jecs-qehs-sys-07 f - internal audit checklist

Form No: JECS-QEHS-SYS-07 F Rev No: 00 Issue No: 00 Date: 14-Nov-2012

NAME OF THE AUDITOR: M. Nandha AUDITEE NAMES: Mr.Joey Tan

SIGN: Ms.Pace Ng

DATE OF THE AUDIT: 6-Dec-12 LOCATION

ISO 9001:2008 Internal Audit Check ListQMS REF # REQUIREMENTS

4.0 Quality Management System CompilationRemarks

4.1 General Requirements Yes No4.1

Does the organization:

Yes , Process flow had verified

Yes, Verified in the manual and system procedures

e) Monitor, measure and analyse these processes? Yes , Process had been monitored , measured and analysed.

4.2 Documentation Requirements4.2.1 General4.2.1

Does the quality management system documentation include:

Yes , Quality Manual had been documented and maintained

Yes , Verified

4.2.2 Quality Manual4.2.2

The Scope had been verified in the quality manual

b) Do all exclusions meet Clause 1.2, "Application" of ISO 9001:2008? Yes. Only 7.3 had been excluded

Yes , process flow had been verified.

4.2.3 Control of Documents4.2.3

Yes Verified

Yes , All the documents approved for adequacy prior to use.

Are changes and the current revision status of documents identified?

Are the relevant versions of applicable documents available at points of use?

Has a quality management system been established, documented, maintained and continually improved in accordance with the requirements ISO 9001:2008 ?

Yes, Quality management System had been established, documented and maintained.

a) Identify the processes needed for the quality management system and their application throughout the organization?

Yes , Process flow and special process had been verified as per the document JEC-QEHS-01 Annexure 1

b) Determine the sequence and interaction of these processes?

c) Determine criteria and methods needed to ensure that both the operation and control of these processes are effective?

Criteria and methods needed to ensure that both the operation and control of the process are effective

d) Ensure the availability of resources and information necessary to support the operation and monitoring of these processes?

f) Implement actions necessary to achieve planned results and continual improvement of these processes?

Yes, Actions had been implemented to achieve planned results and continual improvement of the process.

Is evidence available confirming that all outsourced processes affecting product conformance with requirements have been identified and controlled within the quality management system?

Yes , outsourced actvity had identified and controlled with in the quality management syste

a) Documented quality policy and objectives? Yes, Quality Policy and Objective had been documented in the Manual

b) A quality manual?

c) Documented procedures required by ISO 9001:2008? Yes , Mandatory procedures required by ISO 9001:2008 had been documented and maintained

d) Documents needed to ensure effective planning, operation and control of processes?

e) Quality records required by ISO 9001:2008 ? (see 4.2.4) Yes , Quality Records Masterlist had been verified, Record retention period 5 years had been clearly identified

Has a quality manual been established and maintained that includes the following:

a) The scope of the quality management system, including details of, and justification for, any exclusions?

c) Documented procedures for the quality management system or reference to them?

Yes , Documented system procedures had referenced to the quality manual

d) A description of the interaction between the processes of the quality management system?

Have all documents required for the quality management system been placed under control?

Yes , All the documents required for the QMS been placed under control

Are records controlled in accordance with the requirements of 4.2.4?

Is there a documented procedure for control of documents, which addresses all requirements of 4.2.3?

Yes , Verified the procedure for Control Of Document. (JECS-QEHS-SYS-03 - Control of Document)

Are documents approved for adequacy prior to use?

Are documents reviewed, updated and reapproved as necessary? Yes , All the documents were reviewed, updated and reapproved if necessary

Yes,Current revision status of document had been updated ( verified that JECS-QEHS-SYS-03 - Rev 00)

Yes , Relevant versions of applicable documents available at points of use.


4.2.3

Are the documents legible and readily identifiable? Yes

4.2.4 Control of Records4.2.4

5.0 Management Responsibility5.1 Management Commitment5.1

Yes , Quality Objective had been established.

5.2 Customer Focus5.2

5.3 Quality Policy5.3

a) Appropriate to the organization? Yes , Quality Policy is appropriate to the organization

c) Provides a framework for establishing and reviewing quality objectives?

d) Is communicated and understood throughout the organization?

e) Is reviewed for continuing suitability? Yes, Quality Policy is reviewed for continuing suitability

5.4 Planning5.4.1 Quality Objectives5.4.1

Are the quality objectives measurable and consistent with the quality policy?

5.4.2 Quality Management System Planning5.4.2 Is top management able to demonstrate how they ensure:

5.5 Responsibility, Authority, and Communication5.5.1 Responsibility and Authority5.5.1

5.5.2 Management Representative

Are documents of external origin identified and their distribution controlled? Yes , Verified External documents are identified and in proper control

Are controls in place to prevent the unintended use of obsolete documents, and to apply suitable identification to them if they are retained for any purpose?

Yes, Controls in place to prevent the intentended use of obselete documents.

Do quality records provide evidence of conformance to requirements and the effective operation of the quality management system?

Yes, Quality Records provided evidence of conformance to requirments

Has a documented procedure been established for the identification, storage, retrieval, protection, retention time and disposition of quality records?

