WO1995008810A1 - Auditing system - Google Patents

Auditing system Download PDF

Info

Publication number
WO1995008810A1
WO1995008810A1 PCT/AU1994/000559 AU9400559W WO9508810A1 WO 1995008810 A1 WO1995008810 A1 WO 1995008810A1 AU 9400559 W AU9400559 W AU 9400559W WO 9508810 A1 WO9508810 A1 WO 9508810A1
Authority
WO
WIPO (PCT)
Prior art keywords
question
data processing
questions
audit
procedure
Prior art date
Application number
PCT/AU1994/000559
Other languages
French (fr)
Inventor
Gregory Allan Wright
Original Assignee
Empower Information Technology Pty Limited
Priority date (The priority date is an assumption and is not a legal conclusion. Google has not performed a legal analysis and makes no representation as to the accuracy of the date listed.)
Filing date
Publication date
Application filed by Empower Information Technology Pty Limited filed Critical Empower Information Technology Pty Limited
Priority to AU77335/94A priority Critical patent/AU7733594A/en
Publication of WO1995008810A1 publication Critical patent/WO1995008810A1/en

Links

Classifications

    • GPHYSICS
    • G06COMPUTING; CALCULATING OR COUNTING
    • G06QINFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q30/00Commerce
    • G06Q30/02Marketing; Price estimation or determination; Fundraising
    • GPHYSICS
    • G09EDUCATION; CRYPTOGRAPHY; DISPLAY; ADVERTISING; SEALS
    • G09BEDUCATIONAL OR DEMONSTRATION APPLIANCES; APPLIANCES FOR TEACHING, OR COMMUNICATING WITH, THE BLIND, DEAF OR MUTE; MODELS; PLANETARIA; GLOBES; MAPS; DIAGRAMS
    • G09B7/00Electrically-operated teaching apparatus or devices working with questions and answers
    • G09B7/06Electrically-operated teaching apparatus or devices working with questions and answers of the multiple-choice answer-type, i.e. where a given question is provided with a series of answers and a choice has to be made from the answers
    • GPHYSICS
    • G09EDUCATION; CRYPTOGRAPHY; DISPLAY; ADVERTISING; SEALS
    • G09BEDUCATIONAL OR DEMONSTRATION APPLIANCES; APPLIANCES FOR TEACHING, OR COMMUNICATING WITH, THE BLIND, DEAF OR MUTE; MODELS; PLANETARIA; GLOBES; MAPS; DIAGRAMS
    • G09B7/00Electrically-operated teaching apparatus or devices working with questions and answers
    • G09B7/06Electrically-operated teaching apparatus or devices working with questions and answers of the multiple-choice answer-type, i.e. where a given question is provided with a series of answers and a choice has to be made from the answers
    • G09B7/08Electrically-operated teaching apparatus or devices working with questions and answers of the multiple-choice answer-type, i.e. where a given question is provided with a series of answers and a choice has to be made from the answers characterised by modifying the teaching programme in response to a wrong answer, e.g. repeating the question, supplying further information

