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SHEQ Process Audit Checklist

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SHEQ Process Audit Checklist

(page name not set)

Audit

Scope of Audit:

Scope:

Opening Meeting

List attendees of opening meeting and there roles

Add signature

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:

(check name not set)

ISO 9001:2008 - Management Responsibility - Clause 5

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

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)

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)

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:-implemented -maintained -communicated

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?

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?

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)

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?

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?

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?

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?

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

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?

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

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?

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

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?

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

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)

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

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

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?

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?

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?

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?

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

(check name not set)

Copy of hand written report

Present summary

List all observations and areas of improvement:

List of all non-conformances

Invite questions:

(check name not set)

Advance action request report within seven working days

Request action request report within fourteen days

Follow up date for clearing of findings

(check name not set)

Signatures

Signature Auditor:

Date of audit

Signature Lead Auditor:

Date purposed for corrective actions:

Signature Auditee:

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