Yes , JECS-QEHS-SYS-04 Control of Records procedure had been verified.

Are quality records legible, readily identifiable and retrievable? Yes, Quality records had been verified ( retention period 5 years )

Can top management demonstrate evidence of commitment to the development, implementation and improvement of the effectiveness of the quality management system by:

a) Communicating to the organization the importance of meeting customer requirements?

Yes , Verified the communication matrix of the organization to the importance of meeting customer requirments through manual

b) Establishing the quality policy? Yes , Quality policy had been established and verified that quality policy posted in the reception area.

c) Ensuring that quality objectives are established?

d) Conducting management reviews? Yes, Yearly once stated in the Quality Manual and Management review procedure.

e) Ensuring the availability of resources? Yes, Availability of Resources ensured in timely manner in the quality manual

Does top management ensure that customer requirements are determined and are met with the aim of enhancing customer satisfaction?

Yes , top management ensure that customer requirements are determined and are met with the aim of enhancing customer satisfaction

Does top management ensure that the quality policy:

b) Includes a commitment to comply with requirements and continually improve the effectiveness of the quality management system?

Yes, Quality Policy includes a commitment to comply with requirements and continually improve the effectiveness of the quality management system

Yes, Quality Policy Provides a framework for establishing and reviewing quality objectives

Yes, Quality Policy is communicated and understood throughout the organization

Is top management able to demonstrate how they ensure that quality objectives, including those needed to meet requirements for product are established at relevant functions and levels within the organization?

Yes , top management is able to demonstrate how they ensure that quality objectives, including those needed to meet requirements for product are established at relevant functions and levels within the organization

Yes , Verified the Quality Objective summary for measureable.

a) Quality management system planning is carried out in order to meet the requirements given in 4.1 and the quality objectives?

Yes, Quality management system planning is carried out in order to meet the requirements given in 4.1 and the quality objectives

b) The integrity of the quality management system is maintained when changes to the quality management system are planned and implemented?

Yes ,The integrity of the quality management system is maintained when changes to the quality management system are planned and implemented

Is top management able to demonstrate how they ensure that the responsibility, authority and their interrelation are defined and communicated within the organization?

Yes, Roles and Responsibilities had been clearly identified in the quality manual with the competency and it is properly communicated within the organization.


5.5.2

5.5.3 Internal Communication5.5.3

5.6 Management Review5.6.1 General5.6.1

Are the results of management review recorded? Yes, verified the Management Review meeting minutes.

5.6.2 Review Input5.6.2

Do the inputs to management review include information on the following:

a) Results of audits?

b) Customer feedback?

c) Process performance and product conformance?

d) Status of preventative and corrective actions?

e) Follow-up actions from earlier management reviews?

f) Planned changes that could affect the quality management system?

g) Recommendations for improvement?

5.6.3 Review Output5.6.3

b) Improvement of product related to customer requirements?

c) Resource needs? Yes, MRM had verified

6.0 Resource Management6.1 Provision of Resources6.1

Does the organization determine and provide the resources needed to:

b) Enhance customer satisfaction by meeting requirements?

6.2 Human Resources6.2.1 General6.2.1

6.2.2 Competence, Awareness and Training6.2.2

Has top management appointed one or more members of management to serve as the management representative?

Yes , Top Management had appointed Mr. A Rangasamy as Management Representative

Does the management representative’s authority and responsibility, irrespective of other responsibilitiesinclude:

a) Ensuring that processes for the quality management system are established, implemented and maintained?

Yes , verified the Management Representative roles and responsibilitiesfor QMS are established , implemented and maintained.

b) Reporting to top management the performance of the quality management system including needs for improvement?

Yes , verified the Management Representative roles and responsibilities

c) Promoting awareness of customer requirements throughout the organization?

Yes, MR responsibilities is promoting awareness of customer requirments throughout the organization.

Is top management able to demonstrate how they ensure that appropriate communication processes are established within the organization, and that communication takes place regarding the effectiveness of the quality management system?

Yes , top management is able to demonstrate how they ensure that appropriate communication processes are established within the organization, and that communication takes place regarding the effectiveness of the quality management system

Does top management review the quality management system at planned intervals to ensure its continuing suitability, adequacy and effectiveness?

Yes , Top management had reviewed the quality management system at planned intervals to ensure its continuing suitability, adequacy and effectiveness.

Does management review evaluate the need for changes to the quality management system, including the quality policy and quality objectives?

Yes, Top management had reviewed the need of changes to the QMS including Quality policy and Quality Objective.

Yes , Verified through management review meeting minutes and Manual

Yes , customer feed back verified through management review meeting minutes and Manual

Yes , process performance and product conformance verified through management review meeting minutes and Manual

Yes , There were no Corrective action and preventive action request raised and input verified through management review meeting minutes and Manual




Do the outputs from management review include decisions and actions related to:

a) Improvement of the effectiveness of the quality management system and its processes?

Yes, Management Review had verified the improvement of the effectiveness of QMS and its process.

Yes, MRM had verified about the improvement of product related customer requirments.

a) Implement, and maintain and continually improve the quality management system?

Yes , Provision of resources had implemented and maintained as per quality manual procedure.

Yes, Organization enhanced customer satisfaction by meeting customer requirments.

