Documents and Records Audit

• Site conducted

  Select

• Audit Number

• Prepared by

• Conducted on

  Date

• Auditor

• Reviewer

• Auditees

Document Audit

• Is there a document hierarchy for the company HSEQ document system?

  Yes

  No

  N/A

• Are the documents correctly identified for its level?

  Yes

  No

  N/A

• Do the Level 1 and Level 2 documents all have approval signatures?

  Yes

  No

  N/A

• Do the Level 1 and Level 2 documents have review dates?

  Yes

  No

  N/A

• Are the review dates still valid?

  Yes

  No

  N/A

• Are editable versions of Level 1 and Level 2 documents available to staff?

  Yes

  No

  N/A

• Are working copies of documents easily available to staff?

  Yes

  No

  N/A

• Do staff know where to access:

• Procedures

• Policies

• Work Instructions

• Forms

• Records

• Anny Comments?

• Is there a document review process in place?

  Yes

  No

  N/A

• Is the process valid?

  Yes

  No

  N/A

• Are there documented records of review comments?

  Yes

  No

  N/A

• Are superseded documents archived to prevent unauthorised use?

  Yes

  No

  N/A

• Do all documents have:

  Yes

  No

  N/A

• A Document Title

  Yes

  No

  N/A

• Document Identifier

  Yes

  No

  N/A

• Approval Date

  Yes

  No

  N/A

• Review Date

  Yes

  No

  N/A

• Is the document register current?

  Yes

  No

  N/A

• Are staff informed of changes and updates to documents?

  Yes

  No

  N/A

• Are documents version controlled?

  Yes

  No

  N/A

Records Audit

• Is there a register of all records available?

  Yes

  No

  N/A

• Are all records within the 7 years retention period?

  Yes

  No

  N/A

• Do staff have access to records?

  Yes

  No

  N/A

• Do staff know how to retrieve records?

  Yes

  No

  N/A

• Are record types correctly identified?

  Yes

  No

  N/A

• Do every division have records applicable to them?

  Yes

  No

  N/A

• Are each division’s records current and correctly saved?

  Yes

  No

  N/A

• Are the records available to the division’s staff?

  Yes

  No

  N/A

• Is there document disposal plan for expired records?

  Yes

  No

  N/A

• Is the procedure annually reviewed?

  Yes

  No

  N/A

• Audit Summary.

  Yes

  No

  N/A