Internal Audit -ISO 9001, 14001 & 45001

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

05.00 Context and Leadership

• Principal Legislation The Health & Safety at Work etc Act 1974. ISO9001, ISO14001 & ISO45001 - Clause 4 & 5

• 05.01 Has the context and scope of the organisation been clearly defined and is there a management system implemented that can achieve the companies intended outcomes and objectives

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001: Clause 4.1, 4.2, 4.3 & 4.4
  03.12.00 & 03.15.02 Process Framework - Navigators

• 05.02 Can the top management demonstrate leadership and commitment to both internal and external aspects of the companies operations.

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 Clause 5.2
  03.12.00 & 03.15.02 Process Framework - Navigators

• 05.03 Does the company have a written policy statements for health and safety, the environment and quality?

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 5.2

• 05.04 Are the individual responsibilities clearly defined?

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 5.3
  03.12.00 & 03.15.02 Process Framework - Navigators
  03.10.20 Policy - Health, Safety and Environmental Policy Manual

• 05.05 Context and Leadership - Other Observations

06.00 Planning Management

• ISO9001, ISO14001 & ISO45001 - Clause 6

• 06.01 Have the risks and opportunities of the organisation been considered

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• Regulation 3, of the Management of Health and Safety at Work Regulations 1999
  ISO9001, ISO14001 & ISO45001 - Clause 6.1
  03.04.02 Aspect and Impact Register / 03.12.00 Process Framework - Navigators / 03.12.50 Risk Management

• 06.02 Have the compliance obligations of the company been reviewed?

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO 45001:2018 6.1.3
  03.12.04 & 03.04.01 Key Legislation, Regulation & Best Practice

• 06.03 Have objectives been set that are monitored and evaluated

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 6.2
  03.12.08 Management Review
  03.10.31 SQEMS Objectives

• 06.04 Planning Management - Other Observations

07.00 Human Resources and Support

• ISO9001, ISO14001 & ISO45001 - Clause 7

• 07.01 Training and competence

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 7.1 , 7.2 & 7.3
  03.12.12 Induction, Competence & Training

• 07.02 Communication

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 7.4
  03.12.07 Consultation & Communication

• 07.03 Documented information

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 7.5
  03.12.01 Control of Documents, 03.12.01.01 Document Management Detailed Procedure, 03.12.02 Control of Records

• 07.04 Human Resources and Support - Other Observations

08.00 Operational Management

• ISO9001, ISO14001 & ISO45001 - Clause 8.1

• 08.01 Planning and Control

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 8.1
  03.12.00 Process Framework - Navigators / 3.12.27 Project Management

Sample of projects

• Name of Project

• Project Number

• Project Planning and Implementation

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• Project Procurement

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 8.1
  03.12.14 Supplier Approval / 03.12.30 Sub-Contractor Management / 03.12.35 Procurement

Sample of contractors

• Name of contractor

• Contractor on the approved register?

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• Has the contractor been issued all the required documentation? See list below

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• A list of the required documents for the procurement of a contractor (03.12.30 Sub-Contractor Management)

  Select 12.02.45 Sub-Contractor Procurement Form (all contracts) 12.02.30 Sub-Contract Order Issue Letter (<25k) 12.02.19 Minor Works Subcontract Order (<25k) 12.02.02 Terms and Conditions for Minor Works (<25k) 12.02.22 Pre-start Contract Meeting Minutes (>25k) 12.02.31 Sub-contract Particulars (>25k) 12.02.30 Subcontract Order Issue Letter (>25k) 03.07.01 Subcontract Terms and Conditions (>25k)

  • 12.02.45 Sub-Contractor Procurement Form (all contracts)
  • 12.02.30 Sub-Contract Order Issue Letter (<25k)
  • 12.02.19 Minor Works Subcontract Order (<25k)
  • 12.02.02 Terms and Conditions for Minor Works (<25k)
  • 12.02.22 Pre-start Contract Meeting Minutes (>25k)
  • 12.02.31 Sub-contract Particulars (>25k)
  • 12.02.30 Subcontract Order Issue Letter (>25k)
  • 03.07.01 Subcontract Terms and Conditions (>25k)
Sample of suppliers

• Name of supplier

• Supplier on approved register?

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• 08.02 Emergency preparedness and response

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 8.2
  03.12.55 Emergency Preparation and Response

• 08.03 Operational management - Other Observations

08.03 Design Management

• 08.03 Design Management

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001 - Clause 8.3 Design and development of products and services
  03.12.19 Design Control
  Consider any statutory, regulatory, standard or code of practice requirements

• 08.03 Design management - Other Observations

09.00 Performance

• 09.01 Monitoring, measurement and evaluation arrangements

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 9.1
  03.12.75 Measuring & Monitoring Devices / 03.12.77 Customer Satisfaction and Complaints

• 09.02 Internal Audit

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 9.2
  03.12.78 Internal Audit / 03.12.79 HSEQ Site Inspection & Audit

• 09.03 Management Review

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 9.1
  03.12.08 Management Review

• 09.04 Performance evaluation - Other Observations

10.00 Performance evaluation

• 10.01 Incidents, nonconformity and continual improvement

  Compliant

  Partial compliance

  Not compliant

  Not applicable

  Not covered on this audit

• ISO9001, ISO14001 & ISO45001 - Clause 10.2
  03.12.80 Control of Non-Conformance/ 03.12.81 Analysis of Data / 03.12.82 Corrective Action

• 10.02 Performance evaluation - Other Observations

Auditor

• Name of auditor

• Signature

  Sign

• Select date

  Date