Is evidence available that personnel performing work affecting product quality are competent on the basis of appropriate education, training, skills and experience?

Yes , verified the Job description with competency requirments and Training Plan.

Has the necessary competence for personnel performing work affecting product quality been determined?

Yes, Verified the competency requirments in the Manual as per job description.


6.2.2

Yes , verified the annual training plan.

Yes.

6.3 Infrastructure6.3

Does infrastructure include, as applicable:

a) Buildings, workspace and associated utility?

b) Process equipment including hardware and software?

c) Supporting services such as transport or communication? Yes, Verified.

6.4 Work Environment6.4

7.0 Product Realization7.1 Planning of Product Realization7.1

Is the following determined, as appropriate, during product realization planning:

a) Quality objectives and requirements for the product? Yes , Verified Satisfactory

Yes , verified the Establishment process for Planning

Yes , Verified the required records

7.2 Customer-Related Processes7.2.1 Determination of Requirements Relate to the Product7.2.1

Does the organization determine:

a) Customer specified requirements including delivery and post-delivery?

Yes , verified in the Manual

c) Statutory and regulatory requirements related to the product?

d) Any additional requirements determined by the organization? Yes, Additional requirments also determined in the manual

7.2.2 Review of Requirements Related to the Product7.2.2

Does the review activity ensure:

a) Product requirements are defined? Yes, product requirments are reviewed

yes, through Purchase order

c) The organization’s ability to meet defined requirements? Yes, verified through quotation

Yes, Records had verified

Has Training been provided or other actions taken to satisfy competency needs?

Is the Training provided or other actions taken evaluated for effectiveness in meeting the competency needs?

Are Personnel aware of the relevance and importance of their activities and how they contribute to the achievement of the quality objectives?

Yes, Tranining plan and as well as monthly summary of quality objective.

Are appropriate records of education, training, skills and experience maintained?

Yes , HR is maintaining all the appropriate records of education, training , skills and experience.

Does the organization determine, provide and maintain the infrastructure needed to achieve conformity to product requirements?

Yes , organization was determine, provide and maintain the infrastructure needed to achieve conformity to product requirements

Yes , Organization had maintained a building, workspace and associated utilities need to achieve conformity to product requirments

Yes , Hardware and software had maintained and have a proper back up system is in place.

Does the organization determine and manage the work environment needed to achieve conformity to product requirements?

Yes,the organization determine and manage the work environment needed to achieve conformity to product requirements

Does the organization plan and develop the processes needed for product realization?

Yes , Organization had planned and developed the process needed for product realization

Is planning of product realization processes consistent with the requirements of the other processes of the quality management system ?

Yes, product realization processes consistent with the requirements

b) The need to establish processes, documents and provide resources specific to the product?

c) The need to establish verification, validation, monitoring, inspection and test activities specific to the product and criteria for product acceptance?

Yes, Organization had established activities for verification, monitoring, inspection and test activities.

d) Records needed to provide evidence that realization processes and resulting product fulfill requirements?

Is the output of this planning in a form suitable for the organization’s method of operations?

Yes , planning is suitable for organization method of operations.

Yes , Customer Specified requirments had been verified including delivery and post delivery operations.

b) Requirements not stated by the customer but necessary for specified or intended use when known?

Yes , Organization had determined the statuatry and regulatory requirments related to the product in the manual

Are Requirements related to the product reviewed prior to the commitment to supply a product to the customer?

Yes , Organization reviewed the requirments prior to commitment to supply a product to the customer.

b) Contract or order requirements differing from those previously expressed are resolved?

Are records of the results of review and actions arising from review activity maintained?


7.2.2

Yes, Top Management was involved in this process

7.2.3 Customer Communication7.2.3

Do effective arrangements exist for customer communication related to:

a) Product information? Yes, Product Information verified through website

b) Inquiry, contracts, order handling and amendments?

c) Customer feedback and customer complaints?

7.3 Design and Development This clause is excluded

7.4 Purchasing7.4.1 Purchasing Process7.4.1

yes , Verified the purchasing requirments in the manual

yes , Verified the purchasing requirments in the manual

Are criteria for selection, evaluation and re-evaluation established?

Yes, verified the records for purchaing evaluation.

7.4.2 Purchasing Information7.4.2

b) Requirements for qualification of personnel? Yes , Verified the purchasing information

c) Quality management system requirements?

Yes, Verified found ok

7.4.3 Verification of Purchased Product7.4.3

Yes , Through Delivery order

Yes , Verified

7.5 Production and Service Provision7.5.1 Control of Production and Service Provision7.5.1

Are production and service operations carried out under controlled conditions?

Do controlled conditions include, as applicable:

Yes , verified

b) The availability of work instructions? Yes, There were no work instructions at the point of time

c) The use of suitable equipment? Yes, Suitable equipment is in use

d) The availability and use of monitoring and measurement Equipment? Yes,Verified

e) The implementation of monitoring and measurement? Yes,Verified

f) The implementation of release, delivery and post-delivery activities? Yes, Verified

7.5.2 Validation of Processes for Production and Service Provision

Where the customer provides no documented statement of requirement, are requirements confirmed by the organization before acceptance?

