Audit Scope

  • Enter the scope:

  • Business functions review during audit:

  • Function:

Review of previous audit findings

  • Have all non-conformance's and areas of concern been completed from previous audit?

  • Complete details for each outstanding NCR:

  • Outstanding NCR
  • NCR Number:

  • Details on incomplete NCR:

CONTEXT OF THE ORGANISATION

Understanding the context

  • Has the site identified risks/opportunities both internal & external which can affect the sites operation and the control of the associated processes? eg. PESTEL Analysis

  • List those identified:

  • PESTEL.jpg

Quality System

  • Can the auditee demonstrate how to locate Quality Management System documentation on the intranet?

  • Quality Policy

  • National Quality Manual

  • National Quality Procedures

LEADERSHIP

Quality policy

  • Does the site have a copy of the quality policy displayed or available for viewing by customers and staff?

  • Do employees demonstrate an understanding and apply the principles of the policy?

  • How?

PLANNING

Actions to address risks & opportunities

  • Have the risks & opprtunities identified been assessed? eg. SWOT

  • What actions have been implemented to address them?

  • 1200px-SWOT_en_svg.png

Quality objectives & planning to achieve

  • What are the sites quality/business objectives? Eg. KPI's, Strategic initiatives.

  • Are the objectives;

  • Consistant with the Quality Policy

  • Measurable and monitored

  • Enhance customer satisfaction

  • Relevant to the conformity of products and services

  • Communicated

Planning of change

  • How does the site plan change?, with consideration to; - Potential consequences - Effects on quality management system - Availability of resources - Roles & responsibility

SUPPORT

People

  • Does the site/department have a resource to implement & maintain the quality management system? Note: this can be part of another role.

Infrastructure

  • Does the site/department plan & conduct preventative maintenance on plant and equipment?

  • Does site/department have a separate quality manual and/or departmental procedure manual?

  • Document ID, revision# & date

  • Is there documented evidence procedures/manual has been reviewed?

Monitoring and measuring resources

  • Types of equipment used:

  • Is the equipment identifiable ie. serial numbers?

  • Are there records of calibration and/or internal equipment checks to ensure accuracy?

Organisational Knowledge / Competence

  • Are personnel deemed competent to perform duties related to product requirements?

  • Are records maintained for education, training, skills, experience etc.?

Awareness

  • Are all employees aware of the quality/business objectives, how they contribute to the effectiveness and implications of not conforming?

Communication

  • How does the site communicate internally?

  • Has the site determined the what, when,how & with whom communications are made?

Documented information

  • Using 'NAT-QMS-PRO-001 Quality Document Control' as a reference, review site/department processes for conformance to procedure:

  • Ref 5.2 - Are controlled documents located on intranet?

  • List any documents not currently controlled identified as requiring document control:

  • Document
  • Ref 5.4 - Is the New/Amended Documents process followed?

  • Ref 5.6 - Are obsolete documents removed from intranet and retained for period stipulated in 'ARC Policy Guide - Document Retention'?

OPERATION

Requirements for products and services

  • Are product requirements reviewed prior to commitment to supply, ensuring product order/delivery and general supply requirements are able to be met?

  • Are the customer requirements determined in relation to delivery/post delivery and those specified by the customer?

  • In the event of contract/requirement changes, how is this reviewed and confirmed prior to supply?

  • Does the department/site use or control any customer property - including intellectual property and personal data?
    Eg. Drawings, Customer own material, New designs/Concepts.

  • How is the customers documented information stored, maintained & disposed of (where required)?

  • Are records maintained for any damage or loss to customer property?

Control of externally provided processes, products & services

  • Use 'NAT-QMS-PRO-005 Purchasing critical materials & services' & any site/department based procedures as a reference:

  • Does the site purchase external products which affect the conformity of products provided?
    Eg. Bar/mesh, assessories etc.

  • Are the purchase requirements (product, specifications, acceptance criteria etc.) communicated to the vendor?

  • What processes are in place to ensure conformity to ARC's QMS, specifications/Australian Standards or other customer requirements?

  • Is there a process in place to inspect and verify purchased products?

  • Does the site use any externally sourced processes which affect the conformity of products provided?
    Eg. Pre-fabricators, Bar threading, Scheduling etc.

  • Are these processes in control of ARC in relation to QMS, specifications, conformance verification etc.?

Production & service provision

  • Does the site/department have production facilities?

  • Is the product identified and recorded for traceability purposes?

  • Are production records maintained?

  • Are product checks/measurements specified and recorded?

  • Review operation against instruction/procedure:

  • Are samples collected weekly and sent for mechanical properties testing?

  • Are rib heights measured daily per machine per diameter?

  • Mass/Mtr (Rolling Margin) being calculated as specified?

  • Are weld shear tests being conducted for every batch (1000 sheets or less if specified)?

  • Are Yield/Tensile tests being conducted at the specified intervals?

  • Are there welding pre-qualification procedures in place?

  • Are welds inspected prior to product dispatch?

  • Is a record maintained of weld inspections?

  • Are all products held in stock clearly labelled for identification and traceability purposes?
    Note: At risk items part packs/bundles, stock transfers, off cut material etc.

  • Is there a process in place for product approval prior to release?

Control of non-conforming outputs

  • Use 'NAT-QMS-PRO-004 Non-conforming products & services' and any site/dept based procedures as a reference:

  • Are non-conformance reports being raised for any external and internal errors?

  • Are corrective and preventative actions being documented and effectively implemented?

  • Is non-conformance data analysed and used for continual improvement?

PERFORMANCE EVALUATION

Customer satisfaction

  • Is customer (internal/external) satisfaction measured at a department/site level?

  • Is data received analysed to improve customer service?

Analysis and evaluation

  • Is Data collected and analysed for evaluation and improvement?
    eg. Production, sales, dispatch, product quality & performance.

Internal Audit

  • Use 'NAT-QMS-PRO-002 Internal Audit' and any site/dept based procedures as a reference:

  • Are internal audits scheduled, planned and recorded as per procedure?

  • Are internal audits conducted as scheduled?

  • Are corrective actions completed without undue delay?

  • Have audit results been reported to relevant management?

Management review

  • Does the site/department conduct local management reviews?
    Eg. Departmental / Site / Regional / State meetings covering business goals, current performance, quality issues, general communication etc.

Findings

SUMMARY

Non-Conformances

  • Non-Conformances are required to be entered into Symix as per NAT-QMS-PRO-004 Nonconforming Products and Services.

  • Non-Conformance
  • Symix NCR Number:

  • Enter NCR Summary:

Opportunities for improvement

  • Identify any opportunities for improvement

  • Opportunity for improvement

General Summary/Final comments

  • General summary/comments

SIGN OFF

  • Auditor Initial

  • Department/Site Representative Initial

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