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SHEQ Integrated Audit ChecklistISO 9001-2015, ISO 14001-2015, OHSAS 18001 - 2007
Type of Audit A, A+B, A+C or All Elements (106)Elements Audited:A = Every Year (79)B = Bi Annually every 2 years (13)C = Tri Annually every 3 years (16)Site Location – Date – Auditor(s) –
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Internal Audit Checklist
SHEQ Audit ChecklistPart 1: Context of the Organization
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
ExampleGuidance
Com
plia
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OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=Nottingham
P=Pounds Only
L=Luxury Assets
A=All Sites
4.1 1
Has your organization determined external and internal issues relevant to its purpose and its strategic direction that affect its ability to achieve the intended result(s) of its SHEQS?
N – SWOT & PESTLE Analysis
– Marketing Team.
Strategic Plan - BD
4.1 2Does your organization monitor and review information about these external and internal issues?
N – Evidence from Marketing
Team
4.2 4
Does your organisation determine the requirements of these interested parties that are relevant to the SHEQS, which may include regulatory requirements, local, regional or global environmental conditions that can affect, or be affected by, your organization?
A – See Interested
Parties List held on site
4.3 13Is the scope of your organization’s SHEQS available and maintained as documented information?
N - refer to IMS Manual Page 11
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
ExampleGuidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=Nottingham
P=Pounds Only
L=Luxury Assets
A=All Sites
4.4.1 16
Has your organization established, implemented, maintained and continually improved an SHEQS, including the processes needed and their interactions, in accordance with the requirements of ISO 9001:2015?
N – refer to IMS Manual section
A1 and view interactions of
processes
4.4.1 17
Has your organization determined the processes needed for the SHEQS and their application throughout the organization?
N - refer to IMS Manual section
A1 Page 47
4.4.1 18
Has your organization determined the inputs required and the outputs expected from these processes?
N - refer to IMS Manual
4.4.1 20
Has your organization determined and applied the criteria and methods (including monitoring, measurements and related performance indicators) needed to ensure the effective operation and control of these processes?
N – Refer to IMS Manual and
Processes 9.0 and 9.1 page 40
4.4.1
23 Has your organization addressed the risks and opportunities as determined in accordance with the requirements of 6.1?
N – Business Continuity Plan – Need to see
analysis of SWOT and
PESTLE V1.5
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
ExampleGuidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=Nottingham
P=Pounds Only
L=Luxury Assets
A=All SitesBusiness Risk & Opportunities
Register
4.4.2 26
To the extent necessary, does your organization maintain documented information to support the operation of its processes?
N - refer to IMS Manual,
Processes and Forms
4.4.2 27
To the extent necessary, does your organization retain documented information to have confidence that the processes are being carried out as planned?
N - refer to IMS Manual,
Processes and Forms.
Site documentation
inc check sheets
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Internal Audit Checklist
SHEQ Audit ChecklistPart 2: Leadership
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=Nottingham
P=Pounds Only
L=Luxury Assets
A=All Sites
5.1.1 29
Does Top management demonstrate leadership and commitment with respect to the SHEQS by ensuring that integrated policies and objectives are established for the SHEQS and are compatible with the context and strategic direction of your organization and its context?
A - View strategic plan and objectives for each site and compare with Context
5.1.1 34
Does Top management demonstrate leadership and commitment with respect to the SHEQS by communicating the importance of effective quality, environmental and health and safety management and of conforming to the SHEQS requirements?
A – All employees should have
access to Workplace
Facebook and the company
portal
5.1.1
37 Does Top management demonstrate leadership and commitment with respect to the SHEQS by promoting improvement?
A – Evidence of team meetings, showing SHEQ
for discussion. & within
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=Nottingham
P=Pounds Only
L=Luxury Assets
A=All SitesNewsletter
5.1.2 40
Does Top management demonstrate leadership and commitment with respect to customer focus by ensuring that the risks and opportunities that can affect conformity of products and services and the ability to enhance customer satisfaction are determined, addressed and maintained?
