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Redhills System audit June 2016 - local copy
Redhills System audit June 2016 - local copy
Conrad Anthony

Redhills System audit June 2016 - local copy

System Audit

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Free Redhills System audit June 2016 - local copy Checklist

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Title Page

  • Document No.

  • Audit Title

  • Client / Site

  • Conducted on

  • Prepared by

  • Location

  • Personnel

Organisation and Management ISO17025 - 4.1 ISO17020 - 5.2 ISO 18001/14001 - 4.4.1

  • Is there an organization Organogram ?

  • Is the Organization’s Organogram up to date?

  • Does the office organizational chart identify : Managing director / Technical manager / Quality manager / Regional auditors / Peer auditors / Health and safety / Rail support?

  • Is there evidence of liability insurance?

  • Is there a copy of the insurance certificates available in office and on System?

  • Is the office correctly described on front cover and within section 1 of the Quality manual?

  • Is the office correctly described in the UKAS accreditation schedule?

  • Are the Authorized Signatories correctly described in Section 4.01 of the Quality manual?

  • Does the lab have access to current copies of QSOP'S and HSP'S?

  • Does the office have access to the audited accounts?

  • Additional Comments

Staff Training / Personal Including Staff Communication ISO17025 - 5.2 ISO17020 - 6.1 ISO 18001/14001 - 4.4.2 / 4.43

  • Is the Staff Skills Matrix complete and accurate for the office?

  • Do the training records provide evidence to support technical competence by giving details of : Authorizations / Suspensions / Educational and Professional Qualifications / Dates of training given / Copies of Technical assessments / Copies of training diary?

  • Are the technical assessments planned in the TAP ( Technical Audit Programme ( Regional ) ) so that all staff are assessed for all technical activities that they are authorised to undertake at least once a year?<br>

  • Is there evidence of workplace induction for new staff members?

  • Does the laboratory have a policy and procedures for identifying training needs, providing training and evaluating its effectiveness?

  • Are training records held for all technical staff?

  • Are the training records for technical staff up to date?

  • Are staff employed by the Region?

  • Are training needs identified in CAST ( Combined analytical and surveyor training ) with feedback from appraisals?

  • Is the training appropriate to present and anticipated tasks?

  • Are sub - contractors subject to the same requirements of the Management system with respect to training, QC etc. ?

  • Are people employed by the laboratory competent and do they work in accordance with the documented management system?

  • Has the bulk Analysis had a colour blindness test on file?

  • Does the laboratory maintain job descriptions for managerial, technical and key support staff?

  • Additional Comments

Testing & Measuring Equipment Uncertainty of measurement ISO17025 - 5.4 / 5.4.6 / 5.5 ISO17020 - 6.2 ISO 18001/14001 - N/A

  • Is all Equipment Suitably Labelled, with Unique Identification ?

  • Where applicable is Master Equipment (flow meters / SMS / Reference standards) maintained and stored safely ?

  • Is all calibrated Equipment (masters and Field equipment) labelled with a test date and due date?

  • Where applicable, do equipment labels state Calibration factors?

  • Where applicable, is test equipment PAT tested ?

  • Indicate below which Equipment has been checked during audit

  • Master Flow meters

  • Stage Micrometer slide (where applicable)

  • Master Thermometer (BS593)

  • Master Barometer

  • Fume Cupboards

  • Microscopes (PLM)

  • Microscopes (PCM)

  • Microscopes (Stereo)

  • Air Sampling Pump (high flow)

  • Air Sampling Pump (Personal)

  • Does the office have an in date copy of the measurement of Uncertainty data (QSOP 5 Appendix 1) ?

  • Additional Comments

Calibration / Measurement Traceability ISO17025 - 5.6 ISO17020 - N/A ISO 18001/14001 - N/A

  • Is all the Master Equipment (flow meters / SMS / Reference standards e.t.c.) in date with (where applicable) with certification from a UKAS accredited service ?

  • Are master Flow meters calibrated in line with company procedure and Lab 30 (Annually) ?

  • Are Field Flow meters calibrated in line with company procedures (Monthly / 3 monthly with evidence) ?

  • Is the Master Stage Micrometer Slide calibrated in line with company procedure ?

  • Are Field Stage Micrometer Slides calibrated in line with company procedure (annually) ?

  • Are Timepieces calibrated against a traceable source (Annually) ?

  • Are working Thermometers / Barometers calibrated against a traceable source (Annually) ?

