Title Page
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Site conducted
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Conducted on
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Location
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Prepared by
Which Standards are being covered
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ISO 9001:2015
- ISO 9001:2015
- ISO 14001:2015
- ISO 45001:2018
- SSIP
General
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Is the Certification Body Logo used correctly?
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Has there been any enforcement actions against the company?
4. Context of the Organisation
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4.1 Understanding the organisation and its context. How has the organisation determined external and internal issues relevant to the business purpose and strategic direction that affect its ability to achieve the intended result(s)? Has the company determined whether Climate Change is a relevant issue?
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4.2 Understanding the needs and expectations of interested parties. How have these been determined. Are there any legal or other requirements? Has it been determined whether Interested Parties have requirements related to Climate Change?
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4.3 Is the scope suitable and have boundaries been considered?
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4.3.1 Can exclusions to scope be justified?
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4.4 Is a management system in place?
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4.4.1 Detail the processes identified
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4.4.2 Have the Interaction of processes been detailed?
5. Leadership
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5.1 How does top management demonstrate leadership and commitment to the management system
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5.1.1 How does top management demonstrate customer focus?
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5.2 Is the policy current and signed by a senior person?
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5.2.1 How is the policy communicated?
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5.3 How are roles and responsibilities assigned?
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5.4 Can consultation and participation be demonstrated
6. Planning
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6.1 What actions have been taken to address Risks and Opportunities?
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6.1.2 Has the companies environmental Aspects and Impacts been identified and assessed?
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6.1.2.1 Have hazards been identified, risks assessed and controls determined?
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6.2.2.2 Is there a methodology for the criteria for the assessment of OH&S risks?
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6.2.2.2 Can the Hierarchy of control be demonstrated?
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6.1.3 Have the legal and other requirements been determined?
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6.1.4 Planning Action. How does the company plan actions to address significant environmental aspects?
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6.1.4 Planning Action. How does the company plan actions to address OH&S Hazards & Risks?
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6.2 Have SMART Objectives been set and is there a process to review progress against them?
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6.3 Planning of Changes. How are changes planned and managed?
7. Support
7.1 Resources
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7.1 Resources. What resources are in place for the establishment, implementation, maintenance and continual improvement of the management system?
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7.1.2 Is there an organisation chart in place?
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7.1.3 Is the Infrastructure and Work environment suitable for the activities undertaken and the products and services provided? (consider buildings, associated utilities, equipment and software, transportation resources, information and communication technology)
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7.1.4 Is the Work Environment Suitable for the operation of processes? (consider social, psychological and physical factors.
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7.1.5 Is there an effective process in place for monitoring and measuring resources, including measurement traceability?
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7.1.6 Is there an effective process for the obtaining and retaining of Organisational Knowledge?
7.2 Competence
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7.2 Is there an effective process in place for ensuring the competence of persons (internal and external) doing work under the control of the company?
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7.2 Are Training Records, Certificates, Sign off etc. retained as evidence of competence?
7.3 Awareness
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7.3 How are persons doing work for the company made aware of the policy, objectives, their contribution to the management system and the implication of not conforming with it?
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7.3 For OH&S management system how are persons doing work for the company made aware of incidents and the outcomes of investigations relevant to them?
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7.3 For OH&S management system how are persons doing work for the company made aware of hazards, risks and actions determined that are relevant to them?
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7.3 For OH&S management system how are personnel made aware of they ability to remove themselves from work situations that they consider present an imminent and serious danger to life or health and the arrangements in place for protecting them from undue consequences for doing so?
7.4 Communication
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7.4.1 Has the company determined the internal and externa communications relevant to the quality management systems including: What, when, with whom, how and who will communicate including compliance obligations?
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7.4.3 Does the company externally communicate information as required by its legal and other requirement?
7.5 Documented Information
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7.5.1 Does the management system include documented information required by the standard and by the management system?
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7.5.2 When creating and updating documented information has the company ensured appropriate identification and description, format, review and approval?
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7.5.3.1 Is documented information controlled to ensure it is available and suitable for use, where and when it is needed. It is adequately protected from loss of confidentiality, improper use or loss of integrity etc.?
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7.5.3.2 Has the company addressed distribution, access, retrieval and use. Storage and preservation. Control of Changes. Retention and Disposition
8.0 Operational Control
8.1 Operational Planning & Control
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8.1a How does the company determine the requirements for the products and services?
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8.1b Has a criteria been established for the processes and the acceptance of products and services
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8.1c Have suitable resources been determined to achieve conformity to the product and services requirements?
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8.1d Are processes controlled in accordance with criteria?