N – Evidence of customer and client surveys, analysis and
implementation
5.2 43
Has Top Management established, implemented and maintained as documented information a quality, environmental and health and safety policy with regard to the scope of our SHEQS to provide a framework within which to establish and document our objectives?
A – Check OP05 and understand
if these objectives have
been understood and
are actively discussed
5.2.2 51
Is the SHEQS policy available and be maintained as documented information? (See 7.5.1a)
A – Check that it is displayed for
staff
5.2.2 52 Is the policy communicated, understood
and applied within the organization?A – Check that
staff know where to find it
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
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OFI
Min
or N
/C
Maj
or N
/C Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=Nottingham
P=Pounds Only
L=Luxury Assets
A=All Sites
5.3 54Does Top management ensure that the responsibilities and authorities for relevant roles are assigned, communicated and understood?
A – All sites should have H&S Rep or a
competent person
5.3 57
Has Top Management assigned responsibility and authority to relevant personnel for reporting on the performance of our SHEQS, including environmental KPIs to Top Management?
N – Safety Rep compiles info from all sites and creates
KPI’s
5.3 59Has Top management assigned the responsibility and authority for ensuring the promotion of customer focus throughout your organization?
N – Marketing team evidence
of what is in place
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Internal Audit Checklist
SHEQ Audit ChecklistPart 3: Planning
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=Nottingham
P=PoundsL=Luxury
AssetsA=All Sites
6.1.1 61
Has your organization established, implemented and maintained the processes needed to meet the requirements for addressing risk and opportunities?
L – Check Safe Keys are locked away when not
in use and process is
robustA - Risk and Opportunity
Register
6.1.1 72
Does the scope of the SHEQS demonstrate how your organization has determined potential emergency situations, including those which might have an environmental impact or which might pose a health and safety risk?
A – Check spillage kit in
place and staff trained on how
to use it and it is checked
monthly signed off
6.1.1
73 Has your organization maintained documented information of its risk and opportunities that must be addressed as they relate to quality?
N – Check Business
Continuity Plan,A – First aid box
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=Nottingham
P=PoundsL=Luxury
AssetsA=All SitesA – Risk and Opportunity
Register
6.1.2 80
Has your organization determined those aspects and hazards that pose a significant environmental impact or health and safety hazard by using established assessment criteria?
A – Gas Storage, Vehicle
washing.
6.1.2 81
Has your organization communicated those aspects and hazards that pose a significant environmental impacts or health and safety hazards throughout the various levels and functions of our organization?
A – Check that Tool Box Talks
are being undertaken and
risk Assessments
are reviewed at Team meetings
6.1.2 82
Does your organization maintain documented information regarding its environmental aspects and associated impacts and health and safety hazards?
A – Accident/Near
Miss Books, N – Aspects and
Impacts register
6.1.3 86
Has your organization determined, and have access to relevant compliance obligations related to its environmental aspects and health and safety hazards?
A – If vehicle washing is undertaken
there should be a licence to discharge
6.1. 87 Has your organization determined how A – COSHH, First Aid, Signage,
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=Nottingham
P=PoundsL=Luxury
AssetsA=All Sites
3these environmental and health and safety compliance obligations apply to your organization?
Visual inspections,
PPE, FLT checks, Signing in and
out
6.2.1 94
Has your organization established objectives at relevant functions, levels and processes needed for the SHEQS?
A – Check that sites are
working to the objectives
highlighted in OP05
6.2.1 96
Are your organization’s quality, environmental and health and safety objectives documented and measurable (SMART), where practicable?
A – Check that sites are
working to the objectives
highlighted in OP05
6.2.2
105
When planning how to achieve its objectives, does your organization determine who will be responsible & when it will be completed? how the results will be evaluated, including indicators for monitoring the progress of achievement of objectives?
