Information
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Conducted on
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Auditors
Leadership
Leadership and commitment
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Top management is identified in Organisation chart
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Type of nonconformity
Policies
Quality Policy
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Is the Quality Policy signed by Top Management
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Type of nonconformity
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Is the Quality Policy communicated to all employees?
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Type of nonconformity
Health & Safety Policy
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Is the H&S Policy signed by Top Management
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Type of nonconformity
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Is the H&S Policy communicated to all employees?
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Type of nonconformity
Environment Policy
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Is the Environment Policy signed by Top Management
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Type of nonconformity
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Is the Environment Policy communicated to all employees?
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Type of nonconformity
Planning
Stakeholder and Context Analysis- ref procedure IMS14
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Has there been any change in risks and opportunities?
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Verify if the Risk and Opportunity Log has been updated with current information.
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Verify how actions are planned to address risks and opportunities.
Legal Resigter
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Verify if the legal register is up to date.
Aspects Resigter
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Verify if the Aspects register is up to date.
Compliance register
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Verify if the compliance register is up to date (Document controlled by Technical Director)
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Details of last compliance audit
Quality, H&S and Environmental objectives
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Verify Quality, H&S and Environmental objectives are established at relevant functions, levels and processes.
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Type of nonconformity
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Verify the objectives are..
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Type of nonconformity
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consistent with the relevant policies.
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measurable.
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relevant to the conformity of products and services and to the enhancement of customer satisfaction.
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monitored.
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updated as appropriate.
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aligned with all applicable requirements.
Document review
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Verify the existing procedures
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Master documents list updated as required
Performance evaluation
Control of externally provided processes, products and services
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Verify how the organization determines and applies criteria for the evaluation, selection, monitoring of performance and re-evaluation of external providers.
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Supplier evaluation example
Monitoring, measurement, analysis and evaluation
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Verify the organization analyzes and evaluates:
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Type of nonconformity
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conformity of products and services.
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the degree of customer satisfaction.
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the performance and effectiveness of QMS, EMS and SMS
Incident investigation and CA/PA
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Verify the incident reports and register
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Are the incidents logged and reported to relevant parties?
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Were there any environmental incidents in the year?
Internal audit
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Verify audits are conducted at planned intervals
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Verify organization has established, implemented, and maintains an internal audit program
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Type of nonconformity
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Auditors are objective and impartial
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Audit results reported to relevant management
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Verify appropriate correction and corrective actions are taken without delay
Management review
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Verify management reviews QMS, EMS and SMS at planned intervals
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Type of nonconformity
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Verify inputs to management review includes:
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status of actions from previous management reviews
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customer satisfaction and feedback from relevant interested parties
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the extent to which objectives have been met
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audit results
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adequacy of resources
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opportunities for improvement
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Verify outputs to management review includes:
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opportunities for improvement
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resource needs
Sign Off
Sign Off
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I, the undersigned, have completed this audit in an accurate manner. I have attached evidence as required and declare this assessment complete.
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Full name and signature of auditor
