ISO 9001:2015 and 45001:2018

• Conducted on

  Date

• Prepared by

• Location
  Address

• Department/Area

  Select Central CIS Compliance Infrastructure Services SHEF Training

  • Central
  • CIS
  • Compliance
  • Infrastructure
  • Services
  • SHEF
  • Training

• Process under audit

• Process details

• Lead Auditee

• Others involved

• Is this Clause being audited?

  Yes

  No

4.1 Understanding the organisation and its context

• When Babcock RSME determines its strategic direction, are external and internal issues are considered?

  Internal only

  External only

  Both

  Neither

• How does it determine this then?

• Why do you not consider external issues?

• Why do you not consider internal issues?

• How do you monitor and review these identified issues?

• How often do you review these?

  Select Daily Weekly Monthly Quarterly Bi-annually Annually

  • Daily
  • Weekly
  • Monthly
  • Quarterly
  • Bi-annually
  • Annually

4.2 Understanding the needs and expectations of Interested Parties

• Do you have a record of your Interested Parties?

  Compliant

  Non-Compliant

  N/A

• When was it last reviewed?

  Date

• Who is consulted for validation of the IP list? (e.g. peer review, meeting input)

  SLT

  Department Managers

  Babcock Land Board

  Others

• Evidence of current IP list

  Media

• Yes

  No

  N/A

4.3 QMS: Determining the scope of the QMS

• Does the scope refer to the issues at 4.1?

  Compliant

  Non-Compliant

  N/A

• Does the scope refer to the IP’s at 4.2?

  Compliant

  Non-Compliant

  N/A

• Are the products and services considered in the scope?

  Compliant

  Non-Compliant

  N/A

4.4 Quality and H&S Management Systems and their processes

• H&S: Do you have defined H&S processes for the work you are doing?

  Yes

  No

  N/A

• H&S: How do you communicate these processes?

• Evidence of this communication

  Media

• H&S: how are these processes maintained, and if necessary, improved?

4.4.1 QMS Processes only

• QMS: How have any process requirements been determined?

• Are there enough resources to manage the processes?

  Yes

  No

  N/A

• Is a process being formally checked at this audit?

  Yes

  No

  N/A

• State which Process is being checked.

• Who is responsible for the process?

• QMS: are there any criteria's and methods applied to this process?

  Yes

  No

  N/A

• Examples seen

• Evidence

  Media

• How are these criteria measured?

• Are the outcomes acted on?

  Yes

  No

  N/A

• How are they acted on?

  Select Assurance Meeting Management Review Meeting Other

  • Assurance Meeting
  • Management Review Meeting
  • Other

• Detail other method

• Did this generate any improvements?

  Yes

  No

  N/A

• How are the improvements recorded and monitored?

4.4.2 Process documentation

• Is the process being checked formally written?

  Yes

  No

  N/A

• Is it in date?

  Compliant

  Non-Compliant

  N/A

• If process requires it - has all relevant documented information been retained?

  Yes

  No

  N/A

• Is this Clause being audited?

  Yes

  No

5.1 Leadership & Commitment

• Is this sub-clause being audited?

  Yes

  No

• Who do you understand to be overall responsible for H&S at the RSME?

  RSME Contract Director

  Defence H&S Team

  Compliance Manager

  Quality Auditor

  Other

5.1.1 QMS: General

• Who do you understand to be overall responsible for QMS at the RSME?

  RSME Contract Director

  Defence H&S Team

  Compliance Manager

  Quality Auditor

  Other

Managers:

• Present in this audit?

  Yes

  No

• Does the business consider resource levels?

  Yes

  No

  N/A

• Does this include succession planning? (including sick/annual leave cover)

  Yes

  No

• Do you encourage improvements?

  Yes

  No

• How do you do this?

• Are there any processes that you are responsible for?

  Yes

  No

• Process examples

• Last reviewed

  Date

• Example of a review change

• Are you allowed feedback and suggestions for improvement?

  Yes

  No

• Compliant?

  Compliant

  Non-Compliant

  N/A

5.1.2 QMS: Customer Focus

• Are there any statutory, client or other requirements relevant to the process?

  Yes

  No

  N/A

• What are these?

• Specific to the process what are your key risks?

• Specific to the process what are your key opportunities?

• What checks do you undertake to ensure that customers satisfaction is maintained?

• Can you enhance the customer satisfaction?

  Yes

  No

• How is this done?

  Yes

  No

  N/A

• Compliant?

  Compliant

  Non-Compliant

  N/A

• Complaint?

  Compliant

  Non-Compliant

  N/A

5.2 Policies - QMS and H&S

• Is this sub-clause being audited?

  Yes

  No

• Is this audit on Senior Managers?

