Internal Audit Checklist 2020

Procedure: CP04 NON Conformance Yes No

4.0 Corrective and Preventive Actions - QMS

4.1 Are items that are found to be suspect at goods-inward, during process or final
test/despatch? Placed on temporary ‘hold’ or ‘quarantined’.
This may be The same controls will be given to items that have been returned to
the Ocean Kinetics Ltd. If the inspector confirms they are defective, i.e. not to
specification, they are quarantined.
Are the following corrective actions considered:
1. Carry out additional work (e.g. rework) that will bring the items
exactly to conforming with specification/drawing. These will be re-
inspected to ensure they now conform to specification.
2. Take managerial actions to accept the items ‘as is’ for their intended
purpose, with the defects remaining by obtaining customer’s formal
written agreement to accept.
3. Carry out remedial work that will make the items usable but not
exactly to specification. Formal approval from the customer for this
action is required. These will be re-inspected to confirm that they
conform to the agreed revised specification.
4. Write to the customer advising of any defects in material or item that
has been supplied as ‘customer supplied items’.
Notes:

4.2 Are Corrective actions recorded and authorised on the Corrective/Preventive

Action form (SF16). Are Actions also authorised on the same form by the MD,
who will also detail the loss in money or hours.
Notes:

Products / Services Corrective Action

4.3 Is a copy of the Corrective/Preventive Action form passed to the appropriate
member of staff or operative to action,

Notes:

4.4 Is the original Corrective/Preventive Action form maintained by the QM for

check and review when the work is completed.

Notes:

4.5 After the corrective action has been completed, Does the QM in liaison with the
MD review the Corrective Action form and any other information and, where
appropriate, recommend long-term preventive action and actions to be taken.
Are these considered at the Management Review?
Notes:

4.6 Do OKL approximate cost in lost material and man hours as a result of all
Corrective/Preventive Actions,
Are these costs considered at the Management Review.
Notes:
 5.0 5.0 Customer Complaints

5.1 Are all complaints, received by letter, fax, phone or representatives reports,
allocated a sequential reference number and entered into a Customer
Complaint Report form (SF19).
.Are Returned products recorded by a Customer Complaint Report form.
Does OKL send an acknowledgement letter summarising the complaint and
promising investigation to the customer, within three working days.
Does OKL thoroughly investigated and recommend suitable actions when the
investigation is complete, Is a letter of apology/explanation sent to the client
within four weeks.
Is the approximate cost in lost material and man hours as a result of all
Customer Complaint Reports considered at the Management Review?
Are customer complaints reviewed at the Management Review for common
features and adverse trends etc.
Notes:

6.0 Corrective and Preventive Actions – EMS and SMS

6.1 Does any member of staff discovering a non-conformance notify their
immediate Supervisor who shall complete details of the nonconformity to form
SF16, Non-Conformance Report?
Non conformances may arise as a result of:
 Completing or reviewing a risk/impact assessment (CP12)
 As a result of active monitoring (CP07, CP08, CP28)
 As a result of reactive monitoring (CP19)
 As a result of reviewing current applicable law (CP27)
 As a result of staff complaints or feedback.
Notes:

6.2 Are corrective actions recorded and authorised on the Corrective/Preventive

Action form (SF16).
Are actions also authorised on the same form by the MD, who will also detail
the loss in money or hours.
Notes:

6.3 Is a copy of the Corrective/Preventive Action form passed to the appropriate

member of staff or operative to action.
Notes;

6.4 Are the original Corrective/Preventive Action form maintained by the QHSE
Manager for check and review when the work is completed.
Notes:

6.5 After the corrective action has been completed DOES the QHSE Manager in
liaison with the MD review the Corrective Action form and any other
information and, where appropriate, recommend long-term preventive action
and actions to be taken.
Are these considered at the Management Review.
Notes:

6.6 The approximate cost in lost material and man hours as a result of all
Corrective/Preventive Actions shall be considered at the Management Review.

Notes: