Internal ISO 9001:2015 Audit

• Site conducted

  Select

• Conducted on

  Date

• Prepared by

• Location
  Address

Clause 4 Context of the Organisation.

4.1 Understanding the organisation

• Have external and internal issues have been identified that are relevant to the business?

  Yes

  No

• Were these issues and any recent changes been discussed at a senior level?

  Yes

  No

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

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

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

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

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

4.2 Understanding the needs of interested parties.

• Has senior management identified interested parties and their requirements?

  Yes

  No

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

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

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

4.3 Determining Scope.

• Has the business scope been reviewed within the last 12 months?

  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 issues at a senior level.

4.4 Quality Management System

• Does the a top level business overview determine the business process and including inputs, processes and outputs?

  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 issues at a senior level.

Clause 5 Leadership

5.1 Leadership and Commitment

• Provide examples of how the management has demonstrated involvement with the management system.

  Low level

  Moderate Level

  High Level

• 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 examples how the management demonstrates a commitment to customer focus.

  Low level

  Moderate Level

  High Level

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

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

5.2 Communicating the Quality Policy

• Is the Quality policy available?

  Yes

  No

• Is it 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 issues at a senior level.

• Is the current policy available to external 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 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.

5.3 Organisational Roles

• Is there a company organisational chart 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)

• Add evidence of the organisational chart.

Clause 6 Planning

6.1 Actions to address risk and opportunities

• Have the risks to the business 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 branch opportunities been identified via the business KPI's or via a SWOT analysis?

  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)

Clause 6.2 Objectives and planning

• Has the business completed the requirements for reporting business objectives?

  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 Quality policy? Are they aware of current branch KPI's and their contribution towards it?

  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

8.2 Requirements for Products and Services.

• Can communication with customers be demonstrated?

  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)

• Can the customer requirements defined?

  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 customer-defined requirements being met and achieved?

  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 customer targets discussed in a regular review?

  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)

8.3 Design and Development of Products and Services

• 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)

• Yes

  No

  Not in audit scope

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 and available (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 business 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 business monitor customer 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

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

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• 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

9.2 Internal Audit

• Has the audit schedule been followed? Have the results documented, recorded and communicated to management?

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Does an internal audit schedule exist?

  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)

• Has the schedule been followed?

  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)

• Have the results from the internal audits been communicated with relevant parties?

  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)

9.3 Management Review

• General - Has there been a senior management meeting that discussed QSHE aspects as required on the ISO standard?

  Select Yes No

  • Yes
  • No

• When was the last senior management meeting attended by QSHE? Have minutes been recorded?

  Yes

  No

  Not in audit scope

• Please add evidence of the agenda (Example agenda attached)

• Are minutes of the meeting 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)

• Please add minutes as evidence

• Management review outputs - What opportunities for improvement, changes to the MS or resource were identified?

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, improvements etc.

Signature of Auditor

• Name and signature of the auditor

  Sign