Title Page
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Site conducted
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Business unit
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Conducted on
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Prepared by
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Location
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Standards being audited
- 9001
- 14001
- 45001
- 9120
Are there actions from a previous audit
Summary
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Summary
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include the highlights of the findings within this audit (including follow up items)
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Previous audit reference number
Follow up items/actions from previous audits
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Clause 4 Context of the Organisation (Head Office Only).
4.1 Understanding the organisation
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What external and internal issues have been identified that are relevant to Schenker? Have these issues been discussed at the last SMT meeting? Have there been any recent changes to these issues and how has that been addressed?
4.2 Understanding the needs of interested parties.
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Has the SMT identified interested parties and their requirements.
4.3 Determining Scope.
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Has the business the scope been reviewed and remains relevant?
4.4 QSHE Management System
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Does the a top level business overview determine the business process and including inputs, processes and outputs?
Clause 5 Leadership
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Is this a Head Office audit?
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1. General (Provide examples of how the SMT have demonstrated involvement with the management system).
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2. Policy (Customer Focus - How does the SMT demonstrate commitment to customer focus).
5.1 Leadership and Commitment (Branch Level)
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1. General (Provide examples of how the branch manager has demonstrated involvement with the management system).
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2. Policy (Customer Focus - How does the branch manager demonstrate commitment to customer focus).
5.2 Communicating the Policy
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1. Is the policy established?
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2. Is the current QSHE SOP 001 displayed on a notice board ?
5.3 Organisational Roles
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Is there a branch organogram available and communicated.
Clause 6 Planning
6.1 Actions to address risk and opportunities
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1. General Have the risks the business face been identified in the business continuity plan (QSHE 186) for the facility? Have branch opportunities been identified via the branch KPI's or via a SWOT analysis?
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2. Environmental Aspects. Have all the environmental impacts of the companies activities been recorded on the Aspects and Impacts Register, including Normal, Abnormal and Emergency situations within?
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3. Risk Management - As a result of the KPI's and/ or SWOT analysis, how have the branch addressed the risks and opportunities ?<br>
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4. Compliance obligations - Has the legal register been reviewed to ensure compliance and has identified any actions? (only applicable for ISO14001 and ISO45001)<br>
Clause 6.2 QSHE Objectives and planning
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2. Achieving QSHE objectives - Has the branch completed the requirements on for reporting branch KPI's? How are these reviewed and communicated ?
Clause 6.3 Planning of Changes (ISO9001 only)
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Provide an example of how the branch/ facility has recently managed change e.g. refurbishment programme, customer requirements changes, new approval of an external provider.
Clause 7 Support
7.1 Resources
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2. People - (Question to BM) Are there sufficient and suitably trained staff members within the facility in order to adequately process the requirements of the branch?
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3. Infrastructure - Are the facilities, equipment and IT systems suitable to operate effectively?
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4. Environment for the operation - Is the environment and work culture suitable for productive working.
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5. Monitoring and measuring (M&M) resources - Are the calibration certificates for M&M equipment available on the calibration list on Teams. Is the equipment within the calibration validity period?
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6. Organisational Knowledge - Has the operators job description taken into consideration the requirements of the role? How does the branch obtain information regarding the customers future requirements?
7.2 Competence
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Do the staff members have the education, training or experience deemed necessary to fulfil their job role. If not is there a program to enhance the staff members competence level?
7.3 Awareness
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Are staff members aware of the QSHE 001 policy? Are they aware of current branch KPI's and their contribution towards it? Are they aware of the latest outcomes to an incident investigation?
7.4 Communication
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1. Internal Communication - Has the latest QSHE Newsletter been read by employees? Have the latest QSHE meeting minutes been discussed with the team? Has the latest QSHE event communication / QSHE Poster been displayed?
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2. External Communication - provide a demonstration of how the business has communicated the QSHE Management System externally to the business since the last audit.
7.5 Documented Information
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2. Creating and Updating - Is the customer SOP generated on a standard template detailing author, date created/ reviewed, version number etc. as detailed in QSHE SOP 007.
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3. Control of Documents. - Are the current SOP's available on Schenker's intranet site and controlled in a manner that can not be edited by unapproved personnel. Provide evidence of at least two controlled documents.