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8.1e Is documented information retained to have confidence that the processes have been carried out as planned and to demonstrate conformity of products and services to their requirements?
8.2 Requirements for Products & Services
8.2 Customer Communicaiton
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8.2.1a Are there process in place to provide information relating to products and services,?
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8.2.1b Are there process in place for handling enquiries, contracts or orders, including changes?
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8.2.1c Are there processes in place for obtaining customer feedback relating to products and services, including customer complaints?
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8.2.1d Are there processes in place for handling or controlling customer property
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8.2.1.e Are there processes in place for establishing specific requirements for contingency actions, when relevant?
8.2.3 Review of the requirements for products and services
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8.2.3.1 Is there a process for reviewing customer requirements, including those not stated by the customer but necessary. Requirements specified by the organisation. Statutory and regulatory requirements. Contract or order requirements differing from those previously expressed?
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8.2.3.2 Does the company retain documented information on the results of the review and on any new requirements for the products and services?
8.2.4 Changes to requirements for products and services
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8.2.4 How are changes to requirements for products and services, managed and controlled?
8.3 Design & Development of Products and Services
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8.3.2 How is Design and Development Planning achieved?
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8.3.3 What Design and Development inputs are used?
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8.3.4 What Design and Development controls are in place?
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8.3.5 Do the Design and Development outputs meet the input requirements? Are they adequate for the subsequent processes for the provision of products and services? Do they include or reference monitoring and measuring requirements, as appropriate, and acceptance criteria? Specify the characteristics of the products and services that are essential for their intended purpose and their safe and proper provision? Is documented information retained?
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8.3.6 Are Design and Development changes managed effectively?
8.4 Control of Externally provided processes, products and services
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8.4.1 Has the company determined who their key / critical external providers are?
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8.4.1 Is there a criteria for the evaluation of external providers, prior to onboarding them?
8.4.2 Type and extent of control
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What are the controls in place for checking the products or services provided by the external provider?
8.4.3 Information for external providers
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How are your requirements communicated to the external provider?
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Can you demonstrate you have communicated to external providers the approval process for their products and services?
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Can you demonstrate you have obtained evidence of relevant competence from the external provider?
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How do you control and monitor the performance of external providers?
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Do you, or your customers, conduct any verification or validation activities at the external providers premises?
8.5 Production and service provision
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Do you have documented information that defines the characteristics of the products to be produced, services to be provided or the activities to be performed and the results to be achieved?
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Can you demonstrate that suitable monitoring and measuring resources are made available at the appropriate points of work?
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What controls are in place to ensure that outputs are as required?
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Have suitable work environments been provided for the activities being undertaken?
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Can you demonstrate that competent persons are carrying out the activiities?
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What validation and verification activities are undertaken?
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What is in place to prevent human error?
8.5.2 Identification and traceability
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Can you demonstrate how identification and traceability is achieved?
8.5.3 Property belonging to customers or external providers
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Can you demonstrate how property belonging to customers or external providers are protected from loss or damage?
8.5.4 Preservation
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How are products, materials, substances preserved during production and service provision, to ensure conformity to requirements?
8.5.5 Post-delivery activities
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What post delivery activities are in place, and how are these managed and controlled?
8.5.6 Control of Changes
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How do you control changes to production or the provision of services?
8.5.7 Control of nonconforming outpupts
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How do you control nonconforming outputs?
8.6 Release of Products and services
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On completion what final inspections, verifications are conducted before providing to the customer?
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How are the products and services released to the customer?
8.7 Control of nonconforming outputs
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How are nonconforming outputs controlled and processed?
9.0 Performance Evaluation
9.1 Monitoring, measurement, analysis and evaluation
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What monitoring is conducted and how are the results analysed and evaluated?
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How is customer satisfaction monitored?
9.2 Internal Audit
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Demonstrate Internal Audits are conducted at planned intervals and effectively implemented and maintained?
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Explain what is used to determine the frequency of the audits.
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Show me audit reports and that the scope and criteria for each audit been defined?
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Demonstrate trained auditors are in place.
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Demonstrate that auditors do not audit their own work / areas.
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How are the results of the audits reported to relevant management?
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Is there a process in place to manage and progress findings raised during audits?
9.3 Management Review
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Are management reviews being held at planned intervals?
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Is the management review attended by top management?
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Are minutes of the management review retained?
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Does the management review inputs and outputs comply with the requirements of the standard/s
10 Improvement
10.2 Nonconformity and corrective action
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Is there a process in place for for handling nonconformances, including those arising from complaints?
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Are records of nonconformances retained and do they comply with the requirements of the standard?
10.3 Continual Improvement
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How is continual improvement demonstrated?