Where product requirements are changed, does the organization ensure that relevant documents are amended?

Yes, Purchase order had revised where product requirments are changed

Does the organization ensure that relevant personnel are made aware of the changed requirements?

Yes, Organization ensured that relevant personnel are made aware of the changed requirments through received date

Yes , Organization had effective arrangements for inquires, contracts and order handling

Yes, Customer feedback and customer compliants had verified.

Does the organization ensure that purchased product conforms to specified purchase requirements?

Are the type and extent of control applied to the supplier and the purchased product dependent upon the effect of the purchased product on subsequent product realization or final product?

Does the organization evaluate and select suppliers based on their ability to supply product in accordance with the organization’s requirements?

Yes, Verified the Evaluation of Supplier form and approved supplier list

Yes, Criteria for selection , evaluation and re-evaluation had been established in the manual

Are records of the results of evaluations and any necessary actions arising from the evaluation maintained?

Does purchasing information describe the product to be purchased, including where appropriate:

a) Requirements for approval of product, procedures, processes and equipment?

Yes , Purchasing information described the requirments for approval of product, procedures, processes and equipment

Yes, QMS requirments were described in the purchasing information

Is the adequacy of specified purchase requirements ensured prior to their communication to the supplier?

Have inspection or other activities necessary for ensuring that purchased product meets specified purchase requirements been established and implemented?

When the organization or the customer performs verification at the supplier’s premises, has the organization stated the intended verification arrangements and the method of product release in the purchasing information?

Yes, Operation and Service operations are carried out under controlled conditions

a) The availability of information that describes the characteristics of the product?


7.5.2

a) Defined criteria for review and approval of the processes?

b) Approval of equipment and qualification of personnel? Yes verified & found ok

c) Use of specific methods and procedures?

d) Requirements for records?

e) Re-validation?

7.5.3 Identification and Traceability7.5.3

7.5.4 Customer Property7.5.4

Yes , Verified

7.5.5 Preservation of Product7.5.5

Yes , Verified

Yes , Verified

Is preservation also applied to the constituent parts of a product? Yes , Verified

7.6 Control of Monitoring and Measuring Equipments7.6

Where necessary to ensure valid results, is measuring equipment:

b) Adjusted or re-adjusted as necessary?

c) Identified to enable calibration status to be determined? Verified and found ok

Are records of the results of calibration and verification maintained?

8.0 Measurement, Analysis, and Improvement

Are production and service processes validated where the resulting output cannot be verified by subsequent monitoring or measurement validated?

Does the organization establish arrangements for these processes including, as applicable:

Is product identified, as appropriate, by suitable means throughout product realization?

Yes the product is identified, as appropriate, by suitable means throughout product realization

Is product status identified with respect to measuring and monitoring requirements?

Yes the product status identified with respect to measuring and monitoring requirements

Is traceability a specified requirement? If so, is unique identification of the product controlled and recorded?

Yes,the unique identification of the product controlled and recorded

Does the organization exercise care with customer property while it is under the organization’s control or being used by the organization?

Yes , the organization is exercise care with customer property while it is under the organization’s control or being used by the organization

Does the organization identify, verify, protect and safeguard customer property provided for use or incorporation into the product?

Is lost, damaged, or unsuitable product reported to the customer and records maintained?

Yes, Verified the procedure for customer property damage in Manual

Does the organization preserve the conformity of product during internal processing and delivery to the intended destination?

Does this preservation include identification, handling, packaging, storage and protection?

Has the organization determined the monitoring and measurement to be undertaken, and the monitoring and measurement Equipments needed to provide evidence of conformity to determined requirements?

Are processes established which ensure monitoring and measurement is carried out in a manner consistent with measuring and monitoring requirements?

a) Calibrated or verified at specified intervals, or prior to use, against measurement standards traceable to international or national measurement standards? Where no such standards exist, is the basis used for calibration or verification recorded?

d) Safeguarded from adjustments that would invalidate the measurement result?

e) Protected from damage and deterioration during handling, maintenance and storage?

Does the organization assess and record the validity of the previous measuring results when the equipment is found not to conform to requirements?

Does the organization take appropriate action on the equipment and any product affected?

Is computer software used in the measuring and monitoring of specified requirements?

If so, is the ability of computer software to satisfy the intended application confirmed prior to initial use and re-confirmed as necessary?


8.1 General8.1

a) Demonstrate conformity of the product?

b) Ensure conformity of the quality management system? Yes , Verified

c) Continually improve the effectiveness of the quality management system? Yes, Verified in the manual

Yes, Verified

8.2 Monitoring and Measurement8.2.1 Customer Satisfaction8.2.1

Are the methods for obtaining and using this information determined? Yes, Yearly once verified in the manual

8.2.2 Internal Audit8.2.2

Yes, verified the Documented procedure JECS-QEHSP-08

a) Conforms to planned arrangements? Yes , Yearly Once

b) Conforms to ISO 9001:2008? Yes, Verified the internal audit checklist

Yes, procedure had been verified

d) Is effectively implemented and maintained? Yes, verifief the audit plan and annual audit plan

a) The status and importance of the processes and areas to be audited? Yes, verified the internal audit plan

b) The results of previous audits? Yes, This is the fist audit of the quality management system.

