IMS Process Audit - Based on PAS 99

• Standard being Audited

• Process being Audited

• Document Number

• Conducted on

  Date
• Location
  Address

• Lead Auditor

• Other Auditors

Previous Audit

• a) Have all observations from previous internal audits been resolved and compliant?

  C

  IO

  MnNC

  MjNC

  N/A

• Observation:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

Context of the Organisation

• 4.1 Have external and internal issues been determined that affect the ability of the process to achieve the intended results?

  C

  IO

  MnNC

  MjNC

  N/A

• Observation:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 4.2 Have the requirements for the interested parties been identified?

  C

  IO

  MnNC

  MjNC

  N/A

• Observation:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 4.3 Is the process defined?

  C

  IO

  MnNC

  MjNC

  N/A

• Observation:

• Non-Conformance Details:

• Recommended Action:

• By when:

  Date

• Responsible Person:

• 4.4 Is the sequence and interaction of the process been defined?

  C

  IO

  MnNC

  MjNC

  N/A

• Observation:

• Non-Conformance Details:

• Recommended Action:

• By when:

  Date

• Responsible Person:

Leadership

• 5.1 Have responsibilities and authorities for relevant roles been assigned, communicated and understood?

  C

  IO

  MnNC

  MjNC

  N/A

• Observation:

• Non-Conformance Details

• Recommended Action:

• By when?

  Date

• Responsible Person:

Planning

• 6.1 Are safety hazards effectively managed and compliant?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 6.2 Are QMS risk and opportunities effectively managed and compliant?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 6.3 Are environmental risks and opportunities in relation to aspects and impacts, compliance obligations effectively managed and compliant?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 6.4 Have IMS objectives been established?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

Support

• 7.1 Has the resource, people, infrastructure and environment) needed for the operation and control of the process been provided and maintained?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.2 Is competency in relation to IMS effectively managed and compliant?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.3 Is IMS awareness effectively managed and compliant?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.4 Is communication effectively managed and compliant?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.5 Is 'documented information' managed effectively and compliant?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.6 Is documented information of external origin identified, controlled and managed effectively and compliant?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

Operation

• 8.1 Is the criteria for the process established?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 8.2 Is the process controlled in accordance with the criteria ?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 8.3 Is documented information retained to demonstrate the process has been carried out as planned?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 8.3 Are control of changes effectively managed and compliant including documented information?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 8.4 Are outsourced processes controlled and compliant?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

Performance Evaluation

• 9.1 Is performance evaluation effectively managed and compliant?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 9.2 Is management reviews effectively managed and compliant?<br>

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

Improvement

• 10.1 Is there evidence that opportunities for improvement have been determined and any necessary actions implemented?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 10.2 Is there evidence that non-conformities are being managed effectively including documented information?

  C

  IO

  MnNC

  MjNC

  N/A

• Observations:

• Non-Conformance Details:

• Recommended Action:

• By when?

  Date

• Responsible Person:

Conclusion

• Audit Summary Report

• Corrective Actions

Audit Sign-off

• Auditor

  Sign

• Auditee

  Sign

Definitions

• AUDIT - Systematic, independent and documented process for obtaining evidence and evaluating it objectively to determine how well the audit criteria are fulfilled.

• AUDITOR - Person who has undertaken a recognised Auditor's course either conducted internally or by a recognised External body, or person who possesses sufficient business experience and knowledge of AS/NZS ISO 9001, 14001 and/or 4801 to conduct an audit.

• RECOMMENDED ACTION - Action to eliminate the cause of a detected non-conformity or other undesirable situation. In context of this audit, the meaning is to include action taken to rectify an identified deficiency (non-conformance or improvement opportunity), or action to prevent recurrence of a previous deficiency.

• IMPROVEMENT OPPORTUNITY - Observations made which are provided as guidance on potential system improvement.

• NON-CONFORMANCE - Non-fulfilment of a requirement. In the context of this audit checklist, the word "non-conformance" is used to describe conditions outside previously agreed, defined or specified requirements (including statutory requirements). It is a deficiency in documentation or procedures that reduces the quality of a material or service or introduces unacceptable risks to safety or the environment.

• NOT APPLICABLE (N/A) - In some circumstances, the question may not be applicable to the works being audited. In this instance, N/A can be recorded against the criteria and the question and points available removed from the audit scoring process.

• MAJOR NON-CONFORMANCE - In auditing terminology a major non-conformance indicates the absence of a system or part of the system, or that the documented systems or procedures are not being followed. A major non-conformance can be where there is an obvious and potentially threatening system discrepancy likely to expose people, the environment, or the company to high or extreme risk. Non-conformances identified as the primary cause of a significant incident, or a warranted customer complaint, are considered major. A major non-conformance may require immediate rectification if there is a threat to the environment, equipment or the safety of people.

• PREVENTATIVE ACTION - Action taken to prevent possible occurrence of potential deficiency / adverse impact to the quality, safety and environment.

• SYSTEM - Consists of the following elements; policy, procedures, safe work procedures, safe work instructions, environmental instructions, forms, checklists, templates, plans and tools.

• KEY:
  C = Conformance
  IO = Improvement Opportunity
  NC = Non-conformance
  Mj NC = Major Non-conformance
  

• SCORING SYSTEM:
  Conformance (C) = 10 points
  Improvement Opportunity (IO) = 5 points
  Non-conformance (NC) = 0 points
  Major non-conformance (MjNC) = -5 points