Audit Report Form Stage 2

AUDIT REPORT
Audit Details
Lead Auditor:
Job No:
Date:
Type of Audit: Initial Stage 2 / other (please specify)

Duration:
Management System Standard(s):
Company Details
Company Name:
Address:
Total No of Employees:
Temporary:
Contracted:
Part Time:
Others:
Contact:
Phone:
Fax:
Email:
Revision Status of Companys Documented Management System

Policy Documents:
Procedures:
Work Instructions:
Other:
Scope:
IMS Assessment Team

1.
2.
3.
Company Representatives
1.
2.
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 signature of the companys representative indicates

their agreement and understanding of the noncompliances
and observations found and that are the subject of this
report.
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.
Form 9 B / 9
Page 1 of 12
AUDIT REPORT
Signed:
(Auditor)
Name:
Form 9 B / 9
Job No:
Signed:
(Company)
Date:
Name:
Date:
Page 2 of 12
AUDIT REPORT
Job No:
Verification of Closure of Non-Compliances

For previous assessment dated:
Ref No:
Form 9 B / 9
Objective Evidence
Status
(open or
closed)
Page 3 of 12
AUDIT REPORT
Job No:
4.2
Documentation Requirements
5.1
Management Commitment
5.2
Customer Focus
5.3
Quality Policy
5.4
Planning
5.5
Responsibility, Authority and Comm.
5.6
Management Review
6.1
Provision of Resources
6.2
Human Resources
6.3
Infrastructure
6.4
Work Environment
7.1
Planning of Product Realisation
7.2
Customer Related Processes
7.3
Design and Development
7.4
Purchasing
7.5
Production and Service Provision
7.6
Control of Monitoring & Measuring

Equipment
8.1
Measurement, Analysis and Improvement
8.2
Monitoring and Measurement
8.3
Control of Nonconforming Products
8.4
Analysis of Data
8.5
Improvements
Check next visit
General Requirements
No. Obs
4.1
No. N/Cs
ISO 9001:2008 Requirement
Checked this visit
Summary of Audit Findings ISO 9001:2008
Customer Complaints:
TOTALS
Form 9 B / 9
Specific Areas to Address Next

Visit
Page 5 of 12
AUDIT REPORT
Job No:
4.2
Environmental Policy
Check next visit
No. Obs
4.1
No. N/Cs
ISO 14001:2004 Requirement
Checked this visit
Summary of Audit Findings ISO 14001:2004
4.3.1 Environmental Aspects
4.3.2 Legal and other Requirements
4.3.3 Objectives and Targets and

Programme (s)
4.4.1 Resources, Roles, Responsibility
and Authority
4.4.2 Competence, Training and
Awareness
4.4.3 Communication
4.4.4 Documentation
4.4.5 Control of Documents
4.4.6 Operational Control
4.4.7 Emergency Preparedness And

Response
4.5.1 Monitoring and Measurement
4.5.2 Evaluation of Compliance
4.5.3 Nonconformity, Corrective Action

And Preventive Action
4.5.4 Control of Records
4.5.5 Internal Audit
4.6
Management Review
TOTALS
Form 9 B / 9

Visit
Page 6 of 12
AUDIT REPORT
Job No:
4.2
OH & S Policy
4.3.1
4.3.2
Hazard Identification, Risk

Assessment and Determining
Control
Legal & Other Requirements
4.3.3
4.4.1
Check next visit
No. Obs
4.1
No. N/Cs
OHSAS 18001 Requirement
Checked this visit
Summary of Audit Findings OHSAS 18001
Objectives and Programme(s)
4.4.3.1
Resources, Roles, Responsibility,

Accountability and Authority
Competence, Training and
Awareness
Communication
4.4.3.2
Participation and Consultation
4.4.4
Documentation
4.4.5
Control of Documents
4.4.6
Operational Control
4.4.7
4.5.2
Emergency Preparedness &

Response
Performance Measurement &
Monitoring
Evaluation of Compliance
4.5.3.1
4.5.3.2
4.4.2
4.5.1
Incident Investigation
4.5.4
Non-conformity, Corrective Action

and Preventive Action
Control of Records
4.5.5
Internal Audit
4.6
Management Review
TOTALS
Form 9 B / 9

Visit
Page 7 of 12
AUDIT REPORT
Job No:
Audit Summary
General Comments or Concerns and details of any temporary sites:
Comments of Concerns regarding the reliability of the organisations 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:
Form 9 B / 9
Page 8 of 12
AUDIT REPORT
Job No:
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:
Form 9 B / 9
Page 9 of 12
AUDIT REPORT
Ref
No.
Clause
No.
Form 9 B / 9
N/c
Job No:
Non-Compliances / Observations Raised
Page 10 of 12
AUDIT REPORT
Job No:
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 companys 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 companys representatives including comments on this report
(g)
Leave a photocopy/electronic copy of the IMS Audit Report with the company.
Notes:
Form 9 B / 9
Page 11 of 12
AUDIT REPORT
Job No:
Photo Evidence
Form 9 B / 9
Picture 1:
Picture 2:
Picture 3:
Picture 4:
Picture 5:
Picture 6
Page 12 of 12

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AUDIT REPORT

Type of Audit: Initial Stage 2 / other (please specify)

Revision Status of Companys Documented Management System

IMS Assessment Team

The contents of this report are confidential to the company,

The signature of the companys representative indicates

The non-compliances and observations contained within this

Verification of Closure of Non-Compliances

Responsibility, Authority and Comm.

Planning of Product Realisation

Customer Related Processes

Design and Development

Production and Service Provision

Control of Monitoring & Measuring

Measurement, Analysis and Improvement

Monitoring and Measurement

Control of Nonconforming Products

Check next visit

ISO 9001:2008 Requirement

Checked this visit

Summary of Audit Findings ISO 9001:2008

Specific Areas to Address Next

Check next visit

ISO 14001:2004 Requirement

Checked this visit

Summary of Audit Findings ISO 14001:2004

4.3.1 Environmental Aspects

4.3.2 Legal and other Requirements

4.3.3 Objectives and Targets and

4.4.5 Control of Documents

4.4.6 Operational Control

4.4.7 Emergency Preparedness And

4.5.2 Evaluation of Compliance

4.5.3 Nonconformity, Corrective Action

4.5.5 Internal Audit

Specific Areas to Address Next

Hazard Identification, Risk

Check next visit

OHSAS 18001 Requirement

Checked this visit

Summary of Audit Findings OHSAS 18001

Objectives and Programme(s)

Resources, Roles, Responsibility,

Participation and Consultation

Emergency Preparedness &

Non-conformity, Corrective Action

Specific Areas to Address Next

Recommendations and follow-up action required:

Non-Compliances / Observations Raised

Opening Meeting Mandatory Agenda

Review the confidentiality agreement

Overview of the audit stage, plan, objectives, scope and criteria

Explain the significance and reporting of major and minor non-compliances

Invite questions from the companys representatives.

Closing Meeting Mandatory Agenda

Present recommendation for or against certification or its continuance

Explain the continued surveillance audit cycle

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