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SHEQ Process Audit Checklist

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SHEQ Process Audit Checklist

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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Please note that this checklist template is a hypothetical appuses-hero example and provides only standard information. The template does not aim to replace, among other things, workplace, health and safety advice, medical advice, diagnosis or treatment, or any other applicable law. You should seek your professional advice to determine whether the use of such a checklist is appropriate in your workplace or jurisdiction.