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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?

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

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

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

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

4.2 Understanding the needs of interested parties.

  • Has senior management identified interested parties and their requirements?

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

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

4.3 Determining Scope.

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

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

  • 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?

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

  • 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.

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

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

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

5.2 Communicating the Quality Policy

  • Is the Quality policy available?

  • Is it approved by senior management?

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

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

  • Is the current policy available to external stakeholders?

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

  • Add evidence of the availability of the policy.

  • Which policies are available?

  • Please expand on the response 'other'

  • Does this cover the scope of this audit?

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

  • Are the separate policies approved by senior management?

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

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

  • Are the current policies available to stakeholders?

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

  • Add evidence of the availability of the policies.

5.3 Organisational Roles

  • Is there a company organisational chart available?

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

  • 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?

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

  • Add evidence of the business continuity plan.

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

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

  • Add evidence of the business continuity plan test

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

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

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

Clause 6.2 Objectives and planning

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

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

  • How are the objectives reviewed and communicated?

  • Please specify how the objectives are reviewed and communicated

Clause 6.3 Planning of Changes

  • ๐Ÿ“‹ 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?

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

  • Provide evidence a sample of relevant training records

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

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

  • Provide evidence and images to demonstrate the suitable infrastructure

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

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

  • Provide evidence and images to demonstrate the suitable infrastructure

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

  • Are the maintenance/ calibration certificates for equipment available.

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

  • Is the certification/maintenance report within validity period?

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

  • Provide a sample of evidence demonstrating calibration/ maintenance

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

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

  • 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?

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

  • 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.

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

  • 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?

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

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

7.4 Communication

  • How is the Internal workforce communicated with?

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

  • Provide evidence of internal communication

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

  • How are external stakeholders communicated with?

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

  • 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?.

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

  • 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?

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

  • Provide evidence of controlled documents

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

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

Clause 8 Operation

8.1 Operational Planning and Control

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

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

  • Provide evidence of the business processes

8.2 Requirements for Products and Services.

  • Can communication with customers be demonstrated?

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

  • Can the customer requirements defined?

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

  • Are the customer-defined requirements being met and achieved?

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

  • Are the customer targets discussed in a regular review?

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

8.3 Design and Development of Products and Services

  • When was the last evacuation drill completed and recorded?

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

8.2 ๐Ÿ“‹ 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.

  • Provide evidence of the business processes

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

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

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

  • 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?

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

  • Provide evidence of the business process reviewing the customer requirements

8.3 ๐Ÿ“‹ Design and Development.

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

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

  • 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?

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

  • 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?

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

  • 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?

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

  • 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?

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

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

8.4 ๐Ÿ“‹ Control of externally provided processes, products and services.

  • Does the business use external providers?

  • Can the business demonstrate it manages the external providers?

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

  • 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?

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

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

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

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

  • Provide evidence of the communication with external providers

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

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

  • Provide evidence of the feedback with external providers

8.5 ๐Ÿ“‹ 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?

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

  • 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?

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

  • 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?

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

  • 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?

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

  • Provide evidence of the customer damage report and investigation

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

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

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

  • 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?

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

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

8.6 ๐Ÿ“‹ 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.

  • Provide evidence of final documentation being provided to the customer

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

8.7 ๐Ÿ“‹ Control of non-conforming outputs.

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

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

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

  • 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?

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

  • Add evidence demonstrating the latest KPI results

  • ๐Ÿ“‹ Customer Satisfaction - Does the business monitor customer satisfaction?

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

  • Add evidence demonstrating how customer satisfaction is monitored

  • How is customer satisfaction monitored?

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

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

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

  • 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?

  • Does an internal audit schedule exist?

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

  • Has the schedule been followed?

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

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

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

9.3 Management Review

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

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

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

  • Are minutes of the meeting available?

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

  • 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?

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

  • 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

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