SUL - IMS Audit Checklist - Leadership Commitment / Customer Focus / Policy / Resources, roles, responsibilities

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Personnel

General

• Has previous audit been reviewed and any non-conformances raised closed out?

  Yes

  No

  N/A

Director - General Manager: Top Management Leadership Commitment

• Is Top Management aware of the framework for setting quality, environmental and health and safety objectives and targets for the company?

  Yes

  No

  N/A

• Has Top Management identified the external and internal quality, environmental and health and safety issues relevant to the company, it's purpose and its strategic business direction? How is this information kept up to date?

  Yes

  No

  N/A

• Have interested parties relevant to the company been identified by Top Management, including their needs and expectations?

  Yes

  No

  N/A

• Has Top Management considered company processes and considered risks and opportunities to the business?

  Yes

  No

  N/A

• How is Top Management accountable for the effectiveness of the IMS system?

  Yes

  No

  N/A

• Does Top Management promote improvement within the company? How is this achieved?

  Yes

  No

  N/A

Customer Focus

• Does the company understand what the customer wants?

  Yes

  No

  N/A

• Is the company committed to take corrective actions and plan for preventive measures when required?

  Yes

  No

  N/A

• Does the company monitor customer satisfaction? How is this achieved?

  Yes

  No

  N/A

• Has the company established and implemented a procedure for handling customer complaints?

  Yes

  No

  N/A

• Are company processes controlled and managed, ensuring customer needs are met?

  Yes

  No

  N/A

Policy

• Has Company policy been defined and authorised by Top level management for Quality, Environmental and Health & Safety?

  Yes

  No

  N/A

• Does the policy (policies) include a commitment to:

• - Continual improvement?

  Yes

  No

  N/A

• - To prevent injury and ill health?

  Yes

  No

  N/A

• - To prevent pollution?

  Yes

  No

  N/A

• - To comply with applicable legal and regulatory requirements?

  Yes

  No

  N/A

• Does the policy (policies) provide the framework for setting and reviewing objectives and targets?

  Yes

  No

  N/A

• Is the policy (policies) documented, implemented and maintained?

  Yes

  No

  N/A

• Has the policy (policies) been effectively communicated to all employees?

  Yes

  No

  N/A

• Is the policy (policies) available to all interested parties, internal and external?

  Yes

  No

  N/A

• Is the policy (policies) reviewed periodically to ensure it remains relevant and appropriate?

  Yes

  No

  N/A

Resources, roles, responsibility, accountability and authority

• Has the company defined, documented and communicated the roles, responsibilities and authorities to ensure effective IMS management?

  Yes

  No

  N/A

• Is performance of the IMS system reported and communicated to top senior management?

  Yes

  No

  N/A

• Does the company ensure employees understand their responsibility for aspects of the IMS System for which they have control?

  Yes

  No

  N/A

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