SHEQ Integrated Audit Checklist · Web viewInternal Audit Checklist Document Ref: v1.0 V1.7 Aug 2020 Page 24 of 26 Author ISO Navigator Created Date 09/16/2020 05:35:00 Title SHEQ

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

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OFI

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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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Opportunities for

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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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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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SHEQ Audit ChecklistPart 2: Leadership

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Audit Question


Opportunities for

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Example Guidance

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/C Provide reference to documented



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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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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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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SHEQ Audit ChecklistPart 3: Planning

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Opportunities for

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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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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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process improvement

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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?



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?



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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SHEQ Audit ChecklistPart 4: Support

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Opportunities for

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process improvement

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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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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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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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process improvement


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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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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SHEQ Audit ChecklistPart 5: Operation

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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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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


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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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?



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?



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8.2.3

210

Does your organization retain documented information, as applicable on the results of the review?



8.2.3

211

Does your organization retain documented information, as applicable on any new requirements for the products and services?



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?



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?



Transport issues. Supplier Audits by Natasha NaaimiA – Control of Contractors

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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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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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5 2 activities that are required, does your organization consider customer feedback?

feedback group wide.

A-Evidence any local surveys undertaken


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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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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SHEQ Audit ChecklistPart 6: Performance Evaluation

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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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Clau

se N

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Que

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Audit Question


Opportunities for

Improvement (OFI)

ExampleGuidance

Com

plia

nt

OFI

Min

or N

/C

Maj

or N

/C




process improvement



9.1.2

319

Does your organization determine the methods for obtaining, monitoring and reviewing customer information?


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?


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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Opportunities for

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ExampleGuidance

Com

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OFI

Min

or N

/C

Maj

or N

/C




process improvement



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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SHEQ Audit ChecklistPart 7: Improvement

Clau

se N

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Que

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Audit Question


Opportunities for

Improvement (OFI)

ExampleGuidance

Com

plia

nt

OFI

Min

or N

/C

Maj

or N

/C




process improvement



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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Notes – OFI’s

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Documents

SHEQ Integrated Audit Checklist · Web viewInternal Audit Checklist Document Ref: v1.0 V1.7 Aug 2020 Page 24 of 26 Author ISO Navigator Created Date 09/16/2020 05:35:00 Title SHEQ