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Audit Plan 2015 SGS Recertification Audit
Standing Committee (Audit and Risk) – July 2015
Business Improvement – July 2015
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Audit Plan 2015 - Status
Business Improvement – July 2015
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City of Belmont SGS Recertification Audit
4th – 7th May 2015
Business Improvement – July 2015
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Benefits of Certification • Management of Risk – Image, people, financial.
• Demonstrates that the City of Belmont is performing to global best practice.
• Independent assessment of the management system.
• Independent and constructive assessment of systems provides opportunities for improvement.
• Regular surveillance enhances that the management systems become an on-going part of organisational culture.
• Verification of the alignment of the internal management systems to ISO International Standards.
• Tangible recognition of the team’s efforts.
Business Improvement – July 2015
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Benefits of Certification
Two themes:
• customer focus
• continual improvement
“One of the major objectives is to do each task right first time therefore reducing waste and improving efficiency, when this is done correctly the savings will be considerably more than the cost involved in certification”.
(SGS Lead Auditor Terry Wayman)
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Customer Focus Culture
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SGS Audit Facilitates Continual Improvement
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Continual Improvement in Systems
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Declining Trend in Loss Time Injury (LTI) Frequency Rate
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1) SGS Audit Objectives
The objectives of this audit were: • to confirm that the management system conforms with all the
requirements of the audit standards - ISO 9001, ISO 14001 and AS 4801;
• to confirm that the organisation has effectively implemented the
planned management system;
• to confirm that the management system is capable of achieving the organisation’s policy objectives.
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2) Scope of Certification
Business Management Systems for the provision of products and services in:- • Community and Statutory Services Division
• Corporate and Governance Division
• Technical Services Division
• Executive Services Division
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3) Audit Summary Report
• Lead Auditor, Terry Wayman and Team Member, Luan Ladouce carried out the audit in the Civic Centre, Operations Centre, Harman Park Community Centre, Belmont Museum, Youth Services Centre, Belmont Oasis and selected work sites.
• The audit team conducted a process-based audit focusing on significant aspects/risks/objectives required by the standard(s) and documented procedures.
• The audit methods used were interviews, observation of activities and review of documentation and records.
• Four minor non-conformities were raised at this audit.
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4) General Observations - Positives
The system continues to be managed well with a number of improvements identified.
The new System Improvement Request & Innovation Management (SIRIM) system is working well and being used extensively, there have been many improvement requests and innovation requests since its implementation.
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5) Quality Audit Vocabulary • OBSERVATION - Minor observations and/or comments, which alone
do not require any action. If similar comments exist in multiple audit reports, they may lead into audit findings.
• OPPORTUNITY FOR IMPROVEMENT (OFI) – Where the basic of intent has been met but the procedure or practice could be improved to provide better assurance of compliance.
• MINOR NON-CONFORMITY – Partial deviation of operations compared to the Standards or procedures/planned arrangements or an accumulation of observations.
• MAJOR NON-CONFORMITY - Significant deviation of operations compared to the Standards or procedures/planned arrangements or an accumulation of minor non-conformances.
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Business Improvement – July 2015
6) Four Minor Non-conformities 1. Records of 2 quotes could not always be found in ECM for orders between
$10 000 and $20 000 as required by your process map i.e. Provide Purchasing Services.
2. Electrical tagging in the Museum and Harman Park Community Centre was either overdue or not completed. Also some of the newer equipment at the Belmont Oasis Centre was not tagged.
3. The generator which was hired for the Faulkner Park lake pump outside the Council Chamber Building did not have a fire extinguisher, no pre-start was completed and the fence around the generator was not locked.
4. Risk assessment were not always adequate or completed, e.g. Pre-starts for, 2 rollers and a mowing machine were not completed, the risk assessment for the drainage crew was not adequately understood (gas hazards and oxygen level) and the risk assessment completed by the subcontractor installing the surveillance camera was inadequate. Also risk assessments do not always adequately cover environmental issues on the job.
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7) Twelve Opportunities For Improvement 1. The ISO9001 standard is currently being revised and will be re-issued at the
end of this year, i.e. ISO9001:2015. The City will be required to upgrade its management system to meet the requirements of the new standard.
2. There were a number of ‘e’ learning modules that were overdue, two of which were long overdue. Please ensure these are completed ASAP.
3. Although there was timeframe for getting back to customers when a service request was made, there was evidence where the timeframe was not always adhered to and as a result the request turned into a complaint.
4. Customer request (complaint) received could have a have unique number to facilitate tracking within ECM.
5. Personnel were not always entering clear and useful information in ECM to allow the second party to fully understand the context and the actions they took for assigned tasks or requests.
6. Some work instructions in the Records Section have not been updated as required. Some were still dated 2010.
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7. RMSS has a new Action Manager Module activated; however, although assigned actions have a completion date, they do not always have a timeframe for the recipient to accept the action; as such, actions are open for months without anyone accepting them.
8. Findings from food premises inspections need to be followed up more rigorously. i.e. at each visit all the previous findings need to be reviewed and ticked off as verified. Inspectors should discuss an acceptable action plan with the premise for addressing issues.
9. Community Safety to ensure adequate follow-up within a reasonable timeframe with service provider when they have been issued with a request for Alarm Assist Service.
10. Contractors were performing work in a busy area with no proper signage to advise the public of the work taking place, which included excavation.
11. Unlabelled containers were found on TK0204 at Selby Park. 12. MSDS for Roundup was not available with work crew at Selby Park.
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Questions?
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