HR Internal Audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

ISO 9001:2008 - Quality Management Systems

4.2.4 Control of records

• Is there a documented procedure to define the controls needed for the identification, storage, protection, retrieval, retention and disposition of records?

  Yes

  No

  N/A

• Are the records legible, readily identifiable and retrievable?

  Yes

  No

  N/A

6.2.2 Competence, training and awareness

• The organisation shall;

• a) determine the necessary competence for personnel performing work affecting conformity to product requirements

  Yes

  No

  N/A

• b) where applicable, provide training or take other actions to achieve the necessary competence and evaluate the effectiveness of any actions taken

  Yes

  No

  N/A

• c) ensure that it's personnel are aware of the relevance and importance of their activities and how they contribute to the achievement of the quality management objectives

  Yes

  No

  N/A

• d) maintain appropriate records of education, training, skills and experience

  Yes

  No

  N/A

7.2 Customer-related processes

7.2.1 Determination of requirements related to the product

• The organisation shall determine

• a) requirements specified by the customer, including the requirements for delivery and post-delivery activities<br><br>NOTE: Post delivery include, for example, actions under warranty provisions, contractual obligations such as maintenance services, and supplementary services such as recycling or final disposal.

  Yes

  No

  N/A

• b) requirements not stated by the customer but necessary for specified or internal use, where known,

  Yes

  No

  N/A

• c) statutory and regulatory requirements applicable to the product

  Yes

  No

  N/A

• d) any additional requirements considered necessary by the organisation

  Yes

  No

  N/A

7.2.2 Review of requirements related to the product

• The organisation shall review the requirements related to the product. This review shall be conducted prior to the organisation's commitment to supply a product to the customer (e.g. submission of tenders, acceptance of contracts or orders, acceptance of changes to contracts or orders) and shall ensure that;

• a) product requirements are defined

  Yes

  No

  N/A

• b) contract or order requirements differing from those previously expressed are resolved

  Yes

  No

  N/A

• c) the organisation has the ability to meet defined requirements

  Yes

  No

  N/A

• Where product requirements are changed, the organisation shall ensure that relevant documents are amended and that relevant personnel are made aware of the changed requirements.

7.2.3 Customer communication

• The organisation shall determine and implement effective arrangements for communicating with customers in relation to

• a) product information

  Yes

  No

  N/A

• b) enquiries, contracts or order handling, including amendments

  Yes

  No

  N/A

• c) customer feedback, including customer complaints

  Yes

  No

  N/A

8 Measurement, analysis and improvement

8.1 General

• The organisation shall plan and implement the monitoring, measurement, analysis and improvement processes needed to;

• a) demonstration conformity to product requirements

  Yes

  No

  N/A

• b) ensure conformity of the quality management system

  Yes

  No

  N/A

• c) to continually improve the effectiveness of the quality management system

  Yes

  No

  N/A

8.4 Analysis of data

• The organisation shall determine, collect and analyse appropriate data to demonstrate the suitability and effectiveness of the quality management system and to evaluate where continual improvement of the effectiveness of the quality management system can be made. This shall include data generated as a result of monitoring and measurement and from other relevant sources.
  
  The analysis of data shall provide information relating to;

• a) customer satisfaction

  Yes

  No

  N/A

• b) conformity to product requirements

  Yes

  No

  N/A

• c) characteristics and trends of processes and products, including opportunities for preventive action

  Yes

  No

  N/A

8.5 Improvement

8.5.1 Continual improvement

• The organisation shall continually improve the effectiveness of the quality management system through the use of the quality policy, quality objectives, audit results, analysis of data, corrective and preventive actions and management review.

8.5.2 Corrective action

• The organisation shall take action to eliminate the causes of nonconformities in order to prevent recurrence. Corrective actions shall be appropriate the the effects of the nonconformities encountered.
  
  A documented procedure shall be established to define requirements for;

• a) reviewing nonconformities (including customer complaints)

  Yes

  No

  N/A

• b) determining the causes for nonconformities

  Yes

  No

  N/A

• c) evaluating the need for action to ensure that nonconformities do not recur

  Yes

  No

  N/A

• d) determining and implementing action needed

  Yes

  No

  N/A

• e) records of the results of actions taken

  Yes

  No

  N/A

• f) reviewing the effectiveness of the corrective action taken

  Yes

  No

  N/A

8.5.3 Preventive action

• The organisation shall determine action to eliminate the causes of potential nonconformities in order to prevent the occurrences. Preventive actions shall be appropriate to the effects of the potential problems.
  
  A document procedure shall be established to define requirements for;

• a) determining potential nonconformities and their causes

  Yes

  No

  N/A

• b) evaluating the need for action to prevent occurrence of nonconformities

  Yes

  No

  N/A

• c) determining and implementing action needed

  Yes

  No

  N/A

• d) record of results of action taken

  Yes

  No

  N/A

• e) reviewing the effectiveness of the preventative action taken

  Yes

  No

  N/A

AS/NZS 4801:2001 Occupational health and safety management systems

4.2 OHS Policy

• There shall be an occupational health and safety policy authorised by the organisations top management, that clearly states overall OHS objectives and demonstrates a commitment to improving OHS performance.
  