Definitions

  • the present invention relates to auditing and, in particular, to an auditing system and an auditing method which enables the end user to create procedures and gather relevant data, process, format and printout published reports in various forms that ensure that the information is accessible to all concerned parties or authorities.
  • TM Audit Master
  • Utilicom, Inc. Pittsford, New York 14534 USA uses computer software to provide a template for the auditor to uses to compile the relevant and required information.
  • This system provides a number of different programs which enables the auditor to select the programs available that results in a somewhat customised program for the particular needs of the operations being audited.
  • known auditing systems and methods do not enable the user without using in the main, any computer programming knowledge to interact with the computer software to provide the user with a system which is able to be varied according to the particular requirements of the user, i.e. the computer audit procedure or protocol is unable to be customised OBJECT OF THE INVENTION
  • the method includes the step of providing a revised procedure, wherein the auditing procedure is varied by the user by means of inputting variables into the data processing apparatus by the interface means.
  • the information data input into the data processing means in response to the plurality of questions is in the form of an answer selected from one of the group containing:
  • the method includes the step of providing results to the audit The results being preferably in printed form.
  • Fig. 1 is an example of a screen illustrating a question of the type of a Yes No question
  • Fig. 2 is an example of a screen illustrating a question of the type of a Multiple Choice Check Box
  • Fig. 3 is an example of a screen illustrating a question of the type of a Narrative Text Input
  • Fig. 4 is an example of a screen illustrating a question of the type of a Information Response List
  • Fig. 5 is an example of a screen illustrating a question of the type of a Single Select List
  • Fig. 6 is an example of a screen illustrating a question of the type of a Spreadsheet Grid
  • Appendix A is an example of an audit report produced using one embodiment of the present invention.
  • Appendix B is an example of the procedure followed to produce the report as contained in Appendix A, and
  • Appendix C is an example of notepad notes associated with the report of Appendix A. BEST MODE OF CARRYING OUT THE INVENTION
  • the audit When carrying out an audit, for example of a Local Government environmental requirement, the audit, the audit is carried out with questions/answers using a computer as the interface and as the data processing apparatus.
  • the audit is preferably conducted using an IBM (Registered Trade Mark) PC or compatible computer which operates with Windows (Registered Trade Mark).
  • an audit procedure is selected from a number of procedures which are available for use.
  • the auditor is required to know the extent of the audit to be carried out and if the audit to be carried out is not available in the audit procedures the auditor can use the apparatus to vary the procedures which are available to obtain a procedure which is suitable for the particular audit
  • This procedure involves the use of ordinary word processing skills which can revise the procedures according to the individual requirements. This is accomplished by changing the types of questions and answeres which are selected-
  • a menu is provided on the screen which provides a step by step procedure to be followed to answer the number of questions which are required to be answered during the audit
  • the primary question is what appears on the audit screen each time a question has been answered or at the commencement of the audit procedure.
  • the primary question should be answered
  • Both primary and supplementary questions can be set up with any one of six different types of answers that cater for the input of each type of information and data that are likely to be required to be gathered.
  • the different types of answer types include the following;
  • buttons e.g. yes/no/other, black/grey/white/other,
  • an auditor is also required to enter formal report notes about their findings and observations.
  • the auditor can be required to provide some recommendations on providing solutions or achieving improvements based on their experience.
  • the system of the preferred embodiment provides the means for entering this information with a series of text editor windows. These text windows display and allow entry of the text relevant to the question that is currently displayed on the screen. This system provides for a note pad window which is like a scratch pad for the auditor.
  • the text editor can be used to enter the auditor's own notes and any information that can be required to be referred to justify the findings or observations. For example, it is possible to record the name of a person who gave some "off the record" information or details of some unofficial documentation.
  • report notes which can be entered in the report notes text editor window. These report notes are the formal notes that appear in the final audit report. If there are recommendations to be made relating to the findings of the current question they can be entered through a recommendations text editor window which is available when answering each of the questions.
  • An option button answer as illustrated in Fig. 1 is the type of answer which is used mainly for questions that require a simples yes or no, true or false, black or white style answer. This type of option button also triggers supplemental questions that require only one answer from a list of options. There is no limit on the option selection.
  • a Multiple Choice Check Box as illustrated in Fig. 2 is the type of question where there is more than one correct answer from a list of possible answers. Unlike the Yes/No option buttons, a number of multiple check boxes can be selected at any one time to any one question.
  • a Narrative Text Input as illustrated in Fig. 3 includes the types of answers to some audit questions which cannot be predicted in advance. In these cases it is up to the auditor to make the appropriate observations or enquiries relevant to the questions and to record their findings in their own words. For this purpose, this answer type provides a text entry box next to the question where the responses can be typed in through a keyboard
  • An Information Response List as illustrated in Fig. 4 is used if a comprehensive range of related information is required by the audit procedure. The most common example being the detailed location of a site. In this case, instead of including a separate question for each item of information, the procedure uses one question with an Information Response List where each item in the list represents each piece of information required.
  • the Information Response List could include items such as "street address, postal address, map co-ordinates, local area, deposited plan number, property ID number, land tenure type, etc".
  • the Information Response List allows the auditor to provide a separate answer to each item in the list while only requiring one question in the procedure.
  • the information is also logically grouped for easy access and review.
  • a single select list as illustrated in Fig. 5 is used when there is a large list of known possible answers and the auditor is required to select only one item as the answer to the procedure question.
  • the procedure can ask the auditor to categorise the site by its usage.
  • the procedure would include a comprehensive list of land usage types in a Single Select List for the auditor to choose from.
  • a Spreadsheet Grid answer as illustrate in Fig. 6 provides a means to enter structured information in a standard spreadsheet layout containing rows and columns. Depending on the information required, the spreadsheet can have column titles or can have both column and row titles.
  • the procedure will define the base grid with a set number of columns and rows.
  • the user can add extra columns and rows if required Extra columns and rows added by the user can also be deleted but rows defined by the procedure cannot be deleted.
  • results of the audit are collated by a computer can be printed out in hard copy or exported to a word processing package using normal techniques.
  • Protocol Description Example of sophisticated protocol using most answer types with comprehensive Guide and Aid notes.
  • the Corporation should have a minimum of two contractors to provide backup if Mr Twigg is absent.
  • the US policy is well prepared and is promoted throughout the organisation.
  • Auditor inspected the contractor's log covering a checkbox procedure methodology of maintenance.
  • the site If the site has reclaimed the controlled substance in a marked container supplied to it by the authorised supplier of the controlled substance, it must not return to the supplier the container if it contains any substance other than the substance indicated on the container.
  • the site If the site has installed on its premises a fixed halon flooding system, it must test the fixed halon flooding system in a manner so as not to result in the release of halon to atmosphere (cl.27(1) Ozone Protection Regulations).
  • Occupiers of premises on which a fixed halon flooding system is installed must ensure that they reclaim any halon that would otherwise be released during servicing or decommissioning (cl.32 Regulations).

Abstract

A method of auditing using a data processing apparatus having an interface means is disclosed. The method comprises the steps of: (1) providing the data processing apparatus with an auditing procedure having a plurality of 5 questions to be answered; (2) inputting into the data processing apparatus, by the interface means, information data regarding the auditing procedure which selects a menu to be followed during the audit, the selected menu providing the plurality of questions to the interface means with at least one question at a time; (3) inputting into the data processing apparatus, by the interface means, information data in response to the plurality of questions to be answered, the information data in response providing a further question from the menu, or providing at least one supplementary question.