  Yes

  No

  N/A

H&S Objective questions

• Does the policy show commitment to H&S working conditions?

  Yes

  No

  N/A

• Does it include commitment to Legal & Other Requirements?

  Yes

  No

• Does it include commitment to eliminate hazards and reduce risk?

  Yes

  No

• Does it include commitment to continual H&S improvements?

  Yes

  No

• Does it include commitment to consultation with and participation of workers/workers reps?

  Yes

  No

• When was it last reviewed/issued?

  Date

• Who undertook this review?

  RSME Contract Director

  Defence H&S Team

  Compliance Manager

  Quality Auditor

  Other

• State who

5.2.1 QMS: Establishing the Quality Policy

• Does the QP support the strategic direction and objectives of the company?

  Yes

  No

  N/A

• When was it last reviewed/issued?

  Date

• Who undertook this review?

  RSME Contract Director

  Defence H&S Team

  Compliance Manager

  Quality Auditor

  Other

• Did the reviewer make any changes?

  Yes

  No

  N/A

• Can you demonstrate what these changes were?

  Yes

  No

  N/A

• Compliant?

  Compliant

  Non-Compliant

  N/A

• Do you know where you can obtain the latest version of the H&S and QMS Policy Statements?

  Yes

  No

  N/A

• Can they show how they get to this?

• Do you know how you would approach obtaining this?

  Yes

  No

  N/A

• Do you have a Staff noticeboard?

  Yes

  No

  N/A

• Does this cover H&S and QMS?

  H&S Only

  QMS Only

  H&S and QMS

  Neither H&S nor QMS

5.2.2 QMS: Communicating the Quality Policy

• Are there any other methods of communication for the QMS Policy? (eg induction, PDR, email)

  Yes

  No

  N/A

• State what these are:

• Is the policy available to people outside the organisation?

  Yes

  No

  N/A

• Compliant?

  Compliant

  Non-Compliant

  N/A

• Compliant?

  Compliant

  Non-Compliant

  N/A

5.3 Organizational roles, responsibilities and authorities

• Is this sub-clause being audited?

  Yes

  No

• Compliant?

  Compliant

  Non-Compliant

  N/A

5.4 H&S: Consultation and participation of workers

• Is this sub-clause being audited?

  Yes

  No

• Compliant?

  Compliant

  Non-Compliant

  N/A

• Is this Clause being audited?

  Yes

  No

6.1 - Actions to address risks and opportunities

• Yes

  No

  N/A

6.1.1 H&S: General

• Yes

  No

  N/A

6.1.2 H&S: Hazard identification and assessment of risks and opportunities

• Yes

  No

  N/A

6.1.2.1 H&S: Hazard identification

• Yes

  No

  N/A

6.1.2.2 H&S: Assessment of OH&S risks and other risks to the OH&S management system

• Yes

  No

  N/A

6.1.2.3 H&S: Assessment of OH&S opportunities and other opportunities for the OH&S management system

• Yes

  No

  N/A

6.1.3 H&S: Determination of legal requirements and other requirements

• Yes

  No

  N/A

6.1.4 H&S: Planning action

• Yes

  No

  N/A

6.2 H&S: OH&S objectives and planning to achieve them

• Yes

  No

  N/A

6.2.1 H&S: OH&S objectives

• Yes

  No

  N/A

6.2.2 H&S: Planning to achieve OH&S objectives

• Yes

  No

  N/A

6.2 QMS: Quality objectives and planning to achieve them

• Yes

  No

  N/A

6.3 QMS: Planning of changes

• Yes

  No

  N/A

• Is this Clause being audited?

  Yes

  No

7.1 - Resources

• Is this sub-clause being audited?

  Yes

  No

• H&S: Are you provided with H&S resource (people/equipment/documentation/etc) to undertake the process?

  Yes

  No

  N/A

• H&S: Examples of this?

7.1.1 QMS: General

• Internal Resource: How do you identify the capabilities?

• Internal Resource: Are there any constraints?

• External Resources: What resources required to implement, maintain and continually improve the QM System?

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.1.2 QMS: People

• Are there sufficient staff to effectively deliver the process?

  Yes

  No

• Is this due to current vacancy?

  Yes

  No

• Explain what reason is causing the staffing issue for the process.

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.1.3 QMS: Infrastructure

• Are there assigned work spaces/buildings provided?

  Yes

  No

  N/A

• Are staff provided with the correct equipment to deliver the process?

  Yes

  No

  N/A

• Are there any transportation requirements?

  Yes

  No

  N/A

• How is this transportation provided?

• Do you have IT requirements?

  Yes

  No

• Do you have full access to the IT areas required?

  Yes

  No

• Explain the issues

• Do these include external systems (i.e. MOD)

  Yes

  No

• Examples of these seen in use?

