SHEQ Process Audit Checklist

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Scope of Audit:

• Scope:

Opening Meeting

• List attendees of opening meeting and there roles

• Add signature

  Sign

• Complete attendance register

• List the objectives of the audit: - not to reject system - re-currence may point to system failure - can't cover all aspects - where no non-conformance exists, does not mean non exists. Sample of activities only

• Review of audit programme:

• Company representative

• Function of company representative:

• Time of closing meeting:

• Confidentiality

• Reasons for aborting audit

• Invite questions

Overview of organization:

• Comments:

Results of previous audits:

ISO 9001:2008 - Management Responsibility - Clause 5

• Is the company quality policy displayed or on hand on the project / site / office? (Look for display)

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Has the company quality policy been communicated to all employees on the project / site/ office? (Ask employees on site)

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• What measurable goals or objectives have been established to support the policy? (Look for documented evidence)

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Are these goals:<br>-implemented <br>-maintained <br>-communicated

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Are these objectives being achieved, if not what action plan is in place to correct?

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• How are the objectives reviewed for opportunities of continual improvement?

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• How does top management communicate the importance of meeting customer requirements? (What method)

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Does top management ensure availability of resources?

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

ISO 9001:2008 - Customer Communication - Clause 7.2.3.

• Is there records of contractual meetings with the customer?

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Is there records of technical meetings with the customer?

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Is there records of Quality meetings with the customer?

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Was any customer complaints raised to date recorded on action requests forms?

  Yes

  No

  N/A

• Comments

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Was customer complaints handled effectively (find root cause, correct, document, evaluate effectiveness

  Yes

  No

  N/A

• Comments

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

ISO 9001:2008 - Identification and Traceability - Clause 7.5.3.

• Is incoming materials, in-process materials, and final products clearly identified?

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Walk through storage and production areas to verify conformance to procedures - note any exceptions in comments section

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Are there traceability requirements for this site?

  Yes

  No

  N/A

• Comments

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Are the traceability requirements being met? (Walk around and look at product) state results in comments section

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Is inspection an test status of incoming material, in-process material and final products identified?

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Walk through facility and verify conformance to procedure

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

ISO 9001:2008 - Human Resources - Clause 6.2.1. & 6.2.2.

• Are the necessary competence of personnel on site determined? (Evidence required)

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Are actions taken to achieve the necessary competence - state actions in comments section

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Is the effectiveness of the action taken evaluated? How - state in comments section

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Is personnel made aware of the relevance and importance of their activities?

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Is appropriate records maintained of education, training and experience?

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Is the training procedure established and implemented for this site?

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

• Have training needs been identified?

  Yes

  No

  N/A

• Comments:

• RATING: 4 = Fully Implemented and effectively applied 3 = Implemented – partly effective 2 = Implemented / Partly Implemented – not satisfactory 1 = No evidence of effective application (even if implemented) 0 = Not addressed at all

Closing meeting

• Attendance register

• Re-emphasize confidentiality

• Adit sample only, where no non-conformance reported does not mean non exist

• Summaries good practices

• Copy of hand written report

• Present summary

• List all observations and areas of improvement:

• List of all non-conformances

• Invite questions:

• Advance action request report within seven working days

• Request action request report within fourteen days

• Follow up date for clearing of findings

Signatures

• Signature Auditor:

  Sign

• Date of audit

  Date

• Signature Lead Auditor:

  Sign

• Date purposed for corrective actions:

• Signature Auditee:

  Sign