Description

AUDITING SYSTEM
The present invention relates to auditing and, in particular, to an auditing system and an auditing method which enables the end user to create procedures and gather relevant data, process, format and printout published reports in various forms that ensure that the information is accessible to all concerned parties or authorities.
BACKGROUND OF THE DSTVENΗON
In all businesses and industries where there are legislative, regulatory, quality and/or industry compliance regulations in force, it is necessary to conduct audits/reviews to obtain collated information which is used to indicate that the particular company or organisation complies with the legislative regulations, quality standards codes of practice and other benchmark requirements.
Such collating of information and relevant data has heretobefore been either manual or using computerised systems with fixed procedural structures where customisation can only be varied by altering the question but not normally the answer or the number of answer types in such a manner as to be able to create a data base of information.
One such auditing system and method which is known as the Audit Master (TM), and which is marketed by Utilicom, Inc. Pittsford, New York 14534 USA, uses computer software to provide a template for the auditor to uses to compile the relevant and required information. This system provides a number of different programs which enables the auditor to select the programs available that results in a somewhat customised program for the particular needs of the operations being audited. However, known auditing systems and methods do not enable the user without using in the main, any computer programming knowledge to interact with the computer software to provide the user with a system which is able to be varied according to the particular requirements of the user, i.e. the computer audit procedure or protocol is unable to be customised OBJECT OF THE INVENTION
It is an object of the invention to provide an improved auditing system and method of operating same which enables the users to create entirely new audit procedures to add to and vary audit procedures according to their particular requirements using word processing skills.
DIS(__OSU__E OF THE INV__NΗON
According to one aspect of the present invention there is disclosed a method of auditing using a data processing apparatus having an interface means, said method comprising the steps of:
( 1 ) providing said data processing apparatus with an auditing procedure having a plurality of questions to be answered,
(2) inputting into said data processing apparatus, by said interface means, information data regarding said auditing procedure which selects a menu to be followed during said audit, said selected menu providing said plurality of questions to said interface means with at least one question at a time,
(3) inputting into said data processing apparatus, by said interface means, information data in response to said plurality of questions to be answered, said information data in response providing a further question from the menu, or providing at least one supplementary question.
Preferably, the method includes the step of providing a revised procedure, wherein the auditing procedure is varied by the user by means of inputting variables into the data processing apparatus by the interface means.
In another preferred form, the information data input into the data processing means in response to the plurality of questions is in the form of an answer selected from one of the group containing:
yes no answer; a multiple choice answer, a narrative text; a single select list answer; or spreadsheet grid answers. In another preferred form, the method includes the step of providing results to the audit The results being preferably in printed form.
BRIEF DESCRIPTION OF THE DRAWINGS
One embodiment of the present invention will now be described with reference to the drawings in which:
Fig. 1 is an example of a screen illustrating a question of the type of a Yes No question,
Fig. 2 is an example of a screen illustrating a question of the type of a Multiple Choice Check Box
Fig. 3 is an example of a screen illustrating a question of the type of a Narrative Text Input,
Fig. 4 is an example of a screen illustrating a question of the type of a Information Response List,
Fig. 5 is an example of a screen illustrating a question of the type of a Single Select List,
Fig. 6 is an example of a screen illustrating a question of the type of a Spreadsheet Grid,
Appendix A is an example of an audit report produced using one embodiment of the present invention,
Appendix B is an example of the procedure followed to produce the report as contained in Appendix A, and
Appendix C is an example of notepad notes associated with the report of Appendix A. BEST MODE OF CARRYING OUT THE INVENTION
When carrying out an audit, for example of a Local Government environmental requirement, the audit, the audit is carried out with questions/answers using a computer as the interface and as the data processing apparatus. The audit is preferably conducted using an IBM (Registered Trade Mark) PC or compatible computer which operates with Windows (Registered Trade Mark). When a new audit is to be commenced, an audit procedure is selected from a number of procedures which are available for use. The auditor is required to know the extent of the audit to be carried out and if the audit to be carried out is not available in the audit procedures the auditor can use the apparatus to vary the procedures which are available to obtain a procedure which is suitable for the particular audit This procedure involves the use of ordinary word processing skills which can revise the procedures according to the individual requirements. This is accomplished by changing the types of questions and answeres which are selected-
When the procedure has been selected by the auditor, a menu is provided on the screen which provides a step by step procedure to be followed to answer the number of questions which are required to be answered during the audit
There are two types of questions in the preferred audit procedure, namely, primary questions and supplementary questions. The primary question is what appears on the audit screen each time a question has been answered or at the commencement of the audit procedure. The primary question should be answered
Particular answers to some primary questions will trigger the display of a supplementary question on the screen which will appear below the primary question on the audit form. All supplementary questions that are displayed should be answered otherwise the audit cannot be fully completed. At any time, the system can identify and print out all uncompleted questions.
As well as having different types of questions, there are also different types of answers in the procedure. Both primary and supplementary questions can be set up with any one of six different types of answers that cater for the input of each type of information and data that are likely to be required to be gathered. In order to be able to complete an audit, the different types of answer types include the following;
1. Option buttons, e.g. yes/no/other, black/grey/white/other,
2. Multiple Choice Check Boxes,
3. Narrative Text,
4. Information Response List,
5. Single Select List, and
6. Spreadsheet Grid
As well as answering the questions in an audit, an auditor is also required to enter formal report notes about their findings and observations. The auditor can be required to provide some recommendations on providing solutions or achieving improvements based on their experience.