  Yes

  No

  N/A

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.1.4 QMS: Environment for the operation of processes

• Are the buildings in a good state for their use?

  Yes

  No

  N/A

• Any light, noise, heat, etc issues?

  Yes

  No

  N/A

• Detail these and supply evidence

• Do staff have any specific issues?

  Yes

  No

  N/A

• What are the issues?

• Have the issues been reported?

  Yes

  No

• Why not?

• Is the issue being actively resolved?

  Yes

  No

  N/A

• What is stopping/delaying this?

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.1.5 QMS: Monitoring and measuring resources

7.1.5.1 QMS: General

• Are the resources provided suitable for this process?

  Yes

  No

  N/A

• Are they maintained? evidence required

  Yes

  No

  N/A

• What is the issue?

• Has it been reported?

  Yes

  No

  N/A

• Is it likely to be resolved?

  Yes

  No

  N/A

• Do you know why?

  Yes

  No

  N/A

• Reason

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.1.5.2 QMS: Measurement traceability

• Is any there any form of measuring within the process require calibration or verification?

  Yes

  No

  N/A

• What needs calibrating/verification?

• How is this recorded so you know it is not missed?

• Check of calibration records - were they correct?

  Yes

  No

  N/A

• What was incorrect?

• if an item is identified as failed, faulty, deteriorated how are they identified and segregated?

• Compliant?

  Compliant

  Non-Compliant

  N/A

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.1.6 QMS: Organizational knowledge

Manager Only

• Present in this audit?

  Yes

  No

• How do you determine what organisational knowledge is required for the process?

• Are there currently any gaps in organisational knowledge?

How is this organisational knowledge obtained?

• Internally?

• Externally?

Staff

• Is there any specialised organisational knowledge needed for this process?

  Yes

  No

  N/A

• How is this imparted to you? (on the job, training, etc)

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.2 - Competence

• Is this sub-clause being audited?

  Yes

  No

Managers only

• Present in this audit?

  Yes

  No

• How do you determine the necessary competency of the staff for this process?

• How do you manage the competency to ensure they remain competent?

• Inspect management records of competency - were they correct?

  Yes

  No

  N/A

• What was found to be incorrect?

  Yes

  No

  N/A

• How would competency be acquired?

• Do you evaluate the effectiveness of actions to provide competence?

  Yes

  No

  N/A

• Is any documented information retained?

  Yes

  No

  N/A

All Staff

• Do you have any specific training/qualifications/professional memberships required?

  Yes

  No

  N/A

• What are these?

• Are they in date?

  Yes

  No

  N/A

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.3 - Awareness

• Is this sub-clause being audited?

  Yes

  No

• Are you aware of the OH&S policy?

  Yes

  No

  N/A

• Are you aware of the OH&S Objectives

  Yes

  No

  N/A

• Are you aware of the QMS policy?

  Yes

  No

  N/A

• Are you aware of the QMS Objectives

  Yes

  No

  N/A

• Are you aware of the implications of not following the H&S system?

  Yes

  No

  N/A

• Are you made aware of any relevant H&S incidents and the outcomes of investigations?

  Yes

  No

  N/A

• How are you made aware of hazards, risks and required actions?

  Yes

  No

  N/A

• What would you do if you felt that you were being put at risk?

• Do you understand how your work influences and impacts the QMS?

  Yes

  No

  N/A

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.4 - Communication

• Is this sub-clause being audited?

  Yes

  No

7.4.1 H&S: General

Managers

• Present in this audit?

  Yes

  No

  N/A

• What information is required to be communicated?

• Who is the audience?

  Internal only

  External only

  Both

  Neither

• How is this communicated?

  Yes

  No

  N/A

• Evidence of some comms:

  Media

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.4.2 H&S: Internal Communication

• How are internal comms done?

• What was the last comms subject?

• What was the date of this?

  Date

• Are you allowed to pass any feedback?

  Yes

  No

  N/A

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.4.3 H&S: External Communication

• Do you have to give any H&S comms to external parties?

  Yes

  No

  N/A

• What do you give?

• Compliant?

  Compliant

  Non-Compliant

  N/A

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.5 - Documented information

• Is this sub-clause being audited?

  Yes

  No

• Yes

  No

  N/A

7.5.1 - General

• Section not directly auditable - conformity to other sections drive this conformity.<br>Did 7.5.2 and 7.5.3 pass?

  Compliant

  Non-Compliant

  N/A

7.5.2 - Creating and updating

• Example of document 1: detail its name

• Is it clearly identified - title, date, author, URN?

  Yes

  No

  N/A

• Record expiry date.

  Date

• What is the issue?

• What format is this in?

• How is it reviewed for suitability?