A – Check that sites are
working to the objectives
highlighted in OP05
6.3 109
When your organization determines the need for changes to the SHEQS, are the changes carried out in a planned manner (see 4.4).
N – Change request via
process OP01
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Internal Audit Checklist
SHEQ Audit ChecklistPart 4: Support
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=Pounds
L=Luxury AssetsA=All
7.1.1
114
Does your organization determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the EHQMS?
A – Establish who is responsible for
on-site SHEQ
7.1.1
115
Does your organization consider the capabilities of, and constraints on existing internal resources?
A – Are responsible
persons capable and received
training?
7.1.3
118
Does your organization determine, provide and maintain the infrastructure necessary for the operation of its processes and to achieve conformity of products and services.
A – Check maint agreements in
place i.e. Electrical testing, Boilers, Air Con, Roller shutter doors, lifts,
racking, FLT, Fire Alarms & Ext,
OP08 etc.
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=Pounds
L=Luxury AssetsA=All
7.1.4
119
Does organization determine, provide and maintain the environment necessary for the operation of its processes and to achieve conformity of products and services?
A = Speak with individuals with respect to their general happiness and the welfare conditions they work within (general comfort, hygiene, mental health etc).
7.1.5.1
120
Does your organization determine and provide the resources needed to ensure valid and reliable results when monitoring or measuring is used to verify the conformity of products and services to requirements.
L – Check calibration
records and certificates of all items used for
testing and weighing
7.1.5.1
122
Does your organization ensure that the resources are maintained to ensure their continuing fitness for their purpose? And equipment identified in order to determine their status?
L – Check maintenance records and
calibration certs of testers and
scales
7.1.5.1
123
Does your organization retain appropriate documented information as evidence of fitness for purpose of the monitoring and measurement resources?
L – Check calibration logs
and process OP14
7.1.6
130
Is organizational knowledge maintained and made available to the extent necessary?
A – Site Training Records, HR Skills
Matrix
7.2 13 Does your organization determine the A – Check that all
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=Pounds
L=Luxury AssetsA=All
2necessary competence of person(s) doing work under its control that affects the performance and effectiveness of the EHQMS?
staff have received
inductions and mandatory
training in Fire, Manual Handling,
FLT operationA – Contract
approval process
7.2 133
Does your organization ensure that these persons are competent on the basis of appropriate education, training, or experience?
A – Training records,
competency Matrix, Security
Clearance.
7.2 136
Does your organization retain appropriate documented information as evidence of competence? (See 7.5.1b)
A – Training records,
competency Matrix
7.3 139
Does your organization ensure that persons doing work under your organization’s control are aware of the relevant environmental aspects and impacts associated with their work?
A – check that staff have
undergone spill kit training,
signage on waste cages, skips &
batteries, lighting tubes
7.4 142
Does your organization determine the internal and external communications relevant to the EHQMS, including what and when it will communicate?
A – Ensure that there is
appropriate signage around the site to aid
visitors inc T’s &
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=Pounds
L=Luxury AssetsA=AllC’sA –
Communication Matrix
7.4.1
147
Does your organization take into account its compliance obligations when establishing its communication process?
N – Marketing Team legalities on
mailshots.
7.4.1
148
Has your organization established a process for internal and external communication relevant to the EHQMS?
N – Marketing Team
On Website, noticeboards and
WORKPLACE portal
A – Live Chat
7.5.1
157
Does your organization’s EHQMS include documented information determined by your organization as being necessary for the effectiveness of the EHQMS?
A – Is there a IMS manual on site or
on the Portal?
7.5.2
158
When creating and updating documented information, does your organization ensure appropriate identification and description (e.g. a title, date, author, or reference number)?
N – Randomly check
documentation
7.5.3.1
162
Is documented information (required by the EHQMS and ISO 9001:2015, ISO 14001:2015 and OHSAS 18001:2007?) controlled to ensure it is adequately
A – Waste Transfer notes
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=Pounds
L=Luxury AssetsA=All
protected from loss of confidentiality, improper use, or loss of integrity?