The system of the preferred embodiment provides the means for entering this information with a series of text editor windows. These text windows display and allow entry of the text relevant to the question that is currently displayed on the screen. This system provides for a note pad window which is like a scratch pad for the auditor. The text editor can be used to enter the auditor's own notes and any information that can be required to be referred to justify the findings or observations. For example, it is possible to record the name of a person who gave some "off the record" information or details of some unofficial documentation.
There is also provision for report notes which can be entered in the report notes text editor window. These report notes are the formal notes that appear in the final audit report. If there are recommendations to be made relating to the findings of the current question they can be entered through a recommendations text editor window which is available when answering each of the questions.
The different types of answers which are in the procedure are to both primary and supplementary questions.
An option button answer as illustrated in Fig. 1 is the type of answer which is used mainly for questions that require a simples yes or no, true or false, black or white style answer. This type of option button also triggers supplemental questions that require only one answer from a list of options. There is no limit on the option selection.
A Multiple Choice Check Box as illustrated in Fig. 2 is the type of question where there is more than one correct answer from a list of possible answers. Unlike the Yes/No option buttons, a number of multiple check boxes can be selected at any one time to any one question.
A Narrative Text Input as illustrated in Fig. 3, includes the types of answers to some audit questions which cannot be predicted in advance. In these cases it is up to the auditor to make the appropriate observations or enquiries relevant to the questions and to record their findings in their own words. For this purpose, this answer type provides a text entry box next to the question where the responses can be typed in through a keyboard
An Information Response List as illustrated in Fig. 4 is used if a comprehensive range of related information is required by the audit procedure. The most common example being the detailed location of a site. In this case, instead of including a separate question for each item of information, the procedure uses one question with an Information Response List where each item in the list represents each piece of information required.
In using the site location as an example, the Information Response List could include items such as "street address, postal address, map co-ordinates, local area, deposited plan number, property ID number, land tenure type, etc". The Information Response List allows the auditor to provide a separate answer to each item in the list while only requiring one question in the procedure. The information is also logically grouped for easy access and review.
A single select list as illustrated in Fig. 5 is used when there is a large list of known possible answers and the auditor is required to select only one item as the answer to the procedure question. For example, the procedure can ask the auditor to categorise the site by its usage. In this case, the procedure would include a comprehensive list of land usage types in a Single Select List for the auditor to choose from.
A Spreadsheet Grid answer as illustrate in Fig. 6 provides a means to enter structured information in a standard spreadsheet layout containing rows and columns. Depending on the information required, the spreadsheet can have column titles or can have both column and row titles.
The procedure will define the base grid with a set number of columns and rows. The user can add extra columns and rows if required Extra columns and rows added by the user can also be deleted but rows defined by the procedure cannot be deleted.
Once all the questions have been answered and the audit has been completed, the results of the audit are collated by a computer can be printed out in hard copy or exported to a word processing package using normal techniques.
The foregoing describes only one embodiment of the present invention, and modifications obvious to those skilled in the art can be made thereto without departing from the scope of the present invention. APPENDIX A
Audit Summary
This Audit Report was prepared and authorised by:
R. Roig
SIGNATURE
DATE
Audit Title: Cactus Halon Compliance
Facility Name: Cactus Falls
Site Address: 34, Falls Road, Petersham, Sydney, NSW Australia
Site Occupier: Cactus Ice Cream Ltd
Site Owner: Cactus Inc. Walnut Creek, California
Main Contact: Gregg Wright
Telephone: 61 2 456 8765
Fax: 61 2 456 0001
Mobile: 015 2-34 765
Facility Personnel: K Condon
Audit Leader: G Brown
Telephone: 61 2 836 4367
Fax: 61 2 836 9843
Mobile: 015 382 56R
Audit Team: R Roig. A Little
Date Audit Started: 30/08/94
Date Audit Completed:
Audit File Name: cactusic.aud
Protocol Description: Example of sophisticated protocol using most answer types with comprehensive Guide and Aid notes.
Version No: 2
File Name: ozone.pro
S l__ _ri__ ___E SHEET (Rule 26) Element 1 : OZONE PROTECTION ACT 1989
Question 1
Does the site purchase "controlled substances" (see Guide Notes) ?
/Viswer: Yes
Name the authorised officer, authorisation number, expiry date of authorisation:
Answer:
Officer Number Expiry date
K. Condon 1234 4 / 9 / 94
Notes:
The procedure for purchasing of controlled substances was well documented and Mr Condon had passed a training course in its operational implementation.
Recommendations:
In view of the penalties of infringing the relevant legislation, it would seem prudent to have more frequent training courses.
Question 2
Does the site keep the required records concerning the controlled substance and keep them for two or more years? (See Guide Notes)
Answer: Yes
Describe how this was verified, please also indicate where these are stored:
Answer:
The auditor sighted these in the office of the Health and Safety Officer.
Notes:
All such records are kept in a site manual of environmental impacts
Recommendations:
The procedures were based on unamended legislation. The company should put in regular update procedures.
SUBSπTUTE SHEET (Rule 26) Question 3
Provide details of authorised personnel, and/or contractor (s), who carry out "restricted activities" (see Guide Note) jAnswer:
Name Auth. No. Expiry Date Special details
J. Twigg EP 678 10 / 6 / 96 Fully accredited
Notes:
The corporation appears vulnerable by relying on one contractor.
Recommendations:
The Corporation should have a minimum of two contractors to provide backup if Mr Twigg is absent.
Question 4
Provide details of the authorisation of the site's supplier of controlled substances.
Answer:
Name Address Auth No. Expiry Date Special Details
Artie Ozone 20 Berg St EP645 1 April 2000 Fully certified Redfern 2000
Recommendations:
In view of the capital investment at risk, it would be prudent for the Corporation to have an alternative supplier for cost comparison.
Question 5
Do all controlled substances suppliers containers have appropriate labelling when being returned to the supplier of that substance?
Answer: Yes
Describe how this was verified:
S OTS-ππJlΕ SHEET (Rule 26) /Answer:
Auditor spoke to the Receiving Dock Manager at Ozone Recycle Ltd who confirmed that Cactus Ice Cream were excellent in this requirements.
Recommendations:
An audit should be undertaken on this supplier to protect the Board in the event of an incident.
Question 6
Doc Ref: 1
Does the site have a procedure to decommission and replace all halon equipment or portable halon fire extinguishers before 1996?
Answer:
Yes
Please give brief description of this procedure:
Answer:
As part of the international policy of Cactus Dessert Inc., the US parent, the local subsidiary is operating an active replacement program.
Notes:
The US policy is well prepared and is promoted throughout the organisation.
Recommendations:
More attention should be given to local legislation.
Question 7
Has the site informed in writing, the Fire Protection Industry Association of Australia of the location and capacity of any halon flooding installation?
Answer:
No
Notes:
No record was available and the staff seemed unaware of this requirement.
SrøS TTTUTE SHEET (Rule 26) Recommendations:
Notification must be attended to immediately.
Question 8
Doc Ref: 2
Is all Halon flooding equipment tested in a manner that will not result in the release of halon to the atmosphere?
Answer:
No
Please give details:
Answer:
A release is recorded in the Log for the date of 23/5/94
Notes:
Staff had not received training and carried out the test without supervision.
Recommendations:
Immediate training to be given to all staff.
Question 9
Since the last audit, has any fixed halon flooding system been discharged during the last year or since the last audit during a non-fire incident?
Answer:
Yes (give date)
Was the Fire Protection Industry Association informed within 30 days of the incident:
Answer:
Yes (give date of notification) - 30/4/93
S -_BS_T_UI_. SHEET (Rule 26) Question 10
Has the site installed any halon flooding systems since March 93, 1991? jAnswer:
No
Describe how this was verified:
Not Answer: Notes:
The staff followed only international procedures and were not aware of this requirement.
Recommendations:
In addition to training staff, the Corporation should ensure all its suppliers are aware of procedures.
(Jump to: E1Q12)
Question 12
Doc Ref: 2
Does the site, or its contractors, comply with the relevant code of practice when servicing fixed halon flooding systems?
Answer:
Yes
Describe how this was verified:
Answer:
Auditor inspected the contractor's log covering a checkbox procedure methodology of maintenance.
Notes:
This system was initiated as part of the contractor's due diligence procedures.
Recommendations.
All of Cactus contractors should use this checkbox system.
SϋBSπTϋTE SHEET (Rule 26) Question 13
Doc Ref: 4
Does the site have a procedure that ensures the reclaiming of all halon that would otherwise be released during servicing or decommissioning fixed halon flooding systems equipment?
Answer:
Yes
Describe how this was verified:
Answer:
Part of the international procedure
Notes:.
This is an excellent document that should be an industry standard
Recommendations:
Cactus should encourage the industry association to adopt this as an industry standard
Question 14
Does the site have written permission from the EPA to continue usage of its portable halon extinguishers?
Answer:
Not applicable (only if no such extinguishers)
Question 15
Are there any differences between current usage and the conditions attached to any label affixed to the portable halon extinguishers?
Answer:
No
Describe how this was verified:
Answer:
Talked to all staff who verified usage as per label Notes:
Awareness of this issue is part of staff documented training procedures
Question 13
Doc Ref: 5
Do employees receive written instruction that portable halon fire extinguishers must only be used in the eventuality of a real fire emergency?
Answer:
Yes Describe:
Answer:
Sighted procedure which is given to all staff in their induction period as well as update every six months via the staff Newsletter.
APPENDIX B
Element 1 OZONE PROTECTION ACT 1989 Question 1
Does the site purchase "controlled substances" (see Guide Notes)?
Please circle only one of the following
• Yes
Supplemental
Name the authorised officer, authorisation number, expiry date of authorisation:
Please enter a response
Officer Number Expiry date
• Yes, but there is no authorised officer
Red Flag Trigger
• No
Jump To E1 Q6 Supplemental
Describe how this was verified:
Please enter a response
For Guide notes see Appendix Guide Notes 1
Question 2
Does the site keep the required records concerning the controlled substance and keep them for two or more years? (See Guide Notes)
Please circle only one of the following
• Yes
Supplemental
Describe how this was verified, please also indicate where these are stored Please enter a response
No
Red Flag Trigger Supplemental
Detail shortfalls:
Please enter a response
For Guide notes see Appendix Guide Notes 2
Question 3
Provide details of authorised personnel, and/or contractor (s), who carry out "restricted activities " (see Guide Note)
Please enter a response
Name Auth. No. Expiry Date Special details
For Guide notes see Appendix Guide Notes 3 Question 4
Provide details of the authorisation of the site's supplier of controlled substances.
Please enter a response Name Address Auth No. Expiry Date Special Details
For Guide notes see Appendix Guide Notes 4
Question 5
Do all controlled substances suppliers containers have appropriate labelling when being returned to the supplier of that substance?
Please circle only one of the following
. Yes Supplemental Describe how this was verified:
Please enter a response
No
Red Flag Trigger
Supplemental
Please give details: Please enter a response
• Don't know Red Flag Trigger or Guide notes see Appendix Guide Notes 5
Question 6
SUBSTITUTE SHEET (Rule 26; Does the site have a procedure to decommission and replace all halon equipment or portable halon fire extinguishers before 1996?
Please circle only one of the following
. Yes Supplemental Please give brief Description of this procedure:
Please enter a response
No
Red Flag Trigger
Supplemental
Please give details: Please enter a response
• Not applicable (there is no such equipment on site)
Question 7
Has the site informed in writing, the Fire Protection Industry Association of Australia of the location and capacity of any halon flooding installation?
Please circle only one of the following
. Yes
Supplemental
Provide dates of notification for each installation. Please enter a response
. No
Red Flag Trigger • Don't know
Red Flag Trigger
For Guide notes see Appendix Guide Notes 6 For Aid notes see Appendix Aid Notes 6
Question 8
Is all Halon flooding equipment tested in a manner that will not result in the release of halon to the atmosphere?
Please circle only one of the following
No
Red Flag Trigger Supplemental Describe how this was verified:
Please enter a response
No
Red Flag Trigger
Supplemental
Please give details: Please enter a response • Don't Know Red Flag Trigger
For Guide notes see Appendix Guide Notes 7
Question 9
Since the last audit, has any fixed halon flooding system been discharged during the last year or since the last audit during a non-fire incident?
Please circle only one of the following
• Yes (give date)
Supplemental
Was the Fire Protection Industry Association informed within 30 days of the incident:
Please circle only one of the following
• Yes (give date of notification)
• No
Red Flag Trigger • No Supplemental
Describe how this was verified: Please enter a response
• Don't know Red Flag Trigger For guide notes see Appendix Guide Notes 8 For Aid notes see Appendix Aid Notes 8
Question 10
Has the site installed any halon flooding systems since March 31, 1991?
Please circle only one of the following
Yes
Supplemental Was written approval obtained from the EPA?
Please circle only one of the following
• Yes (give reference number and date)
• No (Please go to question 11) Red Flag Trigger
• No Jump To E1Q12 Supplemental
Describe how this was verified:
Please enter a response
• Don't know Red Flag Trigger Jump To E1Q12
For Guide notes see Appendix Guide Notes 9
Question 11
Are there any differences between the terms of the approval and what you observe?
Please circle only one of the following
. Yes
Red Flag Trigger Supplemental
Please give details:
Please enter a response • No
Supplemental
Describe how this was verified:
Please enter a response
Question 12
Does the site, or its contractors, comply with the relevant code of practice when servicing fixed halon flooding systems?
