QHSE Suppliers General QHSE Audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Company Information

• Address

• Organisation

• Contact

• Number of employees

• Occupational Activity

• Date of visit

• Telephone number

• Email address

Quality Audit Quality General

• Who is the point of contact for quality? <br>(Appointed person)

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Do they have formal/compliant Quality qualifications?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Do you have a Quality organisational chart?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is the management system certified to a recognised and appropriate standard (ISO 9001 or equivalent) by a UCAS accreditation body?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are the policies (scope) consistent with those of SMD?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments

• Review the last 3rd party surveillance or accreditation visit. Are issues highlighted being closed out?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are non-conformances and corrective actions being taken?<br><br>(Example of 1 serious)

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are the non-conformances and corrective actions brought to the attention of serious management? <br><br>(Ask director)

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Do you feel that the corrective actions being taken seem appropriate and effective?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is there an up-to-date Quality Manual?<br><br>CHECK

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is there a documented Quality manual?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are there Quality Procedures/Work Instuctions?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are processes and procedure audited? <br><br>(Timescale)

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are customers given access to quality management system if documentation were requested? <br><br>How is it done?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are document changes coordinated with each customer?<br><br>How it is done?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• How long are controlled documents/records kept for?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is configuration management applicable? (See ISO 9001 for guidance) (not fabricator)<br><br>If yes, what is it? <br>If no,

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• How is each order reviewed and approved?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• How is each change to an order reviewed?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are there testing procedures? <br><br>(ITP's, Weldmaps etc.)

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Who carries out testing and inspection tasks?<br><br>Retrieve name and question whether qualified sufficiently

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are design reviews conducted and documented?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is there a process of suppliers performance assessment?<br><br>What are your targets and objectives for suppliers?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is there an up-to-date approved Suppliers List(ASL)?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Would you be using sub-contractors for SMD's work? If yes how will they be assessment?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Can SMD's representative perform inspection at the suppliers (and sub-tiers) premises?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• How do you monitor customer satisfaction?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Do you use calibration equipment? <br><br>Nominated person: <br>How often is equipment checked?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Do you carry out audits to verify your processes/procedures? <br><br>See sample:

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Check auditors qualification <br><br>(Auditor training)

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is there a plan for training/certification of employees and is it implemented?

  Yes

  No

  N/A

• Section 3 to be carried out if project has been awarded.

Quality Audit Quality- project organisation, planning and management

• Are company and project organisation diagram up to date and easily available?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Does the project team organisation allow for effective communication both internally and with SMD?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are adequate job description for all key personnel available?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is there evidence of the competence of all key personnel?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are responsibilities and authority levels defined within the management system and project documentation?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is a function contract review process in place and is there evidence of the review? Is there evidence of the "SMD contract" being reviewed?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Has a project plan/schedule/ITP for the work been developed? Has is been accepted by SMD?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is there approved quality inspection plans/inspection and test plans available for the work?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Do the inspection plans define the necessary control procedures qualification requirements, standards and acceptance criteria?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is progress against these plans being monitored and reported? How?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Does the supplier have adequate competent/qualified personnel to perform the work in the agreed time schedule?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are engineering deliverables identified?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Select three engineering documents and evaluate whether the required checks have been completed by competent persons?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are documented procedures and work instructions for controlling all processes current, signed and controlled?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are all project documents registered through a document controller?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Do all project documents have a verification plan and are they controlled by a register?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are all non-conformities reported to the SMD project manager?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are highlight project non-conformities being rectified and corrective action being taken? Select 3 examples.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are progress reports being disseminated to the SMD project team?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are there any issues which have a detrimental effect on communication?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Does a design plan exist?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Does all the design plan highlight all the requirements for review, verification and validation?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Does the design plan highlight who is responsible and who has authority for each stage?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are lessons learned from the issues and other customer feedback being incorporated into the design/build?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are requirement highlighted by findings being incorporated into the design/build?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is there a register or database of all the drawings pertaining to the project?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are records available to show these documents have been reviewed and approved by competent personnel?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are records available to show that new revisions of drawings are being sent to those holding the previous revision using the SMD Electronic Change Notice(ECN)?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is a schedule in place for provision all required operational and maintenance manuals etc.?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is a verification scheme in place for the generation of these documents? E.g. Who generates reviews and approves the documents?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is the generation of these documents on schedule?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is an up to date procurement plan in place?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Health & Safety Audit Health & Safety Management

