ISO9001:2015 - 8.4 - Control of externally provided processes, products and services - Compliance ISO45001:2018 - 8.1.4 - Procurement - Compliance

Tick here to show procedure(s)/standard(s) have been read

  • IMSQMSLLPP001 [Purchasing]

  • Explain why the procedure has not been read for this audit?

  • IMSQMSLLTP003 [Requesting NDT Services]

  • Explain why the procedure has not been read for this audit?

  • IMSQMSLLQA005 [Assessment of suppliers & subcontractors]

  • Explain why the procedure has not been read for this audit?

  • IMSHMSLLPR008 [Control of Contractors]

  • Explain why the procedure has not been read for this audit?

  • IMSHMSLLTP041 [CoSHH Purchasing Guide]

  • Explain why the procedure has not been read for this audit?

  • ISO 9001 Section 8.4 - Control of externally provided processes, products and services

  • Explain why the procedure has not been read for this audit?

  • ISO 45001 Section 8.1.4 - Procurement

  • Explain why the procedure has not been read for this audit?

VERIFY procedure compliance with requirements within ISO 9001 / ISO 45001 standards

  • Do the procedures sufficiently detail the controls to be applied to external providers (suppliers/sub-contractors)

  • Do the procedures sufficiently detail the requirements to identify hazards and risk for contractors with regards to OH&S requirements

  • Do the procedures sufficiently detail the criteria for evaluation and selection of external providers?

  • Do the procedures sufficiently define and apply OH&S criteria for the selection of contractors?

  • Do the procedures sufficiently define the type and degree of control to be applied to outsourced functions and processes relating to OH&S compliance matters. This must include ensuring arrangements are consistent with legal requirements (i.e. LOLER inspection, compressed air system servicing etc.)

  • Do the procedures sufficiently detail the criteria for monitoring and performance evaluation of external providers?

interview

    Interview 2 purchasers (include one from each facility)
  • Name, title and facility/location of interviewee

  • Ask purchaser how bids (not suppliers) are assessed to determine which supplier to use for the order

  • Ask purchaser how suppliers (nod bids) are assessed and verified on the approved vendor list (AVL)

  • Ask purchaser how poor suppliers are discussed and how suppliers who are unacceptable for orders are communicated

  • Ask purchaser how orders are authorised and when line managers are required to approve purchase orders

  • Auditee Signature

Compliance Checks

CHECK purchase orders for correct content i.e. size, thickness, quantity, origin restrictions, client specific requirements, OH&S controls, legal requirements etc.

  • 5 random purchase orders within last quarter; including at least one CoSHH item purchase and one subcontracted activity.

CHECK suppliers were adequately assessed and, as necessary, periodically reviewed before purchase orders were placed

  • 5 random suppliers from purchase orders placed within last quarter; Include at least one new supplier where possible; Include at least one quality critical supplier.

  • 3 random suppliers from purchase orders placed for Sellafield projects withing the last financial year; Verify kick-off meetings were held and recorded for critical suppliers [see SLM 4.06.02]

CHECK material purchase orders for correct material specification determination

  • 5 random purchase orders within the last quarter.

CHECK purchase orders for revision status and revised orders are sent to suppliers

  • Last 2 amended orders

CHECK supplier feedback and trend analysis is discussed at management review meetings

  • Last 2 management meetings

CHECK orders are associated with the correct job numbers (where applicable)

  • 5 random purchase orders within the last quarter.

CHECK authorisation levels are current and up to date for organisation structure.

  • Check current list is consistent with management level authorisations

CHECK purchase orders relating to Sellafield projects have been ordered against SLM 4.06.02 requirements, including flow-down requirements to suppliers/sub-contractors

  • 3 random purchase orders for Sellafield projects

Final Sign off

Final acceptance

  • Auditor signature

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