Please circle only one of the following
Yes
Supplemental Describe how this was verified:
Please enter a response
Yes
Red Flag Trigger Supplemental
Please give details:
Please enter a response
For Guide Notes see Appendix Guide Notes 10 Question 13
Does the site have a procedure that ensures the reclaiming of all halon that would otherwise be released during servicing or decommissioning fixed halon flooding systems equipment?
. Yes
Supplemental
Describe how this was verified:
Please enter a response
No
Red Flag Trigger Supplemental
Please give details:
Please enter a response
• Don't know Red Flag Trigger For guide notes see Appendix Guide Notes 8 For Aid notes see Appendix Aid Notes 8
Question 13
Does the site have written permission from the EPA to continue usage of its portable halon extinguishers
Please circle only one of the following
. Yes
Supplemental
Describe how this was verified:
Please enter a response
• No
Red Flag Trigger Jump To E1Q15
• Not applicable (only if no such extinguishers)
Red Flag Trigger For Guide notes see Appendix Guide Notes 12
Question 15
Are there any differences between current usage and the conditions attached to any label affixed to the portable halon extinguishers?
Please circle only one of the following
• Yes
Red Flag Trigger Supplemental
Please give details:
Please enter a response • No
Supplemental
Describe how this was verified:
Please enter a response
Question 16
Do employees receive written instruction that portable halon fire extinguishers must only be used in the eventuality of a real fire emergency?
• Yes
Supplemental Describe:
Please enter a response
• No
Red Flag Trigger For Guide notes see Appendix Guide Notes 13
SUBS ΓΓUTE SHEET (Rule 26) Guide Notes 1
Purchasers of "controlled substances" must have a current authorisation and must act in accordance with any conditions (c1.12 Ozone Protection Regulation 1991)
The following substances are defined to be "controlled substances" under Ozone Protection Act 1989, namely
* Trichlorofluoromethane (CFC 11 )
* Dichlorodifluoromethane (CFC 12)
* Trichlorotrifluoroethane (CFC 113)
* Dichlorotetrafiuoroethane (CFC 114)
* (Mono)chloropentafluorethane (CFC 114)
* Bromochloridifluoromethane (Halon 1211)
* Bromotrichloromethane (Halon 1301)
* Dibromotetrafluoroethane (Halon 2402)
(Schedule 1 to Ozone Protection Act)
Guide Notes 2
An authorised purchaser of a controlled substance must:
* make records concerning the substance (Clause 13(1 ), (2) and (3) of the Ozone Protection Regulation);
* retain the records for not less than 2 years )cl.13(4)); and
* at the request of an EPA authorised officer, make any record so retained available to the authorised officer for inspection (cl.13(1)(b).
Clauses 13(2) & (3) specify exactly what records must be kept. Guide Notes 3
"Restricted activity" is defined in clause 14(1) of the Ozone Protection Regulation to include the following activities:
* any manufacturing (other than foam manufacturing) or industrial activity that involves the use of a controlled substance other than CFC-113;
* the manufacture, installation, servicing or decommissioning of a controlled article that uses, or is designed or intended to use, CFC-113 (and no other controlled substance) in its operation
An activity is not to be considered to constitute the installation of a controlled article unless it involves charging the article with a controlled substance (cl.4(2)).
Guide Notes 4
A person must not sell a controlled substance (see guide notes to question 5J) without a current authorisation (cl.5 Ozone Protection Regulation)
Guide Notes 5
If the site has reclaimed the controlled substance in a marked container supplied to it by the authorised supplier of the controlled substance, it must not return to the supplier the container if it contains any substance other than the substance indicated on the container.
That is, unless the container is clearly marked so as to indicate that:
* it contains a mixture of substances; or
* its contents are adulterated or suspected of being adulterated. (cl.9(3) Ozone Protection Regulations)
SUBS ΗTUTE SHEET Rul Guide Notes 6
Occupiers of a premises with a fixed halon flooding system, must have notified, in writing, the Fire Protection Industry Association of Australia of the location and capacity of its fixed halon flooding system (cl.29 Regulations).
Guide Notes 7
If the site has installed on its premises a fixed halon flooding system, it must test the fixed halon flooding system in a manner so as not to result in the release of halon to atmosphere (cl.27(1) Ozone Protection Regulations).
Guide Notes 8
Persons are only allowed to discharge the fixed halon flooding system to extinguish a fire in an emergency (cl.27(2) Regulations).
An occupier of premises with a fixed halon flooding system must notify the Fire Protection Industry Association, as the appropriate agency, within 30 days after a discharge and must state the reason for the discharge (cl.30)
Guide Notes 9 If a site installs, or causes to be installed, any fixed halon flooding systems it must have the written approval of the EPA and do so in accordance with any conditions to which that approval is subject (cl.28 Regulations)
SUBS ΗTUTE SHEET (Rule 26) Guide Notes 10
A person who manufactures, installs or services fixed halon flooding system, must comply with any relevant code of practice (cl.31 Regulations).
Guide Notes 11
Occupiers of premises on which a fixed halon flooding system is installed, must ensure that they reclaim any halon that would otherwise be released during servicing or decommissioning (cl.32 Regulations).
Guide Notes 12
Persons in possession of the portable halon fire extinguisher must obtain the written permission of the EPA to possess a portable halon fire extinguisher which was in existence prior to March 31 , 1991 to avoid having to decommission the extinguisher and have its halon reclaimed by January 1 , 1996 (cl.37(1) Regulations).
The site must comply with any conditions of such an approval (cl.37(2))
Persons in possession of a portable halon fire extinguisher must ensure compliance with all conditions set out on the label affixed to the extinguisher (cl.36 Regulation).
Guide Notes 13
No person is allowed to discharge a portable halon fire extinguisher except for the purpose of extinguishing a fire in an emergency (cl.38 Regulations).
SUBSTTΓUTE SHEET (Rule 26) APPENDIX C
Element 1 / Question 1
Does the site purchase "controlled substances" (see Guide Notes)?
Notepad Notes:
Mr Condon was fully prepared for the interview and seemed to be extremely efficient and reliable
Element 1 / Question 3
Provide details of authorised personnel, and/or contractor(s), who carry out "restricted activities" (see Guide Note)
Notepad Notes:
Mr Twigg appeared unprepared for the meeting. While his answers were satisfactory, I am not sure how reliable this contractor is.
Element 1 / Question 4
Provide details of the authorisation of the site's supplier of controlled substances.
Notepad Notes:
Premises appeared to be very well maintained gives confidence about the organisation.
Element 1 / Question 5
Do all controlled substances suppliers containers have appropriate labelling when being returned to the supplier of that substance?
Notepad Notes:
Mr Peters, Receiving Dock Manager for last twenty years. Element 1 / Question 7
Has the site informed in writing, the Fire Protection Industry Association of Australia of the location and capacity of any halon flooding installation?
Notepad Notes:
Checked with Officer Fuller at the Association who had no record of such communication.
Element 1 / Question 8
Is all Halon flooding equipment tested in a manner that will not result in the release of halon to the atmosphere?
Notepad Notes:
No training manuals were present in the Computer room area.
SUBS TΓΓUTE SHEET (Rule 26)

