Developing an Audit Plan for ABC Foods

Purpose of the Audit

Part 1

Develop a plan to conduct the audit for ABC Foods. This should be in the form of a letter, addressed to the company that should describe the scope of the audit, how you plan to complete the audit and all other pertinent information. 

For this part of the assignment, consider all six modules of the course and the activities and processes described. Your submission should demonstrate an understanding of the course materials and be specific to the scenario. 

For marking, consideration will be given to how well the following topics are covered in the letter: 

· Company Specific – does the letter include company specific detail sufficient to demonstrate how an audit might be conducted for the company (e.g. number of interviews, number of days on site, relevant list of documentation to be reviewed, auditor requirements/expectations of the company as part of the audit process, description of sites to be included in the audit, request for additional information that may be needed before the audit starts). 

· Scope – does the letter describe all of the phases and steps of the audit and how they will be completed for the company described in the scenario.

· Audit standard/protocol – does the letter explain what protocol/standard will be used, the elements of the audit protocol, how the audit will be scored and/or the quality assurance process? Does the letter explain what the deliverable to the company at the end of the project and how the results will be presented

· Auditor and company roles and responsibilities – does the letter explain the roles, responsibilities and obligations of the auditor and the company?

The following is an outline that can be used to help you with the letter flow and format. You are encouraged to use your own format/style. Don’t forget to refer to the criteria above.

o Introduction 

o Describe the purpose of the audit 

o Identify and describe the audit standard/protocol that will be used 

o List and describe each of the 3 phases and 10 steps in the audit – use specific examples relevant to the 

o company described in the scenario 

o List the things the company will need to do as part of the audit process 

o Describe the auditor code of ethics and explain how this will play a role in how the audit is completed 

o Identify the estimated requirements for the audit 

o Conclusion

Part 2 (8 points):

2.1  (6 points) Hazard identification and control is a legislated requirement.  It is also a key part of any occupational health and safety audit.   An auditor must be able to assess how well the company has done in identifying hazards in their workplace and controlling them.  This can be done throughout the data collection portion of the audit, using documentation review, interviews and observation tours.

List 10 occupational health and/or safety hazards that you might encounter at this facility, as part of this operation.  Try to be as specific as possible in describing the potential hazard and how it relates to the scenario.  You could use the sample table below or your own format.

Specifically related to each hazard you have identified, outline what you would look at to verify how well the hazards are being controlled.  Provide a response to the following questions for each hazard you list:

· What specific documents would you review to verify what the administrative controls are and whether there is adequate implementation of the controls?

· What specific questions would you ask during interviews to verify awareness and effectiveness of controls? What would be considered a positive response?

· What specific things would you include in your observation tour to assess whether the hazard was adequately controlled? What would be considered a positive observation?