• Example of document 2: detail its name

• Is it clearly identified - title, date, author, URN?

  Yes

  No

  N/A

• Record expiry date.

  Date

• What format is this in?

• How is it reviewed for suitability?

• What is the issue?

• Example of document 3: detail its name

• Is it clearly identified - title, date, author, URN?

  Yes

  No

  N/A

• Record expiry date.

  Date

• What is the issue?

• What format is this in?

• How is it reviewed for suitability?

• Compliant?

  Compliant

  Non-Compliant

  N/A

7.5.3 - Control of documented information

• Are the above 3 documents readily available for use?

  Yes

  No

  N/A

• How are any completed forms/reports/etc stored?

  Hardcopy

  Electronic filing

  Email record

  All or combination

• How are the documents controlled?

• What is the retention and disposal method?

• How is the knowledge of the retention and disposal kept?

• Compliant?

  Compliant

  Non-Compliant

  N/A

• Compliant?

  Compliant

  Non-Compliant

  N/A

• Is this Clause being audited?

  Yes

  No

8.1 - Operational planning and control

• Yes

  No

  N/A

8.1.1 H&S: General

• Yes

  No

  N/A

8.1.2 H&S: Eliminating hazards and reducing OH&S risks

• Yes

  No

  N/A

8.1.3 H&S: Management of change

• Yes

  No

  N/A

8.1.4 H&S: Procurement

• Yes

  No

  N/A

8.1.4.1 H&S: General

• Yes

  No

  N/A

8.1.4.2 H&S: Contractors

• Yes

  No

  N/A

8.1.4.3 H&S: Outsourcing

• Yes

  No

  N/A

8.2 H&S: Emergency preparedness and response

• Yes

  No

  N/A

8.2 QMS: Requirements for products and services

• Yes

  No

  N/A

8.2.1 QMS: Customer communication

• Yes

  No

  N/A

8.2.2 QMS: Determining the requirements for products and services

• Yes

  No

  N/A

8.2.3 QMS: Review of the requirements for products and services

• Yes

  No

  N/A

8.2.4 QMS: Changes to requirements for products and services

• Yes

  No

  N/A

8.3 QMS: Design and development of products and services

• Yes

  No

  N/A

8.3.1 QMS: General

• Yes

  No

  N/A

8.3.2 QMS: Design and development planning

• Yes

  No

  N/A

8.3.3 QMS: Design and development inputs

• Yes

  No

  N/A

8.3.4 QMS: Design and development controls

• Yes

  No

  N/A

8.3.5 QMS: Design and development outputs

• Yes

  No

  N/A

8.3.6 QMS: Design and development changes

• Yes

  No

  N/A

8.4 QMS: Control of externally provided processes, products and services

• Yes

  No

  N/A

8.4.1 QMS: General

• Yes

  No

  N/A

8.4.2 QMS: Type and extent of control

• Yes

  No

  N/A

8.4.3 QMS: Information for external providers

• Yes

  No

  N/A

8.5 QMS: Production and service provision

• Yes

  No

  N/A

8.5.1 QMS: Control of production and service provision

• Yes

  No

  N/A

8.5.2 QMS: Identification and traceability

• Yes

  No

  N/A

8.5.3 QMS: Property belonging to customers or external providers

• Yes

  No

  N/A

8.5.4 QMS: Preservation

• Yes

  No

  N/A

8.5.5 QMS: Post-delivery activities

• Yes

  No

  N/A

8.5.6 QMS: Control of changes

• Yes

  No

  N/A

8.6 QMS: Release of products and services

• Yes

  No

  N/A

8.7 QMS: Control of nonconforming outputs

• Yes

  No

  N/A

• Is this Clause being audited?

  Yes

  No

9.1 - Monitoring, measurement, analysis and evaluation

• Yes

  No

  N/A

9.1.1 - General

• Yes

  No

  N/A

9.1.2 H&S: Evaluation of compliance

• Yes

  No

  N/A

9.1.2 QMS: Customer satisfaction

• Yes

  No

  N/A

9.1.3 QMS: Analysis and evaluation

• Yes

  No

  N/A

9.2 - Internal audit

• Yes

  No

  N/A

9.2.1 - General

• Yes

  No

  N/A

9.2.2 - Internal audit programme

• Yes

  No

  N/A

9.3 - Management review

• Yes

  No

  N/A

9.3.1 - General

• Yes

  No

  N/A

9.3.2 - Management review inputs

• Yes

  No

  N/A

9.3.3 - Management review outputs

• Yes

  No

  N/A

• Is this Clause being audited?

  Yes

  No

10.1 General

• Yes

  No

  N/A

10.2 Nonconformity and corrective action

• Yes

  No

  N/A

10.3 Continual improvement

• Yes

  No

  N/A