Information
RIOS:2016 Internal Audit
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
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Summary
Section 1: General Requirements
1.1 Scope and Application
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Verify recycler considers activities performed by Recycler and Outside Providers
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Verify scope statement is documented
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Verify management system includes core elements of RIOS and relationships to documentation
1.1.1 RIOS Outcomes
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RIOS Management System shall be implemented that;
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Prevents adverse quality, environmental and health and safety outcomes
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Promotes improved product or service quality, positive environmental results, and worker health and safety
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Systematically manages risks, opportunities and stakeholder and legal requirements
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Manages change to proactively address QEH&S impacts
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Monitors and measures QEH&S performance
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Identifies & corrects causes of nonconformance to improve QEH&S
1.2 QEH&S Infrastructure
1.2.1 Management Structure
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Roles and responsibilities are defined and in writing.
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Senior manager responsible for health and safety
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QEH&S Management Rep.
1.2.2 Resources
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Verify necessary resources
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Existing internal resources, including competent workers
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Need for external resources of outside providers
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Financial resources
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Infrastructure
1.2.3 Senior Management
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Verify leadership and commitment by planning
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Verify leadership and commitment by implementation
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Verify leadership and commitment by monitoring performance and continual improvement
1.3 Document and Recordkeeping Controls
1.3.1 Control of Documents
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Verify written plans established
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Verify documents are:
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established and maintained
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uniquely identified, described and controlled through revisions
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legible and dated
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approved prior to use
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available in approved formats
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current and available at the point of use
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protected from loss
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reviewed, revised and updated, as necessary, with changes controlled
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removed from use when obsolete, and if kept for any purpose, clearly identified as obsolete
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identified and distribution controlled if from external parties
1.3.2 Control of Records
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Verify written plans established
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Verify records are:
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established and maintained
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legible
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identifiable, traceable to the pertinent process, and readily retrievable
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stored and protected from damage and loss
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Verify record retention times are established in writing and are consistent with relevant stakeholder and legal requirements
Section 2: Policy
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Verify that there a written and implemented RIOS Policy.
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Senior management shall ensure the RIOS policy..
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is/are relevant to the scope of the Recycler's operations
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consider(s) environmental impacts of the Recycler's operations and outputs
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consider(s) health and safety risks of the Recycler's operations and outputs
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includes a commitment to comply with all relevant QEH&S legal requirements
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includes a commitment to comply with all relevant stakeholder requirements
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includes a commitment to continually improve performance
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includes a commitment to the prevention of workplace injuries and illness
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includes a commitment to the prevention of pollution
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provides a framework for establishing QEH&S goals
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demonstrates Senior Management's commitment to customer satisfaction
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Verify the RIOS policy is:
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communicated to, understood by and applied by workers
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made available to the stakeholders
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Reviewed at least annually by Senior Management and updated as necessary
Section 3: Planning
3.1 Identifying the QEH&S Footprint
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Verify documented process for determining RIOS footprint
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Verify RIOS footprint includes
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activities, products and services of the Recycler, including those of outside providers that can be influenced
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both negative and positive impacts
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actual and potential conditions
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routine and non routine activities, including emergencies
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relevant stakeholder requirements and views
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legal requirements
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Verify RIOS footprint reviewed at least annually
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Verify RIOS footprint updated before planned changes to the system occur
3.1.1 Important Quality Risks
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Verify quality risk controls are planned and documented
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Verify controls integrated into RIOS management system, implemented and monitored for effectiveness
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Verify controls for qualification of suppliers, outside providers and customer, where applicable
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Verify controls for material and product tracking and traceability, if required
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Verify controls for control of customer property, if applicable
3.1.2 Important Environmental Impacts
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Verify criteria used in determining actual or potential environmental impacts and verify the results of the evaluation are documented
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Verify important environmental impacts are controlled, monitored and evaluated
3.1.3 Important Health & Safety Risks
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Verify the nature of the workforce, contractors and other visitors to the workplace are taken into account in determining risks
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Verify the nature of the processes are taken into account in determining risks
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Verify source materials are taken into account in determining risks
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Verify past performance of the Recycler related to each risk are taken into account in determining risks
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Verify controls to eliminate or reduce important health and safety risks are identified, documented, monitored and evaluated
3.1.4 Legal Requirements
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Verify legal requirements are identified and documented
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Verify recyclers have access to their QEH&S legal requirements and have determined how they apply to their operations
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Verify controls to manage legal requirements are documented and integrated into the RIOS management system
3.1.5 Product, Service and Customer Requirements