Have audit criteria, scope, frequency and methods been defined? Yes

Is evidence available to confirm that auditors do not audit their own work? Yes, verified the internal audit plan

Yes

8.2.3 Monitoring and Measurement of Processes8.2.3

Yes

8.2.4 Monitoring and Measurement of Product8.2.4

Yes , Verified the planned arrangements

Is evidence of conformity with the acceptance criteria maintained? Yes, Acceptance Criteria had been verified

Do records indicate the person(s) authorizing release of product? Yes, records had verified

8.3 Control of Nonconforming Product8.3

Yes , Verified the procedure JECS-QEHS-SYS-08

Are monitoring, measurement, analysis and improvement processes planned and implemented as needed to:

Yes, JECS had planned and implemented to confirm the product

d) Determine applicable methods including statistical techniques and the extent of their use?

Is information relating to customer perception to whether the organization has fulfilled customer requirements monitored?

Yes, Verified the customer satisfaction survey and monitoring records

Have the responsibilitiesand requirements for planning and conducting audits, reporting results and maintaining records been defined in a documented procedure?

Does the organization conduct internal audits at planned intervals to determine whether the quality management system:

c) Conforms to quality management system requirements established by the organization?

Is evidence available to confirm that internal audits are conducted at planned intervals based upon:

Is evidence available to confirm that auditors and the conduct of audits ensure objectivity and impartiality of the audit process?

Yes, Audit plan was verified for auditors and audit to ensure objective and impartiality of the audit process

Does the management responsible for the area being audited ensure that actions are taken without undue delay to eliminate detected nonconformity and their causes?

Do the nonconformity follow-up activities include the verification of the actions taken and the reporting of verification results?

Yes, verified the corrective action request for verification of effectiveness

Does the organization apply suitable methods for monitoring, and where applicable, measurement of the quality management system processes?

Yes, the organization apply suitable methods for monitoring, and where applicable, measurement of the quality management system processes

Do these methods demonstrate the ability of the processes to achieve planned results?

Yes, methods are demonstrateingthe ability of the processes to achieve planned results

When planned results are not achieved, is correction and corrective action taken, as appropriate, to ensure conformity of the product?

Does the organization monitor and measure the characteristics of the product to verify that product requirements have been met?

Yes ,organization monitor and measure the characteristics of the product to verify that product requirements have been met

Is this carried out at appropriate stages of the product realization process in accordance with the planned arrangements?

Does the organization ensure that product which does not conform to product requirements is identified and controlled to prevent unintended use or delivery?


8.3

Yes , Verified the procedure JECS-QEHS-SYS-08

a) By taking action to eliminate the detected nonconformity Yes , Verified

Yes, Verified the procedure

c) By taking action to preclude its original intended use or application Yes

Yes, verified the records

Yes

8.4 Analysis of Data8.4

Does the organization determine, collect and analyse appropriate data to:

Yes , Organization had determined the effectiveness of QMS

Yes, Verified the CI of QMS

Yes,Verified the analysis of data

Does the data analysis provide information relating to:

a) Customer satisfaction? Yes, verified the customer satisfaction monitoring chart

b) Conformance to product requirements? Yes, Verified the conformance to product requirments

c) Characteristics and trends of processes and products? Yes, verified

d) Opportunity for preventative action? Yes, Verified

e) Suppliers? Yes, Verified

8.5 Improvement8.5.1 Continual Improvement8.5.1

a) Quality policy? Yes, Verified

b) Quality objectives? Yes, Verified

c) Audit results? Yes, Verified

d) Analysis of data? Yes, Verified

e) Corrective actions? Yes, Verified

f) Preventative actions? Yes, Verified

g) Management review? Yes, Verified

8.5.2 Corrective Action8.5.2

Yes , Verified the procedure

Does a documented procedure define requirements for:

a) Reviewing nonconformity (including customer complaints)? Yes

b) Determining the cause of nonconformity? Yes

c) Evaluating the need for action to ensure that nonconformity do not recur? Yes

d) Determining and implementing action needed? Yes

Are the controls and related responsibilitiesand authority for dealing with nonconforming product defined in a documented procedure?

Is evidence available that nonconforming product is dealt with by one or more of the following ways:

b) By authorizing its use, release or acceptance under concession by a relevant authority, and where applicable by the customer

Are records of the nature of nonconformity and any subsequent actions taken, including concessions maintained?

Is evidence available that corrected nonconforming product is subject to re-verification to demonstrate conformity to the requirements?

a) Demonstrate the suitability and effectiveness of the quality management system?

b) Evaluate where continual improvement of the quality management system can be made?

Does this include data generated as a result of monitoring and measurement and from other relevant sources?

Is it demonstrated that the effectiveness of the quality management system is being continually improved?

Yes,Organization had demonstrated that the effectiveness of the quality management system is being continually improved

Is it demonstrated that the following are being used to improve the effectiveness of the quality management system?

Yes,Organization had demonstrated that the effectiveness of the quality management system is being continually improved

Is action taken to eliminate the cause of nonconformity in order to prevent recurrence?

