that the process of It is agreed that for the process
The preservation of the documentation will be verified throughout all the documentation that is carried out or
records of evaluation in a transversal manner. carried out will be kept with
program of same audit
audit
5.6 Monitoring of compliance with HSEQ objectives, for this case they rely on a mat
the HSEQ coordinator program shows a compliance matrix for the HSEQ coordinator
audit of objectives where he is responsible for presenting failures and being able to determine
compliance with all the objectives for which it is corrected, however the matrix
Follow-up every six months to verify that it is up to date with some activities.
compliance, these only present results of
100% compliance.
5.7 Review and The auditor reports that these results are verified A follow-up of the regi
improvement during the evaluation process taking into account the company and its processes
program of all aspects of the HSEQ Management System. incomplete what is evidenced by
audit will allow improvements to your
same SG HSEQ so that the part
satisfaction with the development of the system
6 Conducting an audit

6.2 Start of the audit

6.2.1 The audit process begins in the company with the audit being carried out by
Generalities accompaniment of the system representative who is appointed by the company for this
the operations director, the HSE coordinator, and the work done by the members
HSE assistant for this, meetings are held where records and documents are provided.
relevant to those in charge and the plan to develop the relevant measures is presented
work for its completion during the time
determined and the areas of the company to manage
6.2.2 The auditor in the preparation phase of the audit holds a meeting beforehand.
Establishment of a prior documentary review in the company in its company phase to agree on the lines
contact with the initial, which is considered necessary for the preparation of the audit program and define l
audited audit plan. company activities to which
resources available with which to p
6.2.3 The auditor in this phase reviews the identification and definition. A list is created with each of the
Determination of the existing relationships between processes of the cable system by the company as
the viability of integrated management to identify the structure of those involved in this task as
audit processes carried out by the company and the manner of HSEQ and the cooperation of the parties
organization related to the areas that will be determined to identify the failures of their pr
to integrate.
6.3 Preparation of audit activities
6.3.1 Execution In the process map presented by the person in charge, a review of the documentation will be carried out.
The review of the HSEQ system does not show that the company has included the measures taken.
information support processes related to leadership and in physical but the digitized apart
documented managerial commitment. as mechanical records of
photographs of all the stuff that is there
system
6.3.2 Audit Planning

6.3.3 Assignment of The auditor requests the HSEQ coordinator to analyze its For this section, the assignment of
the tasks to the team organizational context as defined by external norms since it supports the
auditor international, the identification of stakeholders in the HSEQ SG coordinator and
and prioritization of these in which it defines according to the with more staff and it is partly
analysis carried out what are the needs and actions information is managed in a way
to follow up on which the coordinator informs that there are no recycling issues although for
completed. incomplete, work is proceeding to s
6.3.4 Preparation the HSEQ coordinator informs that it was disclosed a There will be a procedure to safeguard the info
from the weekly information, it presents the records of the workers from the audit process for
documentada para área administratva e informa que los conductores se encontrados y los que realizados p
the audit they are found conducting activities with clients and that their internal audits as li
they did not convey the new policy to them. Upon reviewing it again in meetings and audiovisual material
the office is not signed. that is carried out.
6.4 Conducting the audit activities

6.4.2 Assignment When reviewing the matrix of legal requirements For this section, it is not mentioned
roles and defined for the organization, it is evident that it would be assumed that they are employees
responsabilidades identify customer requirements without considering the auditor during visits to the areas
of the guides and the compliance mechanisms, nor the identification of the processes that require audit
observers requirements for safety, health at work, and environmental.
6.4.3 Implementation The coordinator places on the computer screen This takes place at the beginning of
from the meeting of your position, the minutes of management meetings held send the audit program c
opening every four months where the reviews and the times for these are not taken into account
aspects of the HSEQ management system in a systemic way, nor following the company's directives, all of this
to the commitments made and the review record towards the realization of the audit
managerial where only the indices were analyzed
of customer satisfaction and that was conducted a year ago
before the conduct of the current audit considering
count the cutoff periods.
6.4.4 Communication It is additionally reported that the results were During the audit process
during the communications to the workers at that time and the HSEQ SG coordinator was not given
audit response to the PQR. The auditor requests the performance evaluation records of
disclosure of five workers selected as some employees who
previously and finds that the format used did not manage the reason for the audit
I have diligently filled out all the required information and I'm in constant contact with the SG team.
established by the company and additionally it is a company both to notify of the
old format according to the information from the front regarding processes of which there are no
HSEQ coordinator.
6.4.5 For the review of compliance with the policy, accessibility must be provided.
Availability The HSEQ coordinator informs that it was published by a company for the development of the a
access of the week, presents the records of the workers from whom it will be requested to the coordinator
information of the administrative area and informs that the drivers have the support of other employees
audit they are found engaging in activities with clients and that the company's facilities or
They did not make the new policy available to them. Upon reviewing it again, they should have records of its operation.
the office is not signed.
6.4.6 Review of the HSEQ Coordinator presents a document The review may be combined with
information called Step by Step for the realization of and must continue throughout
documented investigation of Work Accidents PR-HSE-19 version goes against effectiveness
during on January 1, 2018, specifying the audit methodology and its objectives.
audit using for research, identifying that it does not
contemplate criteria for incident investigation
accidents y almost environmental accidents nor
occupational diseases and also has not carried out the
investigation of the serious accident that occurred to him twice
months before the audit and that was reported to the ARL
two weeks ago.
6.4.7 Collection When requesting the statistical records of accidents, evidence must be recorded.
and the verification of the HSEQ coordinator informs that there are only records of the audit. Yes, during the collection
information last year that during the current year the audit team will be aware of
time to make the registrations or the investigation of new risks or opportunities
the events due to being in many changes, the team will have to address
projects and does not have enough staff for
implement the controls.
6.4.8 Generation upon reviewing the risk matrix, evaluation of When specified by the plan of a
from findings of risks and determination of controls it is found that not individual audit should include
audit The priority risk has been identified according to practices along with the evidence.
the company's activity requests the HSEQ Coordinator for improvement opportunities and any
evidence of training records and audited.
driver competencies who informs that
as of today, 6 out of 10 workers are missing
update the documentation, which they also carry out
activities for the importance of customers,
presenting the certificates of the other four
workers, as well as job profiles, the assignment
of functions and responsibilities and the program of
training according to the requirements of each
position that reports a 100% in its evaluation
of coverage and 100% effectiveness.
 6.4.9 Determination of the audit conclusions