• Health & Safety policy in place, up to date and adequate for the company activities.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• The company has access to competent Health & Safety advice.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• The company reviews Health & Safety annually, and audits it's procedures and arrangements.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Health & Safety poster available to staff.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Employers liability insurance policy displayed.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Management consult and communicate with staff.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Health & Safety Audit Accident and Emergency procedures

• Accident book present & up to date. (Data Protection Compliant)

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Accident forms securely stored.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Accident investigations system in place.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• RIDDOR reporting system in place.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• First aided provision.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• First aid box available.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Emergency procedures, e.g. for evacuating the site in case of fire

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Means of raising the alarm.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Health & Safety Audit Fire Precautions

• Suitable and sufficient fire fighting equipment available and tested.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Fire drill records.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Fire alarm system testing.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Fire precaution training.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Smoke alarm testing.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Properly located smoke detectors.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Emergency lighting testing.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Evacuation procedures.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Escape routes suitable and unobstrusted.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Fire doors checked.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• All records noted in fire log book.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Health & Safety Audit Risk Assessment

• General risk assessment.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• COSHH assessments & data sheets.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Fire risk assessments.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Manual handling assessments.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• DSE workstation checklist.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• PPE risk assessments.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Noise assessments.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Vibration assessments

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Health & Safety Audit Hazardous Procedures/Substances

• Safe Working Method Statements

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Hazardous substances storage

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Hazardous substance inventory

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Flammable liquid storage

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Fuel storage

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Flammable compressed gas storage

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Non-Flammable compressed gas storage

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Asbestos surveys

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Noise surveys

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Air monitoring

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Legionella prevention measures

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Health surveillance documentation

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Hazard reporting

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Personal protective equipment available

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• PPE issue records

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Health & Safety Audit Place of Work

• Workplace Inspection records

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Safety signage

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Welfare facilities <br>(Changing room, drinking water, toilets, area to sit, eat and warm food, washbasins, hot and cold(or warm) running water, soap and towels)

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Office facilities

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Safe access and egress e.g. Roads, warehouse etc.

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Adequacy and condition of loading & loading parking areas

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Storage facilities stable, braced, and not overloaded

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Working areas and walkways free from obstructions

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Safe tidy, materials stored safely

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Collection and disposal of waste

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Suitable lighting for conditions

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• General condition of premises

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Health & Safety Audit Electrical

• Fixed electrical installation maintenance

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Portable electrical appliance testing and records

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• General condition of electrical power supplies and installations

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Health & Safety Audit Training

• Training assessments and records

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• H&S induction

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Fire safety training

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Display screen equipment training

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Fork lift training

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Equipment training

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Manual handling training

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Access equipment training

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• On road vehicle training

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Banksmem

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Toolbox talks

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Health & Safety Audit Equipment

• Defect reporting

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Plant & equipment maintenance

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Equipment guarding

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Lifting gear and appliances inc. forklifts (testing and records)

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Working at heights

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Ladder register

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Ladder inspections and records

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Gas (inc. all fuel oil) installations checks and records

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Extraction equipment checks and records

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Pressure equipment checks and records

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Health & Safety Audit Workplace Transport

• Traffic routes for vehicles and pedestrians

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Vehicle servicing

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Vehicle maintenance including driver checks

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Use of banksmen

  Yes

  No

  N/A

• Comments:

• Loading and unloading operations

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Health & Safety Audit Sub Contractors and Visitors

• Signposting for staff and visitors

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Competence of sub-contractors

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Segregation of pedestrians and vehicles

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Signing in procedure for contractors and visitors

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Enviromental Audit Environmental General

• Is the management system approved to a recognised and appropriate standard (ISO 14001 or equivalent)? <br><br>If yes: complete questions 176 to 180<br>If no: go to question number 180

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are the policies (scope) consistent with those of SMD?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Reviewed the last 3rd party surveillance or accreditation visit. Are issue highlighted being closed out?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are non-conformances and corrective actions being taken?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Are the non-conformances and corrective actions brought to the attention of senior management?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Do you feel that the corrective actions being taken seem appropriate and effective?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

Environmental Audit Environmental - General Non ISO 14001

• Has the organisation established an appropriate environmental policy?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Has top management defined the organisations environmental policy?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is the policy appropriate to the nurture, scale and environmental impacts of its activities, products or services?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Does it include commitment to continual improvement and prevention of pollution?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Does it provide a framework for setting and reviewing environmental objectives and targets?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is the policy documented, implemented and maintained?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is the policy communicated to employees and contractors?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Is the policy available to the public?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Has the organisation considered environmental aspects such as emission into the air?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments:

• Has the organisation considered environmental aspects of its waste streams?

  Standards met

  Standards partly met

  standards not met

  N/a

• Comments: