Integrated Internal ISO Audit IA2022-2023 - (FNM)

• Department

  Select

• Conducted on

  Date

• Prepared by

• Location
  Address

• ISO Standards being audited

  Select 📋 ISO 9001:2015 (Quality) 🌳 ISO 14001:2015 (Environment) 👷🏽 ISO 45001:2018 (Health and Safety) Other

  • 📋 ISO 9001:2015 (Quality)
  • 🌳 ISO 14001:2015 (Environment)
  • 👷🏽 ISO 45001:2018 (Health and Safety)
  • Other

Clause 5 Leadership

5.2 Communicating the Policy

• Is there any policies that being develop by the company?

  Yes

  No

• Which standards are integrated? (add evidence of most current version)

  Select 📋 ISO 9001:2015 (Quality) 🌳 ISO 14001:2015 (Environment) 👷🏽 ISO 45001:2018 (Health and Safety) Other

  • 📋 ISO 9001:2015 (Quality)
  • 🌳 ISO 14001:2015 (Environment)
  • 👷🏽 ISO 45001:2018 (Health and Safety)
  • Other

• Is the current policy available to stakeholders (employee / visitors)?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the availability of the policy.

• Which policies are available?

  Select 📋 ISO 9001:2015 (Quality) 🌳 ISO 14001:2015 (Environment) 👷🏽 ISO 45001:2018 (Health and Safety) Other

  • 📋 ISO 9001:2015 (Quality)
  • 🌳 ISO 14001:2015 (Environment)
  • 👷🏽 ISO 45001:2018 (Health and Safety)
  • Other

• Please expand on the response 'other'

• Does this cover the scope of this audit?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Are the separate policies approved by senior management?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the discussion of policies at a senior level.

• Are the current policies available to stakeholders?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the availability of the policies.

Clause 6 Planning

6.1 Actions to address risk and opportunities

• Have the risks to the departmental process been identified in the business continuity plan for the facility?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the business continuity plan.

• Has the plan been tested within the last two years?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the business continuity plan test

• Have departmental opportunities been identified ?

  Yes

  No

• Add evidence of the business KPI's and/ or SWOT analysis

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• 🌳 Have all the environmental impacts of the companies activities been recorded on the Aspects and Impacts Register, including Normal, Abnormal and Emergency situations within?

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of at least three impacts identified by the business

• 🌳 Compliance obligations - Has the environmental legal register been reviewed to ensure compliance and has identified any actions?<br>

  Yes

  No

  Not in audit scope

• Add evidence demonstrating at least three relevant pieces of legislation identified by the business and how they comply

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• 👷🏽 Compliance obligations - Has the health and safety legal register been reviewed to ensure compliance and has identified any actions?<br>

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating at least three relevant pieces of legislation identified by the business and how they comply

Clause 6.2 Objectives and planning

• Has the department develop any objectives or kpi's?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• How are the objectives reviewed and communicated?

  Select Regular staff meetings Annual report Website/ Internal intranet Newsletters Social media Other

  • Regular staff meetings
  • Annual report
  • Website/ Internal intranet
  • Newsletters
  • Social media
  • Other

• Please specify how the objectives are reviewed and communicated

Clause 6.3 Planning of Changes

• 📋 Provide an example of how the business has recently managed change e.g. refurbishment programme, customer requirements changes, new approval of an external provider.

Clause 7 Support

7.1 Resources

• People - Are there sufficient and suitably trained staff members within the facility in order to adequately process the requirements of the business?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence a sample of relevant training records

• Infrastructure - Are the facilities, equipment and IT systems suitable to operate effectively?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence and images to demonstrate the suitable infrastructure

• Environment for the operation - Is the environment and work culture suitable for productive working.

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence and images to demonstrate the suitable infrastructure

• Does the business use equipment that requires maintenance/ calibration?

  Yes

  No

• Are the maintenance/ calibration certificates for equipment available.