6.5.1 Preparation The auditor requests the HSE coordinator for the procedure The audit report carried out to
of the administration report for contractors and suppliers PR - complete, accurate, concise record
audit HSE015 version 2 of January 30, 2015 should include or reference
document control procedure sent during it and the points to t
Auditor prior to what the coordinator informs that corrects and the times that it covers.
this procedure had changed version a while ago
week but did not update the control matrix of
documents.
6.5.2 Distribution This information is like that handled in workshops or The audit report should
The report on the company's activities was not shared within the agreed time. If it is delayed
audit personnel involved which generated ignorance by communicating to the audited and the
the employees that I did not contribute to the socialization of the audit program management.
measures to propose
6.6 Finalization of The auditor concludes his observation according to the plan The audit concludes when it
the audit from audit to start the preparation of the prior report on planned audit activities
of findings. way with the audit client
an unexpected situation that prevents
according to the audit plan
6.7 Implementation of According to the audit plan, the auditor must have It should be verified whether it is completed.
the activities take into account the recommendations made by this verification may be part
follow-up The HSEQ coordinator should present a report for the audit.
an audit allow to review the inspection program where the management of the program is responsible
define the execution of inspections and follow-ups of the audit for review by
all the processes audited during the time that is
they conducted the visits and control of the records as the
inconsistencies that may arise to carry
consecutvos de estos y aplicar los correctvos necesarios
for their improvement and to communicate them to the directives,
internal and external employees.
7 Competence and evaluation of auditors

7.2 Determination of the auditor's competence

7.2.1 The company has a professional in management The evaluation of the competition of
Generalities of companies with a diploma in management system implementation and documentation for
ISO 9001:2014 quality certified as internal auditor that is objective, consistent, impartial
by a certifying entity recognized at the national level as
ya se ha mencionado anteriormente
7.2.2 During the audit time, the professionals The auditors should demonstrate
Behavior the hired person showed appropriate conduct for their profession during the performance
personal position and role in which I highlight your commitment and auditing.
rigor with the details of your evaluation and the
cordiality with the team that integrated the SG HSEQ of the
company
7.2.3 In the process map presented by the person in charge of the team leaders of the audit.
Knowledge and HSEQ system do not show that they have included the necessary additional skills.
support process skills related to leadership and audit.
 managerial commitment.
7.2.4 Achievement of the professional auditor in charge of its execution fulfills experience in a technical function
competition He already extensively handles the standards of his position that involve the exercise.
auditor the ISO differs from the coordinator in charge of the HSEQ management system decisions, the solution of problems
The company is competent; it does not entirely manage the members of the management, profession.
regarding the fields of the ISO standards that cover stakeholders
some of the processes carried out by the company
7.2.5 Achievement of the Coordinator and the auditor maintain good terms and this additional experience should
competence of working hand in hand to identify the failures under the direction and guidance of
team leader processes carried out so far and their collaboration in different ways.
auditor allowed to advance in the findings that will allow to apply
the corrective measures
7.3 Establishment The auditor presents his work plan in which he outlines The criteria should be cua
from the criteria to be developed and in which topics demonstrating behavior will be addressed
evaluation of the references to the ISO standards that apply to the performance activities of skills, in
auditor from the company. This will allow you to review the scope of work and quantities (such as co
requested for certification in ISO 9001:2015, labor and education, the number
ISO 14001:2015 and ISO 45001:2018. hours of training in auditing.
7.4 Selection of It is agreed to work together with the professional should use a combination
appropriate method in charge of the HSEQ SG to carry out the evaluation of an objective, coherent result, and
evaluation of the elements of Leadership, Planning and Support of the
company management system auditor
7.5 Implementation of This begins with the analysis of the Objectives of the When an auditor under evaluation
the evaluation of the audit, audit time, types of findings, participate in an audit program
auditor evaluation methodology, topics to consider then should acquire form
in the audit according to what is established in labor or experience in audit
standards subsequently a new evaluation
7.6 Maintenance For this point, it is supported by the developed documentation The responsible people for l
and improvement during the audit process and the audit interviews should establish the m
competition of those involved in the processes and the continuous evaluation matrices of performance
auditor Proposals for their follow-up as evidence of team audit leaders.
made together by the SG HSEQ professional and the
external auditor
 CONCLUSIONS

The purpose of the exercise was to deduce the importance and implementation of Systems of
Audit Management and its relevance to the case study exercise, which will allow
evaluate your quality management system, as well as the shortcomings that arose throughout the
the same and the measures to be taken for the improvement of the system based on current regulations.

It is important to note that the correct identification of the aspects of Management Systems
Audit, in the workplace and associated with management programs and their applications
operational, are the key tools to demonstrate improvement, so that anyone
the aspect considered significant is under control and generates performance alternatives that
they translate into objectives and goals that are reflected in the policy of their programs
quality management.