AUDIT REPORT / Job No:
Audit Details
Lead Auditor: / Date:
Type of Audit: Initial Stage 2 / other (please specify)
Duration:
Management System Standard(s):
Company Details
Company Name: / Total No of Employees: Part Time: Temporary: Contracted: Others:
Address: / Contact:
Phone:
Fax:
Email:
Revision Status of Company’s Documented Management System
Policy Documents:
Procedures:
Work Instructions:
Other:
Scope:
IMS Assessment Team / Company Representatives
1. / 1.
2. / 2.
3. / 3.
The contents of this report are confidential to the company, as named above, and IMS. As such, distribution to persons not under the employ of either party must be agreed by both parties prior to circulation.
The non-compliances and observations contained within this report are the result of limited sampling and therefore it cannot be assumed that others do not exist. / The signature of the company’s representative indicates their agreement and understanding of the noncompliances and observations found and that are the subject of this report.
Signed:
(Auditor)
Name: / Date: / Signed:
(Company)
Name: / Date:
Verification of Closure of Non-Compliances
For previous assessment dated:
Ref No: / Objective Evidence / Status (open or closed)

Form 9 B / 9 Page 4 of 10

AUDIT REPORT / Job No:

Summary of Audit Findings – ISO 9001:2008

ISO 9001:2008 Requirement

/ Checked this visit / No. N/Cs / No. Obs / Check next visit / Specific Areas to Address Next Visit
4.1 / General Requirements / P / P
4.2 / Documentation Requirements / P / P
5.1 / Management Commitment / P / P
5.2 / Customer Focus / P / P
5.3 / Quality Policy / P / P
5.4 / Planning / P / P
5.5 / Responsibility, Authority and Comm. / P / P
5.6 / Management Review / P / P
6.1 / Provision of Resources / P
6.2 / Human Resources / P
6.3 / Infrastructure / P
6.4 / Work Environment / P
7.1 / Planning of Product Realisation / P
7.2 / Customer Related Processes / P
7.3 / Design and Development / P
7.4 / Purchasing / P
7.5 / Production and Service Provision / P
7.6 / Control of Monitoring & Measuring Equipment / P
8.1 / Measurement, Analysis and Improvement / P / P
8.2 / Monitoring and Measurement / P / P
8.3 / Control of Nonconforming Products / P / P
8.4 / Analysis of Data / P / P
8.5 / Improvements / P / P
Customer Complaints: / P / P
TOTALS

Summary of Audit Findings – ISO 14001:2004

ISO 14001:2004 Requirement

/ Checked this visit / No. N/Cs / No. Obs / Check next visit / Specific Areas to Address Next Visit
4.1 / General Requirements / P
4.2 / Environmental Policy / P
4.3.1 / Environmental Aspects / P / P
4.3.2 / Legal and other Requirements / P / P
4.3.3 / Objectives and Targets and Programme (s) / P / P
4.4.1 / Resources, Roles, Responsibility and Authority / P
4.4.2 / Competence, Training and Awareness / P
4.4.3 / Communication / P
4.4.4 / Documentation / P
4.4.5 / Control of Documents / P
4.4.6 / Operational Control / P / P
4.4.7 / Emergency Preparedness And Response / P
4.5.1 / Monitoring and Measurement / P / P
4.5.2 / Evaluation of Compliance / P / P
4.5.3 / Nonconformity, Corrective Action And Preventive Action / P / P
4.5.4 / Control of Records / P
4.5.5 / Internal Audit / P / P
4.6 / Management Review / P / P
Customer Complaints: / P / P
TOTALS

Summary of Audit Findings – OHSAS 18001

OHSAS 18001 Requirement

/ Checked this visit / No. N/Cs / No. Obs / Check next visit / Specific Areas to Address Next Visit
4.1 / General Requirements / P
4.2 / OH & S Policy / P
4.3.1 / Hazard Identification, Risk Assessment and Determining Control / P / P
4.3.2 / Legal & Other Requirements / P / P
4.3.3 / Objectives and Programme(s) / P / P
4.4.1 / Resources, Roles, Responsibility, Accountability and Authority / P
4.4.2 / Competence, Training and Awareness / P
4.4.3.1 / Communication / P
4.4.3.2 / Participation and Consultation / P
4.4.4 / Documentation / P
4.4.5 / Control of Documents / P
4.4.6 / Operational Control / P
4.4.7 / Emergency Preparedness & Response / P
4.5.1 / Performance Measurement & Monitoring / P / P
4.5.2 / Evaluation of Compliance / P / P
4.5.3.1 / Incident Investigation / P / P
4.5.3.2 / Non-conformity, Corrective Action and Preventive Action / P / P
4.5.4 / Control of Records / P
4.5.5 / Internal Audit / P / P
4.6 / Management Review / P / P
Customer Complaints: / P / P
TOTALS
Audit Summary
General Comments or Concerns and details of any temporary sites:
Comments of Concerns regarding the reliability of the organisation’s internal audits and management reviews:
Comments or concerns regarding the qualification, experience and authority of staff encountered:
Comments or concerns regarding the adequacy of the operational control of processes and management responsibility for the company policies:
Comments or concerns regarding the links between the normative requirements, policy, performance objectives and targets (Consistent with the expectation in the related standard), any applicable legal requirements, responsibilities, competence of personnel, operations, procedures, performance data and internal audit findings and conclusions:
Audit Summary
Comments or concerns regarding the performance monitoring, measuring, reporting and reviewing against key performance objectives and targets and ability of the management system to meet intended outputs:
Comments or concerns regarding performance against legal, statutory and regulatory requirements:
Recommendations and follow-up action required:
Ref No. / Clause No. / N/c or Obs / Non-Compliances / Observations Raised
Opening Meeting Mandatory Agenda
Attendees:
(a) / Review the confidentiality agreement
(b) / Establish official communication links between the audit team and company
(c) / Clarify and confirm or amend the scope for which certification is sought
(d) / Overview of the audit stage, plan, objectives, scope and criteria
(e) / Explain the significance and reporting of major and minor non-compliances
(f) / Invite questions from the company’s representatives.
Notes:
Closing Meeting Mandatory Agenda
Attendees:
(a) / Thank the company for their hospitality and for their assistance and co-operation.
(b) / Overall summary of assessment, non-compliances and observations found during the audit.
(c) / Explain procedure for submitting Corrective Action Plan and Objective Evidence if Required
(d) / Present recommendation for or against certification or its continuance
(e) / Explain the continued surveillance audit cycle
(f) / Invite questions from the company’s representatives including comments on this report
(g) / Leave a photocopy/electronic copy of the IMS Audit Report with the company.
Notes:

Photo Evidence

Picture 1: / Picture 2:
Picture 3: / Picture 4:
Picture 5: / Picture 6

Form 9 B / 9 Page 4 of 10