  The policy shall;

• a) be appropriate to the nature and scale of the organisation's risks

  Yes

  No

  N/A

• b) include the commitment to establish measurable objectives and targets to ensure continued improvement aimed at email inaction of work-related injury and illness

  Yes

  No

  N/A

• c) include a commitment to comply with relevant OHS legislation and with other requirements placed upon the organisation or to which the organisation subscribes

  Yes

  No

  N/A

• d) be documented, implemented, maintained and communicated to all employees

  Yes

  No

  N/A

• e) be available to interested parties

  Yes

  No

  N/A

• f) be reviewed periodically to ensure it remains relevant and appropriate to the organisation

  Yes

  No

  N/A

4.3 Planning

4.3.2 Legal and other requirements

• The organisation shall establish, implement and maintain procedures to identify and have access to all legal and other requirements that are directly applicable to the OHS issues related to its activies, products or services, including relevant relationships with contractors or suppliers. <br><br>The organisation shall keep this information up-to-date. It shall communicate relevant information on legal and other requirements to its employees.

  Yes

  No

  N/A

4.4.7 Emergency preparedness and response

• All potential emergency situations shall be identified and emergency procedures documented for preventing and mitigating the associated illness and injury.

• The organisation shall review, the revise, where necessary, it's emergency preparedness and response procedures, in particular, after the occurrence of incident or emergency situations

  Yes

  No

  N/A

4.5 Measurement and evaluation

4.5.1 Monitoring and measurement

4.5.1.1 General

• The organisation shall establish, implement and maintain documented procedures to monitor and measure on a regular basis the key characteristics of its operations and activities that an cause illness and injury. The effectiveness of these measures shall be evaluated.
  
  Appropriate equipment for monitoring and measurement related to health and safety risks shall be identified, calibrated, maintained and stored as necessary. Records of this process shall be retained according to the organisations procedure.
  
  With regards to the OHSMS, the organisation shall establish, implement and maintain procedures to monitor;

• a) performance, effectiveness of relevant operational controls and conformance with the organisations objectives and targets

  Yes

  No

  N/A

• b) compliance with relevant OHS legislation

  Yes

  No

  N/A

4.5.1.2 Health surveillance

• The organisation shall identify those situations where employee health surveillance is required and shall implement appropriate systems.

• Employees shall have access to their own individual results

  Yes

  No

  N/A

• Where specified by legislation, the health of employees exposed to specific hazards shall be monitored and recorded.

  Yes

  No

  N/A

4.5.2 Incident investigation, corrective and preventive action

• The organisation shall establish, implement and maintain procedures for;

• a) investigating, responding to, and taking action to minimise any harm caused from incidents

  Yes

  No

  N/A

• b) investigating and responding to system failures

  Yes

  No

  N/A

• c) initiating and completing appropriate corrective and preventative action

  Yes

  No

  N/A

4.5.3 Records and records management

• The organisation shall establish, implement and maintain procedures for the identification , maintenance and disposition of OHS records, as well as the results of audits and reviews.

  Yes

  No

  N/A

4.5.4 OHSMS Audit

• The organisation shall establish, implement and maintain an audit program and procedures for periodic OHSMS audits to be carried out by a competent person, in order to determine whether the OHSMS;

• a) conforms to planned arrangements for OHS management including the requirements of this Standard

  Yes

  No

  N/A

• b) has been properly implemented and maintained

  Yes

  No

  N/A

• c) is effective in meeting the organisations policy as well as objectives and targets for continual OHS improvement

  Yes

  No

  N/A

• d) provides information on the results of audits to management and employees

  Yes

  No

  N/A

ISO 14001:2004 - Environmental management systems

4.2 Environmental policy

• Top management shall define the organisations environmental policy and ensure that, within the defined scope of its environmental management system, it;

• a) is appropriate to the nature, scale and environmental impacts of its activities, products and services.

  Yes

  No

  N/A

• b) includes a commitment to continual improvement and prevention of pollution?

  Yes

  No

  N/A

• c) includes a commitment to comply with applicable legal requirements and with other requirements to which the organisation subscribes which relate to its environmental aspects

  Yes

  No

  N/A

• d) provides the framework for setting and reviewing environmental objectives and targets

  Yes

  No

  N/A

• e) is documented, implemented and maintained

  Yes

  No

  N/A

• f) is communicated to all persons working for or on behalf of the organisation

  Yes

  No

  N/A

• g) is available to the public (eg; company website)

  Yes

  No

  N/A

4.4 Implementation and operation

4.4.1 Resources, roles, responsibility and authority

• Management shall ensure the availability of resources essential to establish, implement, maintain and improve the environmental management system. Resources include human resources and specialised skills, organisational infrastructure, technology and financial resources.
  
  Roles, responsibilities and authorities shall be defined, documented and communicated in order to facilitate effective environmental management.
  
  The organisation's top management shall appoint a specific management representative(s) who, irrespective of other responsibilities, shall have defined roles, responsibilities and authority for;

• a) ensuring that an environmental management system is established, implemented and maintained in accordance with the requirements of this International Standard

  Yes

  No

  N/A

• b) reporting to top management on the performance of the environmental management system for review, including recommendations for improvements.

  Yes

  No

  N/A

4.4.3 Communication

• With regard to it's environmental aspects and environmental management system, the organisation shall establish, implement and maintain a procedure(s) for;

• a) internal communication among various levels and functions of the organisation

  Yes

  No

  N/A

• b) receiving, documenting and responding to relevant communication from external interested parties

  Yes

  No

  N/A