Yes Verified the documented procedure for Corrective action procedure JECS-QEHS-SYS-08

Are the Corrective actions taken appropriate to the effects of the nonconformity encountered?


8.5.2

e) Recording results of the action taken? Yes

f) Reviewing corrective action taken? Yes

8.5.3 Preventive Action8.5.3

Yes, There were no PAR for potential problems

Does a documented procedure define requirements for:

a) Determining potential nonconformity and their causes? Yes, Verified

b) Evaluating the need for action to prevent occurrence of nonconformity? Yes

c) Determining and implementing action needed? Yes, Verified the procedure

d) Recording results of the action taken?

e) Reviewing preventative action taken? Yes

Is action is taken to eliminate the causes of potential nonconformity in order to prevent their occurrence?

Yes Verified the documented procedure for preventivea ction procedure JECS-QEHS-SYS-08

Are the Preventative actions taken appropriate to the effects of the potential problems?

Yes, Verified the procedure, but there were no results for verification


NAME OF THE AUDITOR: NAME OF THE AUDITEE :

SIGN:

DATE OF THE AUDIT: LOCATION :

SMS REFOCCUPATIONAL HEALTH & SAFETY MANAGEMENT SYSTEM Compilation

RemarksGeneral Requirements Yes No

4.1

4.2 Policy

4.2a

4.2b

4.2c Yes, EOHS policy had been verified

4.2d

4.2e

4.2f Yes

4.3 Planning requirements

4.3.1 Hazard / Risk Identification

4.3.1 a

4.3.1 b

4.3.1 c Yes, Documented procedure had verified

4.3.2 Leagal & Other Requirements

4.3.2

4.3.3 Objectives & Targets

4.3.3 a

4.3.3 b Yes, Verified

4.3.3 c Yes, Objective and targets consistent with EOHS policy

4.3.3 d Yes, Verified through EOHS manual

OHSAS 18001:2007 & ISO 14001:2004 - INTERNAL AUDIT CHECK LIST

Has an EOHS management system been established? Yes, EOHS Management Systems had beeb Established. Had verified the Manual for Management System

Has top management defined the organization's EOHS policy to ensure that it is appropriate to the nature, scale and Risk of activities, products or services?

Yes , verified the EOHS policy for appropriate to nature,scale and risk of activities and services

Has top management defined the organization's OHS policy to ensure that it includes a commitment to continual improvement and prevention of pollution?

Yes, Verified the commitment to continual improvement in the EOHS policy

Has top management defined the organization's OHS policy to ensure that it includes a commitment to comply with relevant OHS and environmental legislation and regulations, and with other requirements to which the organization subscribes?

Has top management defined the organization's EOHS policy to ensure that it provides the framework for setting and reviewing EOHS objectives and targets?

Yes, frame work of reviewing EOHS obejctive and target had been verified

Has top management defined the organization's EOHS policy to ensure that it is documented, implemented and maintained and communicated to all employees?

Yes, top management had defined the organization's EOHS policy to ensure that it is documented, implemented and maintained and communicated to all employees

Has top management defined the organization's EOHS policy to ensure that it is available to the public?

Has the organization established and maintained a procedure to identify the Hazard / Risk / Environmental Aspects of its activities, products and services that it can control, and over which it has an influence?

Yes, Organization has established and maintain a procedure JECS-QEHS-SYS-09-Risk assessment procedure.& JECS-QEHS-SYS-13 Aspect Impact Identification Procedure

Has the organization considered the aspects identified in the previous question as related to significant Risk & impacts in setting its EOHS objectives?

Yes, Organization had significant risk in setting its EOHS Objective

Do documented procedures state that this identification will be kept up to date, and how?

Have documented procedures been established to identify and have access to legal and other requirements to which the organization subscribes directly applicable to the Hazard / Risk and environmental aspects of activities, products or services?

Yes, Documented procedure JECS-QEHS-SYS-02 Legal and other requirments had been verified and established

Have documented EOHS objectives and targets been established and maintained at each relevant function and level within the organization?

Yes, EOHS Objective and target had been established and maintained

When establishing and reviewing objectives, was consideration given to: the legal and other requirements; significant Hazards & environmental aspects; technological options; financial goals; operational & business requirements; the views of interested parties?

Are objectives and targets consistent with the EOHS policy, including the commitment to the prevention of Incident / protect the employee / prevention of pollution?

Do procedures document that a program will be established and maintained for achieving objectives and targets?


4.3.3 e Yes, Time frame and target points shall maintained

4.3.4 f Yes, Verified

4.4 Operational Requirements4.4.1 Provide resources and establish jobs.

4.4.1 a Yes, roles and responsibilites had been verified

4.4.1 b Yes, Training plan had verified

4.4.1 c Yes, Mr. Simon wong has been appointed as a QEHS MR

4.4.1 d

4.4.2 Deliver training and awareness programs.

4.4.2 a Yes, Training Plan had been verified

4.4.2 b Yes, Verified

4.4.2 c Yes, Procedure had established and maintained

4.4.2 d Yes, Verified the procedure

4.4.2 e Yes, verified the emergency response procedure

4.4.2 f Yes, Operational Procedures had verified

4.4.2 g Yes, Verified

4.4.3 Establish communication procedures

4.4.3a

4.4.3b

4.4.3 c

4.4.4 Documentation

4.4.4a

4.4.4b Yes, Had Verified

4.4.5 Control of Documents

4.4.5 a Yes, Had verified the control of document procedure

4.4.5 b Yes, Had verified the control of document procedure

Does the program specified in the previous question include: designation of responsibility for achieving objectives and targets at each relevant function and level of the organization; the means and time-frame by which they are to be achieved?