7.5.3.2
163
For the control of documented information, does your organization address the distribution, access, retrieval and use?
A – has all sites access to Portal
for the viewing of the IMS manual
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Internal Audit Checklist
SHEQ Audit ChecklistPart 5: Operation
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=PoundsL=Luxury
AssetsA=All
8.1 179
Does your organization ensure that outsourced process are controlled and influenced? (See 8.4)?
N-Check Transport Tracker
process with Shakinna &
establish that this is under control
8.2 186
Has your organization established, implemented and maintained process required to prepare for and to respond to potential emergency situations, including accidents and incidents identified in Section 6.1.1?
N-Business Continuity Plan
OP21 V1.02A-Accident and
incident reporting & investigation
8.2 187
Does your organization prepare and respond by planning actions to prevent or mitigate adverse environmental impacts or health and safety hazards arising from emergency situations?
N-Business Continuity Plan
8.2 190
Does your organization periodically test your planned responses and drills where practicable?
A-Fire Drill & Evacuation, Evidence of
testing
8.2 191
Does your organization periodically review the planned responses, in particular, after
A-Evidence of how long to evacuate
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=PoundsL=Luxury
AssetsA=All
an emergency situation or after an accident and incident has occurred?
building together with planned
improvementsA – Accident Investigation
Forms
8.2 192
Does your organization provide relevant information and training related to emergency response and preparedness to relevant interested parties and staff?
A-Evidence of Fire Training & Induction
N-Skills Matrix
8.2.1
194
Does communication with customers include providing information relating to products and services and handling enquiries, contracts or orders, including changes?
N-Marketing Team Mailshots/videos
N-BD Team, Salesforce CRM, Email records
A – Customer Live Chat
8.2.1
196
Does communication with customers include obtaining customer feedback relating to products and services, including customer complaints?
N-Marketing Team Customer Surveys
A-Customer Complaints Log
A – Customer Live Chat
8.2.1
197
Does communication with customers include handling or controlling customer property?
N-BD Team, Salesforce CRM, Email records
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=PoundsL=Luxury
AssetsA=All
8.2.2
199
When determining the requirements for the products and services to be offered to customers, does your organization ensure that the requirements for the products and services are defined, including any applicable statutory and regulatory requirements?
N-BD Team, Salesforce CRM, Email recordsData Wiping
8.2.3
202
Does your organization ensure that it has the ability to meet the requirements for products and services to be offered to customers?
N-BD Team, introductory
email, Salesforce CRM
8.2.3
205
Does your organization conduct a review before committing to supply products and services to a customer, including requirements specified by your organization?
N-BD Team, introductory
email, Salesforce CRM
8.2.3
209
Are customer’s requirements confirmed by your organization before acceptance, when the customer does not provide a documented statement of their requirements?
N-BD Team, introductory
email, Salesforce CRM
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=PoundsL=Luxury
AssetsA=All
8.2.3
210
Does your organization retain documented information, as applicable on the results of the review?
N-BD Team, introductory
email, Salesforce CRM
8.2.3
211
Does your organization retain documented information, as applicable on any new requirements for the products and services?
N-BD Team, introductory
email, Salesforce CRM
8.4.1
249
Does your organization ensure that externally provided processes, products and services conform to requirements?
N-Feedback from sites to Natasha
Naaimi & Shakinna on
Transport issues
8.4.1
251
Does your organization determine the controls to be applied to externally provided processes, products and services when products and services are provided directly to the customer(s) by external providers on behalf of your organization?
N-Feedback from sites to Natasha
Naaimi & Shakinna on
Transport issues
8.4.1
253
Does your organization determine and apply criteria for the evaluation, selection, monitoring of performance, and re-evaluation of external providers, based on their ability to provide processes or products and services in accordance with requirements?