Claims

1. A method of auditing using a data processing apparatus having an interface means, said method comprising the steps of:
( 1 ) providing said data processing apparatus with an auditing procedure having a plurality of questions to be answered,
(2) inputting into said data processing apparatus, by said interface means, information data regarding said auditing procedure which selects a menu to be followed during said audit, said selected menu providing said plurality of questions to said interface means with at least one question at a time,
(3) inputting into said data processing apparatus, by said interface means, information data in response to said plurality of questions to be answered said information data in response providing a further question from the menu, or providing at least one supplementary question
2. The method according to claim 1, said method including the step of providing a new or revised procedure, wherein the auditing procedure is varied by the user by means of inputting variables into the data processing apparatus by the interface means.
3. The method according to claims 1 or 2, wherein, the information data input into the data processing means in response to the plurality of questions is in the form of an answer selected from one of the group containing:
option answer; a multiple choice answer; a narrative text; a single select list answer; or spreadsheet grid answers.
4. The method according to any one of claims 1-3, the method further including the step of providing results to the audit the results being preferably in printed form.
5. A data processing system to enable the formulation of an audit using at least one audit procedure, said system comprising,
a data processing apparatus having said auditing procedure with a plurality of questions to be answered
an interface means for inputting information data into said data processing apparatus, regarding said auditing procedure which selects a menu to be followed during said audit said selected menu providing said plurality of questions to said interface means with at least one question at a time, and for inputting into said data processing apparatus, information data in response to said plurality of questions to be answered -said information data being in response to and providing a further question from the menu, or providing at least one supplementary question.
6. A data processing system according to claim 5, wherein said system revises said auditing procedure according to said information data inputted from said interface, said auditing procedure being revised using word processing skills.
PCT/AU1994/000559 1993-09-20 1994-09-20 Auditing system WO1995008810A1 (en)

Priority Applications (1)

Application Number Priority Date Filing Date Title
AU77335/94A AU7733594A (en) 1993-09-20 1994-09-20 Auditing system

Applications Claiming Priority (2)

Application Number Priority Date Filing Date Title
AUPM1315 1993-09-20
AUPM131593 1993-09-20