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Verify plans are established to identify and document product, service and customer requirements
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Verify plans define, determine or consider:
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specifications and supplier requirements for source material as inputs
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required product and service requirements for outsourced products
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required product and service specifications, including legal requirements
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customer requirements for acceptance of the product or service
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resources needed to meet product or service requirements
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Recycler's capability of providing products or services to the defined requirements
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records are generated to demonstrate product or service conformity
3.1.6 Other Stakeholder Requirements
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Verify Recyclers identify stakeholders that are relevant to the Footprint with the RIOS management system
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Verify relevant requirements (obligations, compliance with regulations, conformance with voluntary commitments, such as standards) of these stakeholders are documented
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Verify Recyclers have determined how these requirements apply to their operations
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Verify controls are documented and integrated into the RIOS management system
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Verify Recyclers monitor and review stakeholder's requirements and update as requirements and obligations change
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Verify review is documented at least annually
3.2 Improvement Planning
3.2.1 Establishing Goals
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Verify Senior Management has established written QEH&S goals
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Verify goals are measurable, monitored, communicated and updated as needed
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Verify Recyclers consider QEH&S policies, the RIOS footprint, technological options, financial considerations, operational and business requirements, legal requirements, views of stakeholders, opportunities for improvement, enhancement of customer satisfaction and product and service quality
3.2.2 Plan for Goal Achievement
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Verify written plan for each goal
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Verify plans describe what will be done, identify resources required for completion, assign responsibility, assign due dates for tasks and define howe the results will be evaluated
3.3 Change Management
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Verify written plan for changes that impact the RIOS management system
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Verify changes are documented and evaluated to determine potential QEH&S impacts in the RIOS footprint prior to implementation
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Verify that the change management plans update the RIOS management system to control important risks
Section 4: Implementation
4.1 Recycler Knowledge
4.1.1 Completence
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Verify personnel that can affect quality, have important environmental impacts or have important health & safety risks are competent based upon education, training, skills and/or experience and are aware of their role within the QEH&S management system.
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Verify Recyclers acquire competence, where needed, with external resources or provide training
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Verify that training is effective
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Verify records of competence
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Verify training considers
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different levels of responsibility, ability, literacy and required work activities
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RIOS footprint
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QEH&S controls
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roles and responsibilities
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frequency
4.1.2 Awareness
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Verify Recyclers have documented and implemented plans to ensure that workers are aware of..
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their roles and responsibilities within the QEH&S management system.
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how they contribute to the achievement of the RIOS policy and QEH&S goals.
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the important environmental impacts and health & safety risks associated with their work activities.
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QEH&S performance results
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emergency response plans
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importance of meeting supplier, customer and legal requirements
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how they contribute to the effectiveness of the RIOS management system
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the potential consequences of nonconformance to the RIOS management system
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the benefits of improved QEH&S performance
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How are responsibilities and authorities defined and communicated?
4.2 Communication
4.2.1 Internal Communication
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Verify internal communication plans are established
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Verify internal communications..
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ensure important RIOS management system information is effectively communicated between workers and management, including feedback and consultation from workers
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require timely reporting of newly identified hazards, incidents or near misses based on the level of severity
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RIOS management system effectiveness.
4.2.2 Customer Communication
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Verify customer communication includes..
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QEH&S requirements including customer qualification requirements, if applicable
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Customer feedback and complaints.
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Assessments of customer satisfaction.
4.2.3 Supplier Communication
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Verify supplier communication includes..
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source control requirements for the purchase or acquisition of source materials
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communication regarding not acceptable source material prior to receipt
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communication of lost or improper processing of supplier property
4.2.4 Outside Provider Communication
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Verify communications with outside providers includes..
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written specifications for outsourced products and services
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outside provider's responsibilities in the Recycler's RIOS management system
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monitoring activities and QEH&S controls applied to the outside provider
4.2.5 External Communication
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Recyclers shall..
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plan for and respond to external inquiries about the RIOS management system
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communicate relevant information, including emergency plans, to visitors and stakeholders about the RIOS management system
4.3 Operational Controls
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Verify operational controls are established to mange their QEH&S risks and impacts
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Verify processes and documented plans are established, implemented and maintained to ensure operations and activities are performed in a controlled manner
4.3.1 Source Material
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Verify Recyclers...
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specify criteria and implement controls for the acceptance of source material
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document processes for the identification and control of an QEH&S supplier requirements for Recyclers to process source material
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identify and control source material that is not accepted
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return source material not accepted
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maintain records of source material control
4.3.2 Outsourced Providers, Products and Services
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Verify Outsourced Providers, Products and Services...