N-Feedback from sites to Natasha
Naaimi & Shakinna on
Transport issues. Supplier Audits by Natasha NaaimiA – Control of Contractors
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=PoundsL=Luxury
AssetsA=All
8.4.2
257
Does your organization define both the controls that it intends to apply to an external provider and those it intends to apply to the resulting output?
N-Shakinna on Transport issues. Supplier Audits by Natasha Naaimi
8.4.3
262
Does your organization communicate to external providers its requirements for the processes, products and services to be provided?
N-Shakinna on Transport issues.
8.4.3
268
Does your organization communicate to external providers its requirements for the control and monitoring of the external providers’ performance to be applied by your organization?
N-Shakinna on Transport issues.
8.5.1
273
Has your organization implemented controlled conditions that include the availability and use of suitable monitoring and measuring resources?
L-Ensure that scales and gold testers etc are
calibrated
8.5.1
279
Has your organization implemented controlled conditions that include the implementation of release, delivery and post-delivery activities?
A- Signed hand out and
collections sheets, Auction check sheets (See
saleroom app)
8.5.2
280
Does your organization use suitable means to identify outputs when it is necessary to ensure the conformity of products and
A-Delivery Logs for courier (See saleroom app)
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=PoundsL=Luxury
AssetsA=All
services?
8.5.2
282
Does your organization control the unique identification of the outputs when traceability is a requirement, and shall retain the documented information necessary to enable traceability?
P-Ensure Bagging & Tagging items are identifiable &
secureL-Evidence of
assets coming in and out
8.5.3
284
Does your organization identify, verify, protect and safeguard customers’ or external providers’ property provided for use or incorporation into the products and services?
A-All assets should be
identifiable to a vendor
8.5.3
285
When the property of a customer or external provider is lost, damaged or otherwise found to be unsuitable for use, does your organization report this to the customer or external provider and retain documented information on what has occurred?
A-Check for evidence that salerooms are
doing this
8.5.4
286
Does your organization preserve the outputs during production and service provision, to the extent necessary to ensure conformity to requirements?
A-Evidence required of how
we look after/preserve
assets under our control
8.5. 29 In determining the extent of post-delivery N-Customer surveys and
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=PoundsL=Luxury
AssetsA=All
5 2 activities that are required, does your organization consider customer feedback?
feedback group wide.
A-Evidence any local surveys undertaken
A – Customer Live Chat
8.5.6
294
Does your organization retain documented information describing the results of the review of changes, the person(s) authorizing the change, and any necessary actions arising from the review?
N-OP01 Document change process
8.6 296
Does your organization ensure that the release of products and services to the customer does not proceed until the planned arrangements have been satisfactorily completed, unless otherwise approved by a relevant authority and, as applicable, by the customer?
A-Check payment process and
release of goods
8.6 297
Does your organization retain documented information on the release of products and services including evidence of conformity and traceability to the person(s) authorizing the release with the acceptance criteria?
A-Handout & Collection sheet
P-Check that proof of ID and address have been obtained prior to release
8.7. 29 Does your organization ensure that outputs P-Ensure HPI, Chassis No and
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
Example Guidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=PoundsL=Luxury
AssetsA=All
1 9that do not conform to their requirements are identified and controlled to prevent their unintended use or delivery?
V5 checks are undertaken
A-Handout logs (on saleroom app)
8.7.1
300
Does your organization take appropriate action based on the nature of the nonconformity and its effect on the conformity of products and services?
N-See evidence from Vehicles
Team of communications
with NSL advising them of problems
highlighted in Q299
8.7.2
304
Does your organization retain documented information that describes the nonconformity?
N-See evidence from Vehicles
Team where HPI Checks
undertaken
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Internal Audit Checklist
SHEQ Audit ChecklistPart 6: Performance Evaluation
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
ExampleGuidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=Pounds
L=Luxury AssetsA=All
9.1.1
308
Does your organization determine what needs to be monitored and measured?
