ISO 27001 Internal Audit ChecklistFull description
SMK3 DATE: SMK3 AUDIT INTERNAL CHECKLIST KRITERIA Pembangunan dan pemeliharaan komitmen Kebijakan K3 Apakah Ada Kebijakan K3 tertulis, bertanggal dan secara jelas menyatakan tujuan-tujuan K…Full description
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ChecklistFull description
Materi Audit Internal BBIA, ISO
Tugas Internal AuditDeskripsi lengkap
Manual on Internal Auditing by Rajkumar S. AdukiaFull description
Audit InternalFull description
rekaman materi UTSFull description
INTERNAL AUDIT (IA) CHECKLIST XYZ Philippines, Inc. Division / Function / Area:
PROCUREMENT SCOPE/CLAUSES PROCEDURE
AUDIT GUIDE QUESTIONS 1.
What is the scope of your activity? Describe your functions. Can you tell us something about your work? What are your duties and responsibilities?
2.
Is an organization chart available? Have responsibilities and authorities been defined documented and communicated? How? Check Job Description.
3.
Changes since last audit
4.
Audit Date: RATING
REMARKS/AUDIT NOTES
Check changes to activities, or services and how incorporated into the system. Check changes to policy, legal and system requirements Check changes to personnel and how reflected to the system Check new projects and associated controls Corrective Actions from last audit Check whether completed on time and actions taken if not Check effectiveness of Corrective and Preventive Action Sign off if acceptable
5. Are you aware of Quality/Environmental Policy? you explain Quality/Environmental Policy? How can you contribute on successful implementation achievement of the policy?
the Can the the and
6.
Do you have an existing policies or regulations in your own unit relevant to the Quality/Environmental Policy? Check adherence to Policies and Regulations set by the Unit.
7.
Do you have section Goals or targets (KPIs)? Can you describe the relevance to your work? What is the current status of your performance? Does the KPI consistent with the Quality/Environmental Policy and IA-QM-F24-00
Strategic Direction of the Organization? Does the KPI communicated to all concerned? 8.
Do you have documented procedures established for your function? Does applicable ISO Standard Clauses and legal requirements incorporated in the procedure? Check Consistency with Auditees response, actual practice and if the document is controlled.
9.
How do you Plan your function work to ensure adequate support to the entire organization? Does associated Risk of Quality/Environmental failure considered and addressed during planning?
10. Have the following resources been determined during planning as needed: Required Manpower trainings and required competencies? Infrastructure Work Environment Monitoring and Measuring Resources Communication Technology Emergency Response Safety and health protection
11. Describe how the system of work schedule for the Unit or Function being planned? 12. How does staff in this function prepare for their day-to-day task? How work assignments are distributed? Check Does the work assigned to competent personnel? Who checks for readiness before start of work? Who checks accomplishments after completion of work? Does the work plan communicated effectively? 13. Evaluate How each processes of the function are performed from start to end is it in accordance with the established procedure, ISO Standard and legal requirements? What is the procedure for making purchases of products and
IA-QM-F24-00
services including outsourced processes? Does risk-based thinking applied to determine the type and extent of controls appropriate to particular external providers and externally provided processes, products and services? Are they aware of the associated Environmental Aspect and Impact of their activities? What controls are being applied to address the applicable environmental aspects and impact and legal requirements on their processes? What controls are being applied to both suppliers and the product and services they provide? Does it based
on
prevention
of
nonconformities, legal requirements and to ensure consistent purchased product quality and consistent supplier performance? How to ensure that the purchased products or services will meet the purchase requirements? How do you select suppliers? What are the criteria for selection or awarding of purchase? Do you have a list of approved/accredited supplier? How can we determine what or which supplier should be included in the list? How do you evaluate performance of suppliers? What are the criteria for evaluation? What is the period of re-evaluation? In case, there are poor performing suppliers, what is the procedure for disqualification? How do you update the list of approved/accredited suppliers? What is the frequency of updating? How purchase products or services are checked for conformity prior to issuance or use? How do you deal with nonconforming purchased items? Is there corrective action request sent to suppliers?
IA-QM-F24-00
How do you ensure prompt accommodations of purchase requests? How do you update and communicate status of purchase requests/purchase order? How do you ensure timely settlement of payment obligations to suppliers? Are specifications (Documented Information) for purchasing products and services including outsourced processes controlled as per clause 7.5.3? Are all the records generated properly filled, accessible and retained?
14. Check that materials were purchased from approved/accredited suppliers. 15.
Check
P.O’s
were
reviewed to ensure correct and complete information are indicated and are approved by authorized person prior to release.
16. How do you ensure you are getting the best choice in awarding purchase orders? How do you monitor price changes? 17. How Does the function or unit evaluate and measure their performance against their Plans and KPIs and effectiveness of their purchasing processes? 18. What performance data are gathered and are they analyzed? What pertinent data or information are communicated to the top management? 19. How does the unit or function address nonconformity or problems being encountered? Does corrective action system being applied? 20. How does the unit or function initiate improvements? What improvement activities are being done currently or being planned in the future? 21. Were there evidences of Continual Improvement at this time of audit?
IA-QM-F24-00
Rating: Auditor (s):
C - Conformance
MN – Minor NonConformance
MJ – Major NonConformance
Ob – Observation (Potential NC) OFI - Opportunities For Improvement
