Information
Integrated ISO Audit for ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018
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Conducted on
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Audit Completed By:
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This internal audit is completed inline with ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018 Standard's.
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Upon completion of this audit, the auditor will consult with management and key stakeholders on the audit findings.
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The QSEMS Manager will register any non-conformance(s) within the Corrective, Preventative and Improvement (CPI) Log and issue same o the respective department Manager & key stakeholders to action accordingly.
ISO audit checklist
Introduction
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During the course of the audit, some documentation may be considered Confidential and thus photographic evidence may not be permitted. In this instance, record in the "Notes" section, "Document confidentiality, sighted SOP, Contract etc..." and record the document name and reference number reviewed.
Changes
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Has there been any significant changes in the past 12 months? (If YES, please elaborate and record brief summary). Note: A significant change may be considered as a change that has had a detrimental impact on the department &/or normal operational process.
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Compliance to Procedures
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Does the department have company procedures (i.e. Work Instruction; Standard Operating Procedures; Forms etc) in place?
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Are the company procedures (SOP, Work Instructions, Forms etc.) document controlled . Record evidence of such documents.
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Verify how knowledge is maintained and made available for staff to fulfill their role. i.e. Training Docs, Procedures, Literature, Specification, RAMS, etc, (especially with new staff)
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Has training been applied to existing and new staff to fulfill their role? How has this been documented (i.e. competency assessment, toolbox etc)
Management / Performance Review
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Verify how the department continually improves. Does the department conduct Management / Performance reviews & evaluates KPI's; Risks & Opportunities that shall be addressed as part of continual improvement?
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Verify what methods are used to monitor, measure and evaluate processes (KPI's?) to achieve intended results.
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Are Risks & Opportunities identified with an action plan developed to address?
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At what frequency are these Management / Performance reviews undertaken?
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Verify status of actions from previous management reviews
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Does the department conduct performance reviews (KPI's; Risks; Opportunities) for their staff?
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Briefly describe how this is managed
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Are job descriptions available for all staff within the department? (New and long term employees)
Non Conformance (NC) / Continuous Improvement
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Verify how internal & external non-conformance are considered & identified. What corrective actions are taken to address them. How is this managed?
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How are NC's communicated
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Is an NC register (CPI Log) in place?
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Are non-conformance's addressed and closed out in a timely manner (where applicable)
Communication
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How are department staff aware of the business, department & personal objectives.
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Do periodic meetings occur within the department
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How are these meetings documented
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Are actions assigned as part of these meetings? If so, are corrective action monitored for effectiveness?
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Verify how departmental changes are communicated / managed. (example: New product / New customer / Supplier, Service provider change, Product changes etc)
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Verify how other means of communication may occur within the department
Training
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Verify how the department ensures that the resources provided are suitable for the specific type of role / activities being undertaken (i.e training, competency assessment, feedback review mechanisms)
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Are new employees being trained correctly? How is this managed & documented
Commercial (Customers) - Procurement (Approved Supplier / Service Provider) - Finance (Vendor Creation) - Human Resources (Employment)
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Verify appropriate documentation is in place for Customers; Supplier(s); Service Provider(s); Vendors &/or Employees. Choose an example and follow process / documentation through
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Verify how the department reviews contracts, order requirements (for delivery and post-delivery), Supplier, Vendor and Employee performance.
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Does the department monitor & report KPI performance (eg. customer, supplier, vendor, employee). How is this completed and what is the frequency?
New Product Introduction (NPI)
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Does a New Product Introduction Process exist.
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Is this process communicated to all relevant personnel
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Verify New Product Introduction process by choosing an example and following the process / documentation through from concept through to Commercialisation.
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Where applicable, is product calibration/Test/Certification managed
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List equipment or Document Reference (Name / Number)
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Is equipment verified internally? Are results recorded (i.e Register) and compliant. If non compliance is evident, are corrective actions in place?
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Is equipment calibrated/tested/Certified externally by third party. Provide evidence same.
Environmental Management
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Are use of resources monitored and measured, i.e. fuel, energy, waster, etc.
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Is the a register of Environmental Aspects and Impacts in place?
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Is their evidence that shows how the organization continually improve its Environmental Management?
Active Monitoring & Objectives
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Has a management review meeting taken place?
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Is there evidence of audits being completed including an internal audit?
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Is there a schedule of audits in place?
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Is there clear objectives in place for Quality Management?
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Is there clear objectives in place for Environmental Management?
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Is there clear objectives in place for Safety Management?
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Is the legal register maintained and up to date?
Sign Off
Sign Off
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I, the undersigned, have completed this audit in an accurate manner. I have attached evidence as required and declare this assessment complete.
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Full name and signature of auditor
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I, the auditee, accept all findings including any non-conformances raised and issued as part of this internal audit
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Full name and signature of auditee