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is the certification/maintenance report within validity period?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide a sample of evidence demonstrating calibration/ maintenance

• Yes

  No

  Not in audit scope

• Organisational Knowledge - Have the operators' job descriptions taken into consideration the requirements of the role?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of job descriptions and knowledge requirements to carry out the role.

• How does the business obtain information regarding the customer's future requirements?

  Select No monitoring of Customer satisfaction Customer meetings Customer surveys Customer feedback Other

  • No monitoring of Customer satisfaction
  • Customer meetings
  • Customer surveys
  • Customer feedback
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of how the customer's future requirements are considered

• Please specify how the business obtains information regarding customers future requirements (include evidence)

7.2 Competence

• Do the staff members have the education, training or experience deemed necessary to fulfil their job role.

  Yes

  No

• Is there a program to enhance the staff members competence level?

  Yes

  No

• Provide evidence of training records and knowledge in order to carry out the role.

7.3 Awareness

• Are staff members aware of the QSHE 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?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of staff awareness of their role within the management system

7.4 Communication

• How is the Internal workforce communicated with?

  Select There is no communication internally Employee representataive meetings Social Media Newsletters Internal Intranet Notice boards Other

  • There is no communication internally
  • Employee representataive meetings
  • Social Media
  • Newsletters
  • Internal Intranet
  • Notice boards
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of internal communication

• Please specify other methods internal workforce is communicated with (include evidence)

• How are external stakeholders communicated with?

  Select There is no external communication Website Social Media Marketing newsletter/ e-mails Other

  • There is no external communication
  • Website
  • Social Media
  • Marketing newsletter/ e-mails
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of external communication

• Please specify other methods external stakeholders are communicated with (include evidence)

7.5 Documented Information

• Creating and Updating - Are documents created using standardised, controlled templates?.

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of templates and their method of control

• Control of Documents - Are the documents controlled in a manner that can not be edited by unapproved personnel?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of controlled documents

• Retention of Documents - Is document retention managed relevant to the process?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

Clause 8 Operation

8.1 Operational Planning and Control

• Are there processes available to meet the requirements of the services provided by the business?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business processes

• 🌳 Are processes consistent with a life cycle perspective?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business process including life cycle perspective

• This should include 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.

• Is the emergency contact list available and complete?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is the evacuation plan available and displayed ?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is the Fire risk assessment and First aid provisions assessment suitable and sufficient?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• When was the last emergency situation at the facility? Was this recorded?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• When was the last evacuation drill completed and recorded?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Are the first aid kits and fire protection/detection equipment adequate and regularly checked?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Are the spill kits suitable and checked?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is there adequate first aiders and fire wardens within the facility - demonstrate evidence of training?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is there a loss of containment risk of chemicals and or hazardous materials being stored/ handled?

  Yes

  No

  Not in audit scope

• When was the last spill drill completed and recorded?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Was the last emergency drill reviewed? What were the results?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Which staff are trained as the spill team? How are emergency situations communicated to visitors?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Does this Audit include ISO 9001 in it's scope?

  Yes

  No

  Not in audit scope

• This part of the audit should be heavily supported by the ISO 9001:2015 standard and the operational processes of the business.

8.2 📋 Requirements of products and services.

• Customer communication - Does the business communicate with customers in relation to feedback, handling customer property and provision of information regarding products and services.

  Yes

  No

• Provide evidence of the business processes

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Determining Services- Can the business demonstrate it has considered the customer requirements and meet the services, ensuring that regulatory requirements have been complied with?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business process considering the customer requirements

• Reviewing Services- Can the business demonstrate it has reviewed the customer requirements before and after services have commenced?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business process reviewing the customer requirements

8.3 📋 Design and Development.