Do procedures provide for amendment of programs as new developments or modified activities occur, to assure applicability?

Have roles, responsibility and authorities been defined, documented and communicated in order to facilitate effective EOHS management?

Have human resources and specialized skills, technology and financial resources, essential to implementation and control of the EOHS management system, been provided?

Has top management appointed a specific management representative who has defined roles and responsibilities for ensuring the EOHS management system requirements are established, implemented and maintained in accordance with OHSAS 18001 ?

Do the roles and responsibilities of the appointed management representative include reporting on the performance of the EOHS management system to top management for review and as a basis for improvement?

Yes , roles and responsibilities of QEHSMR had been verified in the QEHS manual

Have training needs been identified?

Has training been provided to personnel whose work may create a significant risk/environmental impact upon the organaization ?

Are procedures established and maintained to make employees at each relevant function and level aware of the importance of conformance with the EOHS policy, procedures, and system?

Are procedures established and maintained to make employees at each relevant function and level aware of the significant Health Hazard/environmental impacts (actual or potential) of their work activities, and the EOHS benefits of improved performance?

Are procedures established and maintained to make employees at each relevant function and level aware of their roles and responsibilities in achieving conformance with EOHS policy and procedures, and with the requirements of the EOHSMS, including emergency response and preparation?

Are procedures established and maintained to make employees at each relevant function and level aware of the potential consequences of departure from specified operating procedures?

Are personnel performing tasks that can cause significant Hazard / Risk competent, on the basis of appropriate education, training and/or experience?

Are procedures established and maintained for internal communication between the various levels and functions of the organization?

Yes, Internal Communication procedure had verified in the manual

Are procedures established and maintained for receiving, documenting and responding to relevant communication from external interested parties?

Yes, procedures had established and maintained for receiving, documenting and responding to relevant communication from external interested parties

Does the organization consider processes for external communication on significant OHS hazard / risk & env aspects, and record its decisions?

Yes, The organization had considered processes for external communication on EOHS hazard /risk/aspects, and record its decisions

Does the organization have and maintain information (in paper or electronic form) to describe the core elements of the management system and their interaction?

Yes, Organization had maintained the documentation in paper and electronic form

Does the organization have and maintain information (in paper or electronic form) to provide direction to related documentation?

Has the organization established, and does the organization maintain procedures for controlling all documents required by OHSAS 18001 & ISO 14001?

Do procedures for control of documents ensure that they can be located?


4.4.5 c

4.4.5 d Yes, Had verified the control of document procedure

4.4.5 e

4.4.5 f Yes , Had Verified

4.4.5 g

4.4.5 h

4.4.6 Operational Control

4.4.6 a

4.4.6 b

4.4.6 c Yes , Had verified the operational control procedure

4.4.6 d

4.4.6 e Yes, Organization had significant risk of goods

4.4.7 Emergency Response management process.

4.4.7 a

4.4.7 b

4.4.7 c Yes ,Verified the procedure for review and revise

4.5 Checking requirements4.5.1 performance & Monitoring

4.5.1 a Yes , verified the ER procedure

4.5.1 b

4.5.1 c Yes , Had verified the track performance

4.5.1 d Yes , Verified

4.5.2 Evaluate legal and other compliance.

4.5.2 a

4.5.2 b

4.5.3 Incident investigation / Non conformance / corrective & Preventive Action

4.5.3 a Yes , Verified the procedures

Do procedures for control of documents ensure that they are periodically reviewed, revised as necessary and approved for adequacy by authorized personnel?

Yes, Documents had been verified for reviwing,revise and approved

Do procedures for control of documents ensure that the current versions of relevant documents are available at all locations where operations essential to the effective functioning of the EOHS management system are performed?

Do procedures for control of documents ensure that obsolete documents are promptly removed from all points of issue and points of use, or otherwise assured against unintended use?

Yes, Controlling of Documents procedure had been verified for obselete documents

Do procedures for control of documents ensure that any obsolete documents retained for legal and/or knowledge preservation purposes are suitably identified?

Is documentation legible, dated (with dates of revision) and readily identifiable, maintained in an orderly manner and retained for a specified period?

Yes , Document had verified for legible, dated with dates of revision and readily identifiable

Are procedures and responsibilities established and maintained concerning the creation and modification of the various types of documents?

Yes, procedures and responsibilities established and maintained concerning the creation and modification of the various types of documents

Has the organization identified those operations and activities that are associated with the identified significant Risk & environmental aspects in line with its policy, objectives and targets?

Yes, the organization had identified those operations and activities that are associated with the identified significant risk & env aspects in line with its policy, objectives and targets

Does the organization plan activities, including maintenance, in order to ensure that they are carried out under specified conditions?