L-Calibration Records
9.1.1
309
Does your organization monitor, measure analyse and evaluate its quality, environmental, and health and safety performance?
N-Internal Audits
9.1.1
311
Does your organization determine the criteria against which the organization evaluates its quality, environmental, and health and safety performance, appropriate indicators and when the monitoring and measuring is performed
N-Internal AuditsSite Checklists
H&S data collection
9.1.1
315
Does your organization internally and externally communicate relevant quality, environmental, and health and safety performance information as required by its communication process and its compliance obligations?
N-Workplace Facebook
N-H&S Statistics from H&S Rep
Reportable Accidents & Team Meetings
9.1.2
318
Does your organization monitor customers’ perceptions of the degree to which their needs and expectations have been fulfilled?
N-Marketing Team, Customer Survey
N-BD Client Surveys
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
ExampleGuidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=Pounds
L=Luxury AssetsA=All
9.1.2
319
Does your organization determine the methods for obtaining, monitoring and reviewing customer information?
N-Marketing Team, Customer Survey
9.1.3
322
Does your organization analyse and evaluate appropriate data and information arising from monitoring and measurement?
N-Marketing Team, Web Statistics
9.1.3
324
Does your organization ensure that the results of analysis are used to evaluate the degree of customer satisfaction?
N-Marketing Team, Customer Survey
ResultsN-BD Team Client
Survey Results
9.1.3
328
Does your organization ensure that the results of analysis are used to evaluate the performance of external providers?
N-Feedback from Sites on External
Provider Performance, See Natasha Naaimi
9.2.1
331
Does your organization conduct internal audits at planned intervals to provide information on whether the EHQMS conforms to the requirements of ISO 9001:2015, ISO 14001:2015 and OHSAS 18001:2007 and is effectively implemented and maintained?
N-Internal Audit Plan
9.2.2
333
Does your organization plan, establish, implement and maintain EHQMS audit programme(s) including the frequency, methods, responsibilities, planning
N-Audit Plan, Protocol, Reports, NCR’s, Corrective
Action Reports
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Internal Audit Checklist
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
ExampleGuidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=Pounds
L=Luxury AssetsA=All
requirements and reporting, which take into consideration the importance of the processes concerned, changes affecting your organization, and the results of previous audits?
9.2.2
336
Does your organization ensure that the results of the audits are reported to relevant management?
N-Follow reporting trail to Site Manager
9.2.2
337
Does your organization take appropriate correction and corrective actions without undue delay?
N-Examine Corrective Action Reports and
timescales for completion
9.2.2
339
Does Top management review your organization’s EHQMS, at planned intervals, to ensure its continuing suitability, adequacy, effectiveness and alignment with the strategic direction of your organization?
N-Examine Management Review
and Monthly Management Meeting
Minutes
9.3.3
365
Does your organization retain documented information as evidence of the results of management reviews? (See 7.5.1b)
N-See Previous Management Review
Minutes
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Internal Audit Checklist
SHEQ Audit ChecklistPart 7: Improvement
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Audit Question
Audit Findings (Score ‘1’ per box) Audit Evidence
Opportunities for
Improvement (OFI)
ExampleGuidance
Com
plia
nt
OFI
Min
or N
/C
Maj
or N
/C
Provide reference to documented
information to justify the finding
Provide suggestions for
process improvement
N=NottinghamP=Pounds
L=Luxury AssetsA=All
10.1 366
Does your organization determine and select opportunities for improvement and implement any necessary actions?
A-Check Previous Audits for OFI’s and
see if they have been implemented
10.2 371
Does your organization ensure that corrective actions are appropriate to the effects of the non-conformities encountered, including environmental impacts?
A-Check Previous Audits for N/C and
see if they have been implemented
10.2.2
381
Does your organization retain documented information as evidence of the nature of the non-conformities and any corrective actions taken?
A-Observe Audit Doc & associated NCR & CAR
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Internal Audit Checklist
Notes – OFI’s
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Document Ref: v1.0
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