CASE STUDY 2: Conducting an audit at the Stamping operation of PCK Pte Ltd Read the following audit scenario carefully. Your task is to identify the positive and negative performances of the auditor and discuss. In addition, if your team feel that the auditor has area of improvement or you would recommend a better way of audit approach.

1. It was 0900hrs in the morning when the auditor arrived at the Stamping Production office. He was met by Mr Phua, the Operation manager. Mr Phua showed the auditor round the office and production floor explaining the general operation flow and how the safety management system is implemented. The section's safety organisation chart was also explained and the relevant line supervisors introduced.

2. It was 0930hrs then and Mr Phua invited the auditor to a tea-break session at the pantry on the second floor before bringing him to a meeting room in the operation office. Mr Phua showed the auditor one set of the hazard identification document, explaining how the risk management team evaluates the significant hazards for the production office, and allowed him to select the programmes of his own choice. The auditor asked Mr Phua for a copy of the hazard evaluation summary for the stamping operation but Mr Phua explained that there is no change made since the last audit a year ago. The auditor looked very pleased with Mr Phua's explanation and commented that the hazard evaluation exercise for the office environment had been done well.

3. The auditor looked through the safety programme to ensure that all the relevant actions and controls were there, referencing them against the ISO45001 standard as he did so. While going through the programme, he spotted some issues relating to the responsibilities by the Plating department manager and had to invite the manager, Mr Conman to the stamping production office for clarification.

4. After the discussion with Mr Conman, the auditor continued to examine the legal register in more details. It was already 1045hrs when he failed to find the latest MOM Workplace Health & Safety Act included in the legal register. HOQ Copyright 2023

5. On asking Mr Phua why the Act was not properly identified, the manager explained that the pressure of work for the last few months had probably prevented it. He also attempted to convince the auditor that everyone in the section knew about the Act, and there is no violation of the act since he has taken over the operation manager post 2 years ago.

6. The auditor, on checking with the "Legal Updates procedure", realized that in normal cases, the Legal Register would have been updated on a periodic basis or when there is any revision. The auditor later asked Mr Phua who had last reviewed and approved the register 2 months ago. Mr Phua without finding any signatures on the register, could not identify the right personnel.

7. The auditor then asked to see the Emergency Preparedness record and the Safety supervisor, Mr See Beh Suay handed him a record in which were listed the last fire drill conducted at the main office last year. On asking why there was no record kept for a drill this year since it was a requirement of the standard, Mr See was panicked and could not provide an answer. The auditor also checked on the training of key staffs under- taking the roles of First Aiders, Fire controller etc and discovered that the only staff trained as First Aider is the Regional Sales Manager, Mr Buay Gia Si. The auditor then asked Mr See to show him Mr Buay accredited training records but Mr See seemed not to understand the question clearly.

8. The auditor, a bit impatient with Mr See's reaction, asked to see his immediate superior, Mr Chin Heng. The auditor then explained the situation to Mr Chin and voiced out his dissatisfaction with Mr See who was seen as trying to delay his progress. Mr Chin finally managed to retrieve the "Training records" from St Johns Ambulance. The auditor thus concluded that Mr See was indeed trying to delay the audit progress and was not cooperative with him. He also threatened to report the matter to the Managing Director, Mr Boh Dai Chee.

9. The auditor, realized that time was not on his side, decided not to visit the production floor but to pursue further on the training provided to the staffs as Mr See had earlier showed some signs of not understanding the procedures that well. He also asked Mr Phua permission to turn the air-con cooler as it is very hot and stuffy at the production office.

10. The auditor then seeked permission from Mr Phua to interview another staff, Ms Cheng Jin Swee who looked quite inexperienced to him. Upon asking what her job scope are and the process on how she contributed to the Safety Objectives and targets, Ms Cheng managed to provide a clear explanation though she was just promoted to this post 6 months ago. The auditor was very impressed with Ms Cheng's thorough understanding and decided to share with her his interview session with Mr See. To show his objectiveness, he also mentioned that Ms Cheng deserved the promotion as she had done much better that Mr See earlier.

11. At this point, it was already 1430hrs and the auditor decided to finish the audit of the Stamping Operation by checking the training records of Ms Cheng and Mr See before he leaves. Mr Phua, explaining that the records were all kept at the Personnel Office, had to call Ms Buay Song, the HR Executive, to deliver the training records to the Production Office.

12. Upon checking the records, the auditor could not find the training records for Ms Cheng but had decided not to report this matter as Ms Cheng had known her duties well though no record was found. On the other hand, a comprehensive record was seen for Mr See but the auditor was not at all convinced that Mr See was duly trained and decided to raise a non-conformance stating that the training record was inadequately updated and had not reflected Mr See's competence.

13. The auditor, satisfied with his findings, decided to proceed for a late lunch and told Mr Phua that he would list his comments to him through email after the whole audit had been completed.