Yes,the organization had planned activities, including maintenance, in order to ensure that they are carried out under specified conditions

Are documented procedures established and maintained to cover situations where their absence could lead to deviations from the EOHS policy and the objectives and targets?

Does the organization stipulate operating criteria in the procedures? Yes, procedure had verified for operating criteria in the procedure

Does the organization have procedures related to the identifiable significant Risk & Env Aspects of goods and services that the organization uses?

Does the organization have procedures describing how the organization communicates relevant procedures and requirements to suppliers and contractors?

Yes, Emergency Response and prepardeness procedure had been verified for supplier and contractors

Does the organization have procedures to identify potential for, and responding to accidents and emergency situations, and for preventing and mitigating the Risk & env impacts that may be associated with them?

Yes, Verified JECS-QEHS-SYS-10 for Emergency Response and prepardness procedure

Does the organization review and revise, where necessary, emergency preparedness and response procedures, in particular, after the occurrence of accidents or emergency situations?

Where practicable, does the organization periodically test its emergency preparedness and response procedures?

Does the organization have documented procedures to monitor and measure, on a regular basis, the key characteristics of its operations and activities that can have a significant risk on the organaization or impact on the environment?

Yes, Had verified the Monitoring and Measurement procedures

Does the organizations procedures include the recording of information to track performance, relevant operational controls and conformance with its OHS objectives and targets?

Is monitoring equipment calibrated and maintained, and are records of this process retained in accordance with the organizations procedures?

Does the organization have a documented procedure for periodically evaluating compliance with relevant EOHS legislation and regulations?

Yes , Evaluation of Compliance had been verified with updated

Does the organization have a documented procedure for periodically evaluating compliance with other requirements ( Contractor / supplier requirements )?

Yes , Procedure for evaluation of compliance had been verified in the Manual

Does the organization have procedures for defining responsibility and authority for handling and investigating incident / nonconformance, taking action to mitigate any impacts caused and for initiating and completing corrective and preventive action?


4.5.3 b

4.5.3 c Yes, Verfied found ok

4.5.4 Control of records

4.5.4 a

4.5.4 b

4.5.4 c Yes,EOHS records had maintained and stored

4.5.4 d Yes, 5 Years

4.5.4 e Yes, Verified and found satisfactory

4.5.5 Internal Audit

4.5.5 a

4.5.5 b Yes, Internal Audit Procedure had been verified

4.5.5 c Yes, Audit Program had verified for internal audit

4.5.5 d Yes, Audit results had been verified

4.5.5 e Yes ,Verified

4.5.5 f

4.6 Management Review

4.6 a Yes, Yearly once

4.6 b

4.6 c Yes, Verified in the procedure

4.6 d

Are corrective and preventive actions taken to eliminate the causes of actual and potential non-conformance’s / Incidents appropriate to the magnitude of problems and commensurate with the Risk & environmental impact encountered?

Yes, Verified the corrective action and preventive action procedure

Does the organization implement and record any changes in documented procedures resulting from corrective and preventive action?

Does the organization have procedures for the identification, maintenance and disposition of EOHS records, including training records and results of audits and reviews?

Yes,the organization had procedures for the identification, maintenance and disposition of EOHS records, including training records and results of audits and reviews

Are EOHS records legible, identifiable and traceable to the activity, product or service involved?

Yes , Verified the EOHS records for legibility,identificablity and traceability

Are EOHS records stored and maintained in such a way that they are readily retrievable and protected against damage, deterioration or loss?

Are retention times for EOHS records established and recorded?

Are EOHS records maintained, as appropriate to the system and the organization, to demonstrate conformance to the requirements of OHSAS 18001 & ISO 14001?

Does the organization have a program and procedures for periodic EOHS management system audits to be carried out?

Yes, Internal Audit Procedure had been verified and the periodic audit have to carried out yearly once

Does the organizations audit program determine whether or not its Safety management system conforms to planned arrangements for Safety management including the requirements of OHSAS : 18001 & ISO 14001?

Does the organizations audit program determine whether or not its EOHS management system has been properly implemented and maintained?

Does the organizations audit program provide information on the results of audits to management?

Is the audit program, including any schedule, based on the EOHS importance of the activity concerned and the results of previous audits?

Does the organizations audit procedures cover the audit scope, frequency and methodologies, as well as the responsibilities and requirements for conducting audits and reporting results?

Yes, Verified the audit scope, frequency and method and responsibilites

At determined intervals, does top management review the EOHS management system to ensure its continuing suitability, adequacy and effectiveness?

Does the management review ensure that the necessary information is collected to allow management to carry out this evaluation?

Yes, But this time no Management review had been verified as this is the first internal audit

Is the management review documented?

Does the management review address the possible need for changes to policy, objectives and other elements of the EOHS management system, in light of audit results, changing circumstances and the commitment to continual improvement?

Yes,Managemen review Addressed the requirments as stated in OHS 18001:2007 & ISO 14001:2004 ( Verified through QEHS manual)


M. Nandha AUDITEE NAMES: Mr.Joey Tan

6-Dec-12

Ms.Pace Ng

jecs-qehs-sys-07 f - internal audit checklist

Documents

joey tan ms

quality management

external interested

eohs management

enhancing

top management

top management

top management