Publications (1)

Publication Number Publication Date
WO1995008810A1 true WO1995008810A1 (en) 1995-03-30

Family

ID=3777214

Family Applications (1)

Application Number Title Priority Date Filing Date
PCT/AU1994/000559 WO1995008810A1 (en) 1993-09-20 1994-09-20 Auditing system

Country Status (1)

Country Link
WO (1) WO1995008810A1 (en)

Cited By (6)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
FR2756961A1 (en) * 1996-12-09 1998-06-12 Saunier Christian Response and verification machine for multiple choice questions
NL1005053C2 (en) * 1997-01-21 1998-07-22 Uitgeverij En Boekhandel W J T Self-study device.
EP1049039A1 (en) * 1999-04-07 2000-11-02 Minerva NV Application apparatus and method
US8036980B2 (en) 2007-10-24 2011-10-11 Thomson Reuters Global Resources Method and system of generating audit procedures and forms
US8050988B2 (en) * 2007-10-24 2011-11-01 Thomson Reuters Global Resources Method and system of generating audit procedures and forms
US8504452B2 (en) 2008-01-18 2013-08-06 Thomson Reuters Global Resources Method and system for auditing internal controls

Citations (4)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
US4887208A (en) * 1987-12-18 1989-12-12 Schneider Bruce H Sales and inventory control system
US4992940A (en) * 1989-03-13 1991-02-12 H-Renee, Incorporated System and method for automated selection of equipment for purchase through input of user desired specifications
AU6576290A (en) * 1989-11-20 1991-05-23 Itt Commercial Finance Corp. Computerized inventory monitoring and verification system and method
EP0457000A2 (en) * 1990-05-15 1991-11-21 Hewlett-Packard Company Method and apparatus for performing patient documentation

Patent Citations (4)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
US4887208A (en) * 1987-12-18 1989-12-12 Schneider Bruce H Sales and inventory control system
US4992940A (en) * 1989-03-13 1991-02-12 H-Renee, Incorporated System and method for automated selection of equipment for purchase through input of user desired specifications
AU6576290A (en) * 1989-11-20 1991-05-23 Itt Commercial Finance Corp. Computerized inventory monitoring and verification system and method
EP0457000A2 (en) * 1990-05-15 1991-11-21 Hewlett-Packard Company Method and apparatus for performing patient documentation

Cited By (9)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
FR2756961A1 (en) * 1996-12-09 1998-06-12 Saunier Christian Response and verification machine for multiple choice questions
NL1005053C2 (en) * 1997-01-21 1998-07-22 Uitgeverij En Boekhandel W J T Self-study device.
WO1998032109A1 (en) * 1997-01-21 1998-07-23 B.V. Uitgeverij En Boekhandel W.J. Thieme & Cie. Self-tuition apparatus
EP1049039A1 (en) * 1999-04-07 2000-11-02 Minerva NV Application apparatus and method
US7818254B1 (en) 1999-04-07 2010-10-19 Juno Holdings, N.V. Application apparatus and method
USRE44626E1 (en) 1999-04-07 2013-12-03 Juno Holdings S.A.R.L. Application apparatus and method
US8036980B2 (en) 2007-10-24 2011-10-11 Thomson Reuters Global Resources Method and system of generating audit procedures and forms
US8050988B2 (en) * 2007-10-24 2011-11-01 Thomson Reuters Global Resources Method and system of generating audit procedures and forms
US8504452B2 (en) 2008-01-18 2013-08-06 Thomson Reuters Global Resources Method and system for auditing internal controls

Similar Documents

Publication Publication Date Title
Wallace et al. The disaster recovery handbook: A step-by-step plan to ensure business continuity and protect vital operations, facilities, and assets
Manuele Risk assessment & hierarchies of control
Rooney et al. Root cause analysis for beginners
US5596652A (en) System and method for accounting for personnel at a site and system and method for providing personnel with information about an emergency site
Wilson et al. Industrial safety and risk management
WO1995008810A1 (en) Auditing system
Yang et al. Human factor analysis and classification system for the oil, gas, and process industry
Sadiq OHSAS 18001 Step by Step: A Practical Guide
Dentch The ISO 45001: 2018 Implementation Handbook: Guidance on Building an Occupational Health and Safety Management System
Spellman Safety and environmental management
Dentch The ISO 45001: 2018 implementation handbook
National Response Team (US) Hazardous materials emergency planning guide
McSWEENEY et al. A human factors engineering implementation program used on offshore installations
Gleckman Proposed requirements for transnational corporations to disclose information on product and process hazards
Dungan Incorporating Resiliency Concepts into NFPA Codes and Standards
Oregon Safety and the Supervisor
Riswadkar Product recall program
Philley Emergency preparedness training tips
Münstermann et al. Manual for the management of operations during an animal health emergency
Della-Giustina Developing a safety and health program
Solomon Fire and life safety inspection manual
Gallant The Facility Manager's Guide to Environmental Health and Safety
Grimes Auditor's Role in System Design
Pardy et al. Integrated management systems
EP1870845A2 (en) A compliance facilitating system and method

Legal Events

Date Code Title Description
AK Designated states

Kind code of ref document: A1

Designated state(s): AU CA CN JP US

AL Designated countries for regional patents

Kind code of ref document: A1

Designated state(s): AT BE CH DE DK ES FR GB GR IE IT LU MC NL PT SE

121 Ep: the epo has been informed by wipo that ep was designated in this application
122 Ep: pct application non-entry in european phase
NENP Non-entry into the national phase

Ref country code: CA