  • Are Reference Standards available for the six common asbestos types ?

  • Is the Cargil RI Liquid register up to date ?

  • Are the Cargil RI Liquids in use in the Laboratory, Labelled and in date ?

  • Additional Comments

Test Method Validation Procedures Inspections N.S.W. HSE / UKAS Documents ISO17025 - 5.4 / 5.4.2 / 5.4.3 / 5.4.4 ISO17020 - 7.1 ISO 18001/14001 - 4.5.2

  • Do all Technical Staff have access to Technical and Quality Procedures (QSOP'S) ?

  • Do all Technical Staff have access to Controlled copies of HSE documents ?

  • Are company methods and standards identified as controlled?

  • Is the current issue and revision status on all QSOP's ?

  • Are the QSOP's correctly authorized and issued ?

  • Is an understanding of the Procedures and Methods documented in the training files ?

  • Does the Office have a Satisfactory classification in the RICE Scheme ?

  • Do all Fibre counters participate in the internal QC scheme ?

  • Does the Office participate in AIM's ?

  • Do all bulk analysts participate in the internal bulk QC scheme ?

  • Have any deviations from the testing methods been recorded and appropriately authorized ?

  • Have any deviations from the method been communicated to the client ?

  • Have the appropriate sampling and testing methods been selected?

  • Are the appropriate microscope instructions available for use on site?

  • Are clients informed when a client-proposed method is considered to be inappropriate or out of date?

  • Have calculations and transfers of data been checked?

  • Are computerize calculations and/or databases validated?

  • Additional Comments

Performance measurement, resurveys (QC / RICE / AIMS) ISO17025 - 5.9 ISO17020 - N/A ISO 18001/14001 - 4.5.1

  • Is the QC status of all analysts detailed on the TAP for that region?

  • Are occurrences of suspensions, qualifications and training requirements communicated to the office from the Quality Department?

  • Are the Monthly re-counts up to date?

  • Are poor results or incorrect analyses in the schemes investigated using the non-conforming work procedure?

  • Are there records of re-inspections of asbestos surveys?

  • Are sampler audits conducted as per the TAP plan and before analysts are allowed to perform unsupervised site work?

  • Do training records detail dates of qualification, suspensions and re-qualifications and any re-training that might be necessary?

  • Additional Comments

Accommodation / Environmental & Office audits ISO17025 - 5.3 ISO17020 - N/A ISO 18001/14001 - N/A

  • Is the Office environment suitable for the activities being performed?

  • Are the monthly lab air tests being performed at the permanent lab?

  • Are initial and weekly lab air tests being conducted at temporary (site) air testing laboratories?

  • Have appropriate actions been taken when the clearance indicator level has been exceeded in a lab air test?

  • Are the lighting conditions suitable for microscope work?

  • Is there adequate control against release during bulk ID work?

  • Is there sufficient room for the storage of samples?

  • Are samples and reagents stored in a safe condition at all times?

  • Is there sufficient room for the storage of records?

  • Is there adequate ventilation in the bulk ID Laboratory ?

  • Are there compliant local procedures for the storage and disposal of asbestos waste?

  • Is the office clean and tidy?

  • Is there a record of waste disposal?

  • Is there adequate segregation between the bulk ID lab and areas of unrelated activity?

  • Is access to the office sufficiently controlled?

  • Are there adequate fire escape routes?

  • Are the fire extinguishers present and properly maintained?

  • Additional Comments

Handling of Test Items ISO17025 - 5.8 ISO17020 - 7.2 ISO 18001/14001 - N/A

  • Is there a documented local procedure for the handling of test items that details:

  • transportation

  • receipt

  • handling

  • protection

  • storage

  • retention

  • security

  • disposal

  • Are all test items uniquely identified?

  • Are the items stored in a retrievable system?

  • Is the register of Media Blanks up to date?

  • Are the records completed at the time that the samples were taken?

  • Are bulk samples double bagged and correctly labelled?

  • Are slides and samples disposed of in an appropriate manner after six months?

  • Is there a file for waste disposal notes?

  • Is there a traceable link from the sampling pump and cowl to the filter?

  • Additional Comments

Records (Archiving) ISO17025 - 4.13 ISO17020 - 8.4 ISO 18001/14001 - 4.4.4

  • Is there a secure archive for obsolete or superseded documents?

  • Is client confidentiality protected when disposing of documents?

  • How are confidential documents disposed of?

  • Can records be retrieved by Technical staff form Secure storage ?

  • Additional Comments

Test Certificates, Survey Reports, Risk Assessments, Environmental Aspects ISO17025 - 5.10 / 5.10.2 / 5.10.3 / 5.10.5 ISO17020 - 7.4 / 7.3 ISO 18001/14001 - 4.3.1

  • Does the report or certificate contain: (Certificate requirements marked with 'C' prefix)

  • C - Title

  • C - Name and address of the issuing office

  • C - Unique identifier on each page of the report

  • C - Name and address of the client

  • C - Identification of the method used

  • C - Identification of subcontracted activities

  • C - Date of sample receipt

  • C - Date of testing or sampling

  • C - Date of report issue

  • C - Details of sampling plan / Method of sampling

  • C - Results

  • C - The name of the analyst or consultant

  • C - Name of the signatory

  • C - Job function of the signatory

  • C - Authorising signature

  • C - Statements and disclaimers

  • C - Footer - pagination (page n of x)

  • C - Statement and values for the uncertainty of measurement

  • C - Opinions and interpretations (with disclaimer for UKAS tests)

  • Header - Project title and client

  • Footer - report ref. number/Rev no.

  • Details of deviation from method or sampling plan (if Applicable)

  • Environmental conditions (if Applicable)

  • Statements of compliance or non-compliance with specifications (if Applicable)

  • Additional information deemed necessary by the Project Manager (if Applicable)

  • Sampling plan including locations

  • Drawings, diagrams, maps or plans.

  • Are the reported details traceable to project specific instructions?

  • Are reports and certificates in the standard format?

  • Has the UKAS logo been used correctly?

  • Have disclaimers been used for opinions?

  • Have disclaimers been used for interpretations?

  • Have disclaimers been used for smoke testing?

  • Have disclaimers been used for quantification of asbestos content?

  • Have disclaimers been used for identification of non-asbestos fibres?

  • Have any unauthorised reports been issued on site?

  • Has any action been taken on site as a result of the information relayed to the client or a contractor by the issue of an unauthorised report?

  • Have the consequences of such unauthorised actions been investigated?

  • Have amendments to reports (or certificates) been issued in the form of new reports (or certificates) with the statement "Supplement to Report (Report Reference Number)" or "Supplement to Certificate (Certificate Reference Number)" entered clearly on the title page?

  • Are exact copies (including authorisations) of the reports or certificates received by the client filed correctly in the office?

  • Additional Comments

Sub-Contracting ISO17025 - 4.5 ISO17020 - 6.3 ISO 18001/14001 - N/A

  • Does the office have access to the current version of the QSOP 8?

  • Is there a sub-contracted work register in the office?

  • Has accredited work been sub-contracted by the office (Form 31) ?

  • Are sub-contractors listed on the approved sub-contractors register (From 27) ?

  • What reasons are given for sub-contracting accredited work (Form 008) ?

  • Are there written agreements with clients in the project files that work should be sub-contracted?

  • Have details of subcontracted work been checked and authorised before issue to clients?

  • Have purchase orders been raised for sub-contracted work?

  • Has sub-contracted work been arranged on behalf of other Regional offices?

  • Are authorised Project Managers named in the project files for projects involving sub-contracted work?

Purchasing Services & Supplies / Suppliers ISO17025 - 4.6 ISO17020 - N/A ISO 18001/14001 - 4.4.6

  • Does the office have access to the current version of the procedure?

  • Does the lab have a current list of approved suppliers of goods and services?

  • Have purchases been made from approved suppliers?

  • Have new suppliers been evaluated?

  • Have purchases been approved/authorised appropriately?

  • Are there records of checks on the suitability of critical goods?

  • Is there evidence that goods have been inspected on receipt?

  • Is there evidence that Technical / test items have been purchased and checked by technical personnel before being put into service?

  • Blank filter checks.

  • Acetone/triacitin

  • RI Liquids

  • Additional Comments

Internal Audits / Including review of site audits ISO17025 - 4.13 / 4.14 ISO17020 - 8.6 ISO 18001/14001 - 4.5.5

  • Has an Audit Plan been produced?

  • Does the audit plan cover all aspects of the system and of the standard?

  • Have audits been undertaken as scheduled on the Plan?

  • Are audit reports uniquely identified using the date/auditor format?

  • Are the auditors trained, qualified, authorised and competent?

  • Have non-compliances arising from audits been identified and recorded in the Audit Tracker?

