Internal Audit Checklist – 10 Improvement Step 1 of 3 33% Event NameAuditor NameEvent DateEmail 10. IMPROVEMENT10.1 Nonconformity and corrective actionShall Requirements:The organization shall establish, maintain and implement procedures defining responsibility and authority for handling and investigating nonconformities, taking action to mitigate any impacts caused, and for initiating and completing corrective and preventive action.SEMS QUESTION: ALL QUESTIONSREPORTING AND CONTINUAL IMPROVEMENT Management Review: Top management demonstrates its ongoing leadership and commitment to sustainability by performing effective management reviews, to ensure goals are met, issues of non-‐conformity addressed, and continual improvement is possible.AUDITOR INSTRUCTIONS:It is a requirement of the standard that there is a procedure in place that defines the responsibility and authority for handling and investigating nonconformities. Additional requirements include identifying, corrective, planning prevention, reporting effectiveness, altering management system and results achieved being documented. • Review the procedure document. • Assess all relevant other documentation and evidence to ensure that non-‐ conformities corrective action processes are in place, or if non-‐conformities occur which were not predicted, that learnings have been achieved and new processes established for future activity control.CONFORMITY ASSESSMENT: The organisation has a procedure in place which defines the responsibilities and authorities for handling and investigating non conformities. The organization has embedded systems into planning, operations and review to ensure that any non conformities with plans or reaching objectives are assessed and action able to be taken to correct these in future activities. Non conformities are identified. Corrective action or consequences have been dealt with appropriately. Causes are identified and action to eliminate in future is in place. Effectiveness of corrective action is reviewed. Preventative action is put in place. Management system altered if necessary. The nature of non conformities, action taken and results achieved are documented. Auditor CommentsThis may include corrective action to be taken. Also include notes on continual improvement to look out for in the next audit. 10. IMPROVEMENT10. 2 Continual improvementShall Requirements:The organization shall continually improve the suitability, adequacy or effectiveness of the event sustainability management system.SEMS QUESTION: REPORTING AND CONTINUAL IMPROVEMENT Performance Measurement and Reporting: Monitoring, measurement, analysis and evaluation, and reporting of sustainability performance is undertaken. NOTE: Crosses over with 9.2 Monitoring, measurement, analysis and evaluationAUDITOR INSTRUCTIONS:This clause requires that continual improvement is embedded in the management system implementation, review and ongoing action. It must be noted that this is where Auditor opinion may come into play. It is acceptable for all issues not to be identified, all operational control not to be put in place, all measurement not to be done, for communications nots to be complete or effective – if there are plans to improve this in the future. • Read the report to ensure it includes recommendations for continual improvement. • Make Auditor notes and include in the Auditor report expected improvements at the next audit. CONFORMITY ASSESSMENT: The organization has embedded systems into planning, operations and review to ensure that continual improvement goals are embedded and achieved. This occurs at a departmental level. This occurs at top management level included in the Management Review. Improvements have been noted by the organization to be addressed in the future. The Audit Report notes expected improvement for the next audit. Continual improvement has not been addressed in the management system Continual improvement has only been partially addressed in the management system Auditor CommentsThis may include corrective action to be taken. Also include notes on continual improvement to look out for in the next audit.PhoneThis field is for validation purposes and should be left unchanged. Back to list of forms