• Planning - Can the business demonstrate it has determined the stages and control of design and development?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business design and development of products planning process

• Inputs - Can the business demonstrate it has considered the input stages and control of design and development?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business design and development of products input aspects

• Controls - Can the business demonstrate it has considered the control of design and development processes?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business control of design and development

• Outputs - Can the business demonstrate it has considered the output stages and control of design and development?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business design and development of products output aspects

• Changes - Can the business demonstrate it has identified and managed the change of any design and development aspect?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business managing change specific to the design and development of products

8.4 📋 Control of externally provided processes, products and services.

• Does the business use external providers?

  Yes

  No

  Not in audit scope

• Can the business demonstrate it manages the external providers?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the management of external providers such as an internal process

• Can the business demonstrate it has considered the adequacy and competency of the external providers and the services they provide?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the decision making process for choosing specific external providers

• Can the business demonstrate it communicates performance with external providers?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the communication with external providers

• Can the business demonstrate it reviews feedback of external providers?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the feedback with external providers

8.5 📋 Production and service (P&S) provision

• Control of P&S Provision - Is the service provided and delivered to the customer as per the specific customer requirement?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the customer requirements and the process being followed

• Identification and traceability- Is the service provided and delivered to the customer as per the specific customer requirement?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the customer requirements and the process being followed

• Property belonging to customers - Is the service provided and delivered to the customer as per the specific customer requirement?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the customer requirements and the process being followed

• Preservation - Have there been any reported damage of customers product since the last audit?

  Yes

  No

• Has a damage report and investigation been communicated to the customer.

  Yes

  No

• Provide evidence of the customer damage report and investigation

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Post-delivery activities - Has the final documentation been completed and present in the job file (e.g. POD, Customs report etc.)?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence and response/feedback from the customer (positive and negative)

• Control of changes - Has the business considered and managed a contingency/ deviation from the expected service?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence that the business has considered and managed a contingency/ deviation

8.6 📋 Release of P&S

• Has all the final documentation (e.g. invoice payment) checks been performed as per the customer SOP before the job file is retained.

  Yes

  No

• Provide evidence of final documentation being provided to the customer

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

8.7 📋 Control of non-conforming outputs.

• Have there been any failures/ complaints around external providers?

  Yes

  No

• Have any failures by external providers been recorded and investigated using a non-conformance process?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the a non-conformance investigation of an external providers

Clause 9 Performance Evaluation

9.1 Monitoring, measurements, analysis and evaluation

• General - Can the department demonstrate recent KPI results?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating the latest KPI results

• 📋 Customer Satisfaction - Does the department monitor customer / user satisfaction?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating how customer satisfaction is monitored

• How is customer satisfaction monitored?

  Select No monitoring of Customer satisfaction Customer meetings Customer surveys Customer feedback Other

  • No monitoring of Customer satisfaction
  • Customer meetings
  • Customer surveys
  • Customer feedback
  • Other

• 🌳 Evaluation of compliance - Can the business demonstrate specific environmental legal requirements, e.g. utilities measuring, waste management, permits/ licences.

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating how environmental compliance is being monitored

• Analysis and evaluation - How has the business reacted to KPI/ OKR/ objectives results?

  Select No reaction Celebrated success Reviewed targets Identified cause of inadequate performance Identified and acted upon inadequate performance Other

  • No reaction
  • Celebrated success
  • Reviewed targets
  • Identified cause of inadequate performance
  • Identified and acted upon inadequate performance
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating how the business has reacted to

• Please describe how the business has reacted to the KPI/ OKR/ Objective results

• Add evidence demonstrating how environmental compliance is being monitored

Clause 10 Improvement

• General - What opportunities have been identified that require improvement to improve customer satisfaction, address future needs etc.

• Non-conformity and corrective action - Is there a relevant non-conformance process available?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Demonstrate the last non-conformance and the investigation, closure and improvement processes

• Continual Improvement - Provide evidence of an example of continual improvement within the business - process updates, customer satisfaction, environmental improvements etc.

Signature of Auditor

• Name and signature of the auditor

  Sign