SAMPLE

ISSUE:
DATE:
APPROVAL:

1. Internal Auditing Policy

It is the policy of XYZ to use a variety of methods to monitor company activities and
assess progress against objectives.

A key monitoring activity is the internal audit process covering quality, environmental
and Health & Safety aspects of the Groups activities. This process is managed by
the Deputy Management Representative and uses competent, independent auditors
to monitor the organisations activities.

Internal audit objectives include monitoring conformance to the chosen Quality

Environmental and Health & Safety system standards, but may also be used to
monitor compliance with legislation, contractual requirements and regulatory
standards as well as identifying progress toward company objectives and/or
performance targets.

Internal audits are an important source of improvement through corrective actions

reports and observations, prompting preventive actions throughout the management
system.

The results of internal and external audits form an important part of the management
information analysed by the Management Representative and reported to
Management for review.
2. Responsibilities and Authority

3. Audit Planning
The XXXXX is responsible for the production of an annual audit programme, to cover
all aspects of the Integrated Management System, and the processes carried out
within the company.
The XXXXX may schedule additional audits based on risk management and the
importance of any activity, or where concerns have been identified, or as a result of a
previous internal or external audit.

4. Auditors
The XXXXX is responsible for ensuring that only trained; competent auditors are
utilized to carry out internal audits of the companys system.
Auditors do not audit their own work.

5. Auditing Procedure
Auditors are assigned to specific audits with due consideration to their knowledge
and skills and are given full authority to plan, carry out and report on the findings of
the audit.
Once allocated an audit task, the auditor is responsible for making contact with the
auditee and arranging a mutually acceptable day for the audit, within the timescale
allowed by the audit programme.
The XXXXX is responsible for defining the scope and objectives of each audit to
allow the auditor to plan and establish any specific checklists as required.

6. Audit Reporting
Audit findings are recorded on the Audit Summary Form and any non-conformity is
recorded on the Corrective Action Form.
The format of these forms is self-explanatory, however the general procedure is as
follows:
a) During the audit evidence is sought to show that each selected activity is
under control and is being carried out by competent persons provided
with suitable information and equipment, and that records are being
maintained effectively to show that objectives for the activity are being
met.
b) During every audit, the working practices are checked against the
requirements of ISO 9001 (and ISO 14001 and OHSAS 18001 as
appropriate) as well as against any identified process objectives or
targets. The main objectives of the audit system are to identify potential
improvements and to instil best working practices throughout the
organisation.
c) Good working practice, consistent with agreed procedures, regulations
and the appropriate system standard is recorded, with examples, on the
Summary Report form.
d) Any discrepancies between working practice and company agreed best
practice (or to system standard(s), or regulations) is clearly identified on
Corrective Actions forms. These are used to record actions taken by the
auditee and a subsequent follow-up to show that these actions are
effective.

It is important that both the summary report and any Corrective Action Reports are
presented, agreed and signed by the Auditee at the completion of the audit. This will
prevent subsequent disputes or mis-understanding.
The auditor and auditee agree a completion date at the time of presentation, since
this will ensure a commitment to complete the action. The Auditor is responsible for
ensuring that the date agreed is acceptable, given the seriousness of the problem
found.
 7. Corrective Action Following an Audit
An appropriate member of staff is made responsible for carrying out corrective action
in a timely manner. A typical target time for corrective action completion is four
weeks.
The Auditor will carry out a follow up review at an agreed time after the corrective
action has been completed. The original auditor or appointed deputy is authorised to
carry out follow-up checks of the effectiveness of the corrective actions carried out.
Following a successful follow-up, the corrective action report is closed off with an
authorised signature and date (from the auditor or deputy).
Corrective actions taken will also address the root cause(s) of the concern to prevent
re-occurrence of the nonconformity.

8. Escalation Procedure
In the event that a Corrective Action Report, or specific findings within it, are not
responded to or are incomplete in the agreed timescale, the situation may be
escalated to the Partners, for resolution of the problem.
If such escalation occurs, the XXXX ensures that all necessary corrective action has
taken place and is effective before closing off the audit.
 SUMMARY REPORT
Organisation: Date:
Client:
Audit scope: Audit objective(s):

Auditor(s): Audit Reference number:

Audit location:
Audit criteria:

Audit Findings:

Auditor: Auditee:
Summary of AREA FOR IMPROVEMENT Reports:

Conclusions/recommendations:

Signed: Date:
(Lead Auditor)
 Report No.
i. AREA FOR IMPROVEMENT
REPORT
Company: Date:

Audit Team: Auditee:

Document Reference: Major Minor

Audit Findings:

Auditee Signature: Target Completion Date:

Auditor signature:
Date:

Action Taken:

Completed By: Completion Date:

Follow Up Review

Auditor Signature: Closure Date:

Auditee signature:
 ii. Audit Plan
Audit reference No. Date of audit:

Auditor(s)

Audit scope:

Reference Documents:

Previous audit findings:

Equipment/facilities needed by auditor(s):

Specialist resources required:

Specific Objectives: Comments:

Audit Schedule No.

Prepared by: Date:

Company: Date: Audit Scope:
Audit Team: Audit criteria:

Day/Time Auditor 1 Auditor 2 Auditor 3 Auditor 4

Holcim Ltd - Sample Audit Checklist Audit Reference:

Company: Department/Contact: Date:

Audit Standard: Procedure/Issue: Auditor:
Check Check Facts for Verification Ref. Findings AFI Ref.