Clause 8 Operation
8.1 Operational Planning and Control
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Provide examples of a customer SOP - how are the levels of service determined? How are the job files managed specific to the customer SOP? Is the Schenker carbon calculator used to ensure most environmentally efficient channels utilised?
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At all stages within the EMS, are all the processes involved documented as well as communicated, controlled, influenced and are consistent with a life cycle perspective? This includes goods and services that have been outsourced. Controls and influences can extend to waste disposal, transportation for delivery/collection, use and end of life treatment.
8.2 Emergency Preparedness and Response.
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A1. Is the emergency contact list available and complete (QSHE 167)
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A2. Is the evacuation plan available and displayed (QSHE 130)?
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A3. Is the Fire risk assessment and First aid provisions assessment suitable and sufficient
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B. When was the last emergency situation at the facility? Was this recorded?
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C1. Are the spill kits suitable and checked (QSHE 166)
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C2. Are the first aid kits and fire protection/detection equipment adequate and checked?
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D1. When was the last spill drill completed and recorded (QSHE 127)
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D2. When was the last evacuation drill completed and recorded (QSHE 127)
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E. Was the last emergency drill reviewed? What were the results?
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F1. Which staff are trained as the spill team? How are emergency situations communicated to visitors?
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F2. Is there adequate first aiders and fire wardens within the facility - demonstrate evidence of training
8.2 Requirements of products and services. (Audit this clause on template QSHE 132B)
8.3 Design and Development. (There is a permissible exclusion for this clause).
8.4 Control of externally provided processes, products and services. (ISO9001 only)
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Demonstrate three external providers are detailed on the approved supplier list (ASL). Has an external provider audit been completed (QSHE 151)?
8.5 Production and service provision (ISO9001 only)
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1. Control of P&S Provision - Is the service provided and delivered to the customer as per the specific customer SOP. Provide evidence of at least two customer SOPs related to current job files being audited
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2. Identification and traceability - What is the relevant operating systems for the current job being audited? provide a full audit trail for each of the steps in the process for at least two job files.
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3. Property belonging to customers - Are the customers (products/goods/documentation/labelling) protected from loss/damage as per both Schenker and customers SOP's.
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4. Preservation - Demonstrate last damage report and communication of such to customer.
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5. Post delivery activities - Has the final documentation been completed and present in the job file (e.g. POD, Customs report etc.)? Demonstrate response and feedback from the customer (positive and negative)
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6. Control of changes - Demonstrate a contingency/ deviation from a expected service ensuring it has been managed in a prescribed/controlled way.
8.6 Release of P&S (ISO9001 only)
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Has all the final documentation (e.g. invoice payment) checks been performed as per the customer SOP before the job file is retained.
8.7 Control of non-conforming outputs. (ISO9001 only)
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Have any failures by providers been recorded on the non conformance database or Incident Database and investigated as per QSHE SOP 031.
Clause 9 Performance Evaluation
9.1 Monitoring, measurements, analysis and evaluation
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1. General - Can the branch demonstrate recent KPI results?
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2. Customer Satisfaction - How does the branch monitor customer satisfaction? Customer meetings, surveys, feedback?
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2. (Env. Only) Evaluation of compliance - Is the branch aware specific environmental legal requirements, e.g. utilities measuring, waste management, permits/ licences. (QSHE carry out desk top legal reviews)
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3. Analysis and evaluation - How has the branch reacted to KPI results?
9.2 Internal Audit (Head Office Only)
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Has the audit schedule been followed? Have the results documented, recorded and communicated to management?
9.3 Management Review (Head Office Only)
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1. General - When was the last SMT meeting attended by QSHE? Have minutes been recorded?
- OK
- Finding (FID)
- Minor Non Conformance (Min NC)
- Major Non Conformance (Maj NC)
- Not Applicable
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2. Management review inputs - Have the requirements of the management review been discussed across the year?
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3. Management review outputs - What opportunities for improvement, changes to the MS or resource needs have been identified?
Clause 10 Improvement
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1. General - What opportunities have been identified that require improvement to improve customer satisfaction, address future needs etc.
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2. Non-conformity and corrective action - What are the NC statistics for the branch as detailed on iAuditor? Demonstrate the last customer complaint and the investigation, closure and improvement processes
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3. Continual Improvement - Provide evidence of an example of continual improvement within the branch - process updates, customer satisfaction, environmental improvements etc.
Signature of Auditor
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