IMS Process Audit Checklist

• Standard being Audited

• Process being Audited

• Conducted on

  Date

• Lead Auditor

• Other Auditors

1- Process (activity or set of inter-related activities)?

• Where & how is the process defined?

  Yes

  No

  N/A

• Who is the process owner?

  Yes

  No

  N/A

• Where is the process located and how does it relate to other processes?

  Yes

  No

  N/A

• Notes

2- Inputs (internal requirements, external requirements, quality risks)?

• What are the inputs to this process?

  Yes

  No

  N/A

• Where do they come from?

  Yes

  No

  N/A

• How many are there?

  Yes

  No

  N/A

• What are the quality risks?

  Yes

  No

  N/A

• How are customer requirements determined and planned for?

  Yes

  No

  N/A

• Notes

3- Outputs (including records)?

• What are the outputs of the process?

  Yes

  No

  N/A

• Where does it go?

  Yes

  No

  N/A

• Who are the "customers" (internal and external) of the process?

  Yes

  No

  N/A

• What are the requirements of these customers?

  Yes

  No

  N/A

• What other processes are linked?

  Yes

  No

  N/A

• What records are required?

  Yes

  No

  N/A

• Where are records retained?

  Yes

  No

  N/A

• What do you do if output is non conforming?

  Yes

  No

  N/A

• What are the characteristics of the intended results of the process?

  Yes

  No

  N/A

• What are the characteristics of the unintended results of the process?

  Yes

  No

  N/A

• Notes

4- Safety & Health requirements (Significant Risks & Hazards)?

• What are the significant safety risks and hazards?

  Yes

  No

  N/A

• How are they ranked/ evaluated?

  Yes

  No

  N/A

• Are they placed in any priority/ ranked?

  Yes

  No

  N/A

• What controls are in place?

  Yes

  No

  N/A

• We're changes evaluated for risks & hazards?

  Yes

  No

  N/A

• Notes

5- Environmental requirements (Significant Environmental Aspects)?

• What are the significant environmental aspects and impacts?

  Yes

  No

  N/A

• How are they ranked/ evaluated for significance?

  Yes

  No

  N/A

• What controls are in place?

  Yes

  No

  N/A

• Were changes evaluated for impact?

  Yes

  No

  N/A

• What are the documented procedures to control these?

  Yes

  No

  N/A

• Notes

6- Resources (raw materials, equipment, infrastructure, hardware, software)?

• What raw materials, equipment, parts, tools, materials, hardware and/ or software are needed for the process?

  Yes

  No

  N/A

• Are the resources adequate for the process?

  Yes

  No

  N/A

• Are the resources adequately maintained?

  Yes

  No

  N/A

• Is there adequate infrastructure?

  Yes

  No

  N/A

• Are there any reoccurring issues?

  Yes

  No

  N/A

• Are they available when needed?

  Yes

  No

  N/A

• Is calibration/ verification required?

  Yes

  No

  N/A

• Are there any resources issues or concerns?

  Yes

  No

  N/A

• Notes

7- Responsible parties (roles, responsibilities, competences/skills/training)?

• Who participates in this process (who is responsible)

  Yes

  No

  N/A

• How are responsibilities and authorities defined, documented and communicated throughout Trelleborg?

  Yes

  No

  N/A

• How are participants competence determined?

  Yes

  No

  N/A

• What training is included/ required?

  Yes

  No

  N/A

• What training records are maintained?

  Yes

  No

  N/A

• Are competency criteria defined? What are these criteria?

  Yes

  No

  N/A

• How is competency evaluated, approved and monitored, and by which methods(s)?

  Yes

  No

  N/A

• What documented training procedures applies?

  Yes

  No

  N/A

• How is one trained to understand the impact to the customer, safety, health and/ or environment is not followed as prescribed?

  Yes

  No

  N/A

• Who maintains training records?

  Yes

  No

  N/A

• What environmental aspects are associated with this process?

  Yes

  No

  N/A

• What safety risks and hazards are associated with this process?

  Yes

  No

  N/A

• Notes

8- Operational Controls (methods/procedures/instructions/techniques)?

• How do you know what to do?

  Yes

  No

  N/A

• How do you ensure that we meet customer requirements?

  Yes

  No

  N/A

• Are the procedures and instructions clear enough for you to complete the tasks?

  Yes

  No

  N/A

• Is the information in the document correct (does practice match procedure)?

  Yes

  No

  N/A

• How do you know you have the current version?

  Yes

  No

  N/A

• How do you know if the document has been properly approved?

  Yes

  No

  N/A

• How do you get the document?

  Yes

  No

  N/A

• What other information is required for this process?

  Yes

  No

  N/A

• Are documentation of external origin used? How are they controlled?

  Yes

  No

  N/A

• Policy- Quality, environmental, health and safety?

  Yes

  No

  N/A

• How does the Policy impact you and your work?

  Yes

  No

  N/A

• Emergencies- what do you do?

  Yes

  No

  N/A

• Is the process Value Added?

  Yes

  No

  N/A

• Notes

9- Metrics (Key performance indicators, measurements, analysis, & continual improvement)?

• What are the key performance indicators for this process?

  Yes

  No

  N/A

• How is the process performance monitored?

  Yes

  No

  N/A

• How do you know if the process is on target (it's trend)?

  Yes

  No

  N/A

• What do we do if the measure doesn't meet target?

  Yes

  No

  N/A

• What do we do is the process is out of control?

  Yes

  No

  N/A

• What type of data analysis do you do?

  Yes

  No

  N/A

• How has this process continually improved?

  Yes

  No

  N/A

• What could we do to make this process more effective?

  Yes

  No

  N/A

• Audit Summary Report

• Corrective Actions

• Lead Auditor

  Sign