  • Have non-compliance's been reported to the Technical Manager?

  • Were the proposed corrective actions adequate to discharge the non-compliance's ?

  • Have the non-compliance's been discharged within the agreed timescales?

  • Have the audit reports been closed out within the agreed timescales?

  • Are there any changes necessary to the frequency of audits in particular areas?

  • Are there any records of Survey Re-inspections?

  • Have the office results been affected as a result of non-compliance's identified during internal audits?

  • Have clients been contacted where a change in result would alter the recommendation or advice given?

  • Has the effectiveness of the preventive actions been monitored?

  • Are assessments of staff technical competence, detailed in staff training files and approvals added to Staff Skills Matrix?

  • Have the Technical Assessments been conducted as per the Assessment Plan?

  • Are audit reports addressed in the local Management Review?

  • Are the Management Review Meetings attended by a Quality team Member?

  • Does the agenda cover all aspects of the Management System and the Standard?

  • Were all areas detailed in the agenda reviewed?

  • Are the minutes from the Management Review available?

  • Have assigned actions been carried out within the agreed timescale?

  • Were targets and objectives set for the following year at the Management Review Meeting?

  • Were actions assigned with timescales?

  • Were preventive actions recommended as a result of the Management review Meeting?

  • Have the preventive actions been carried out within the agreed timescales?

  • Have additional audits or checks been conducted to verify the effectiveness of the preventive actions?

  • Do the Management Review Meetings monitor the effectiveness of any actions recommended at previous meetings?

  • Additional Comments

Site Sampling ISO17025 - 5.7 ISO17020 - 7.2 / 6.1 ISO 18001/14001 - N/A

  • Are the Sampler Audits scheduled on the Approved Duties Matrix?

  • Have the audits been conducted as per the Audit plan?

  • Are contracts defined in the project files and are method statements available in order to establish the scope of the sampling work?

  • Are controlled copies of QSOP's available to the sampling staff?

  • Is the initial (qualifying) sampler audit included within the staff members training file?

  • Are the samplers identified as being authorised on the Staff Skills Matrix?

  • Do the samplers' training records provide evidence in support of the authorisation?

  • Are deviations from the sampling procedures authorised and detailed in the project file?

  • Do the sampling records identify:

  • Date, Time and Project Number

  • Environmental Conditions or other influencing factors

  • Name and position of the sampler

  • Sample locations (Plan/diagram)

  • Deviations from the method

  • Sample identification

  • Sample description

  • Is the Project Manager identified in the Project file?

  • Additional Comments

Management System, Policy, Objectives & reviews, Monthly Reports and NM ISO17025 - 4.2 / 4.15 ISO17020 - 8.0 / 8.2 / 8.5 ISO 18001/14001 - 4.6 / 4.2 / 4.33

  • Does the office have access to the current revision of the Management System including all of the relevant procedures and forms ?

  • Do the training records indicate that the staff have received training in, and have understood the requirements of the Management System?

  • Is the Quality Policy Statement displayed in the office?

  • Is there a copy of EN ISO 17025 and 17020 available to the office?

  • Is there a copy of the insurance certificates available in office and on System?

  • Are the Company Terms and Conditions of trade available?

Document Control ISO17025 - 4.3 ISO17020 - 8.3 ISO 18001/14001 - 4.4.4/5

  • Is there access to the current version of Master Internal Document Control list?

  • Is the UKAS Document file updated as per the current version Form 29 'Uncontrolled' ?

  • Are the uncontrolled documents marked as "uncontrolled"?

  • Have obsolete or superseded documents been withdrawn from use and / or marked as "Superseded"?

  • Can Controlled / Uncontrolled Documents be accessed from the QMS System?

  • Have documents been appropriately authorized?

  • Are documents subject to a Regular review?

  • Are alterations/amendments traceable?

  • Have there been any occurrences of client instigated changes to controlled documents?

  • Are client instigated changes documented and controlled?

Review of Tenders and Contracts (Quotations & Tenders) ISO17025 - 4.4 ISO17020 - 7.0 ISO 18001/14001 - 4.4.6

  • Have Project Managers been nominated for projects?

  • Are nominated Project Managers authorised to undertake Project Management?

  • Are project numbers identified in the project files and contents?

Redhills System audit June 2016 - local copy
Conrad Anthony

Redhills System audit June 2016 - local copy

System Audit

Use this Template
The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should independently determine whether the template is suitable for your circumstances.

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