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document, in writing, specifications for outsourced products and services
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implement and monitor QEH&S controls of outside providers, outsourced products or services
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maintain records of evaluation, selection and monitoring
4.4 Quality Controls
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Verify product and service specifications and customer requirements are documented, approved and changes controlled
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Verify work instructions provided to workers
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Verify monitoring and measurement controls are implemented at relevant points
4.5 Environmental Controls
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Verify controls are documented and implemented for all important environmental impacts, stipulating criterial in the plan
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Verify environmental controls are established for all activities, source materials, products and services with the scope of the RIOS management system identified as having an important environmental impact
4.6 Health & Safety Controls
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Verify health & safety controls in the followieng order of priority
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elimination
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substitution
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engineering controls
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signage/warnings and other administrative controls
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PPE
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Verify health and safety controls are established for all activities, products and services with the scope of the RIOS management system, including health and safety hazards related to source materials, outsourced products and services, on-site contractor activities, off-site activities, chemicals and operational equipment
4.7 Emergency Preparedness
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Verify written plans are established
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Verify emergency plans include preventing and mitigating the adverse environmental impacts in the RIOS footprint and injuries and illnesses that may be associated with each
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Verify emergency preparedness process are periodically tested to the extent practical.
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Verify organization reviews and, if necessary, revises its emergency preparedness and response process after tests, incidents, accidents or emergency situations occur.
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Verify emergency plans are communicated per communication plan
Section 5: Checking and Corrective Action
5.1 Monitoring and Measurement
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Verify plans established to monitor, measure and record characteristics of its operation.
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Verify effectiveness of the QEH&S management system and assess continual improvement.
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Verify that plans define the measurements, methods, criteria, indicators and timing of monitoring activities
5.1.1 Activities Requiring Monitoring or Measurement
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Verify monitoring or measurement of following required elements:
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quality risks
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environmental impacts
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health and safety risks
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legal requirements
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product and customer requirements, including nonconforming products and customer feedback
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relevant stakeholder requirements
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Verify progress on goals and change management
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Verify monitoring or measuring for operational controls
5.1.2 QEH&S Compliance
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Verify written plan to evaluate compliance
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Verify compliance is reviewed at least annually
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Verify auditor's competency in legal requirements
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Verify records of results and actions taken to correct noncompliance
5.1.3 Maintenance and Calibration of Monitoring Equipment
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Verify monitoring and measuring equipment is documented
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Verify monitoring and measuring equipment is maintained and calibrated
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Verify standard(s) used for calibration and verification
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Verify records for maintenance and calibration
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Verify corrective action appropriate for QEH&S impacts for erroneous measurements of equipment found to be not in tolerance
5.1.4 Analysis of Monitoring and Measurement Results
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Verify areas of underperformance to intended results are identified
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Verify results of analysis are input to management review
5.2 Nonconformance and Corrective and Preventive Action
5.2.1 Control of Nonconforming Product
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Verify documented plans that nonconforming product is identified and controlled
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Verify nonconforming product is corrected, released with concessions, re-classified or used for other purposes
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Verified records of nonconforming product and subsequent actions
5.2.2 EH&S Incident Investigations
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Verify EH&S incident investigations include incidents, emergencies and near misses
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Verify plans to record, investigate and analyze EH&S incidents to determine root cause
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Verify investigations identify criteria for correction, corrective action and prevention of recurrence
5.2.3 Nonconformance and Corrective Action
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Verify written plan to address and eliminated the causes of nonconformances and potential nonconformances
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Corrective actions required for...
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feedback and complaints identifying nonconformances
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incident investigations
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internal nonconformances identified by workers
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nonconformances from external audits or reviews
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Verify corrective action plans include..
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identification of root cause(s) of the nonconformance and the action taken to prevent its recurrence
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correction actions implemented that are adequate to the QEH&S impact and assigns responsibilities and timelines
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records of actions taken and the results achieved
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review of the effectiveness of the corrective actions
5.3 Internal RIOS Audit
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Verify written plan to periodically evaluate the QEH&S management system's conformance to RIOS, the proper implementation of the RIOS management system and it effectiveness
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Verify internal audit plan considers..
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frequency
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methods of audit
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audit criteria and scope
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relative importance of QEH&S processes and impacts
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changes impacting the Recycler's operations
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results from previous audits
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audit responsibilities
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auditor competency, objectivity and independence
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addressing nonconformances
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Verify auditors do not audit their own responsibilities.
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Verify audits occurs at least annually
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Verify internal audit results are used to take corrective action
Section 6: Management Review
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Verify senior management review the QEH&S management system at least annually.
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Verify input to management review:
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RIOS audit results
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QEH&S compliance audit results
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feedback from customers and stakeholders
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progress on goals
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status of incident investigations and corrective actions
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follow-up actions from previous management reviews.
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changes in scope
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important quality impacts
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important environmental impacts
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important health and safety risks
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QEH&S performance, including analysis of monitoring and measurement results
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recommendations for improvement.
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Verify output from management review includes decisions and actions regarding the future direction of the RIOS management system, including..
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targeted product and service improvements
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continual improvement opportunities
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resource needs
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risks to the RIOS management system
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changes needed to the RIOS policy, goals and the RIOS management system
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Verify relevant QEH&S performance and output information from management review is communicated per documented communication plan
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Verify management review records
