Integrated Management Systems Audit - System Audit

• Audit Title

• Document No. VS-HS-HSC-035 Issue 3

• Project

• Conducted on

  Date
• Location
  Address

• Project Manager

• Regional Manager

• Project Director

• Opening meeting attendees:

• Closing meeting attendees:

• Comments:

• Summary:

Previous Inspection

• a) Has the last audit report been reviewed?

  Yes

  No

  N/A

• b) Are there any outstanding actions?

  Yes

  No

  N/A

Context of the Organisation

• 4.1 Has Trelleborg determined external and internal issues that are relevant to its purpose, strategic direction an that affect its ability to achieve the intended result(s) of its management system?

  Yes

  No

  N/A

• 4.2 Has Trelleborg determined the interested parties and their requirements that are relevant to the management system?

  Yes

  No

  N/A

• 4.3 Has Trelleborg determined the boundaries and applicability of the IMS in order to establish its scope?

  Yes

  No

  N/A

• 4.4 Is the scope of Trelleborg management system available and maintained as documented information?

  Yes

  No

  N/A

• 4.5 Does Trelleborg scope state the types of products and services covered?

  Yes

  No

  N/A

• 4.6 Has Trelleborg established, implemented, maintained and continually improved the management system including the processes needed for their interactions?

  Yes

  No

  N/A

• 4.7 Has Trelleborg determined the processes needed for the management system and their application throughout the organisation?

  Yes

  No

  N/A

Leadership

• 5.1 Does top management demonstrate leadership and commitment with respect to the integrated management system?

  C

  IO

  MnNC

  MjNC

  N/A

• 5.2 Has top management established an IMS policy?

  Yes

  No

  N/A

• 5.3 Has top management ensured that the responsibilities and authorities for relevant roles are assigned and communicated within Trelleborg?

  Yes

  No

  N/A

Planning

• 6.1 Has Trelleborg considered all the issues in regards to 'understanding the organisation and its context' and 'understanding the needs and expectations of interested parties' and determining the risks and opportunities?

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 6.2 Has Trelleborg established the IMS objectives at relevant functions and levels?

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

Support

• 7.1 Has Trelleborg determined and provided the resources necessary for the establishment, implementation, maintenance and continual improvement of the integrated management system?<br>

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.2 Has Trelleborg:<br>a) Determined the necessary competence of person(s) doing work under its control that affects the performance?<br>b) Ensured that these persons are competent on the basis of appropriate education, training, or experience?<br>c) Retained appropriate documented information as evidence of competence?

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.3 Does the department doing work under Trelleborg's control are aware of:<br>a) the IMS policy?<br>b) their contributions to the effectiveness of the IMS including the benefits of improved performance?<br>c) the implications of not conforming with the IMS, actual or potential on of their work activities?

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.4 Has Trelleborg determined the internal and external communications relevant to the integrated management system?

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.5 Has Trelleborg integrated management system included documented information that:<br>a) is required by the PAS 99:2012 standard<br>b) is documented information determined by the department necessary for the effectiveness of the IMS.

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.6 When creating and updating documented information has Trelleborg ensured:<br>a) the documented information has an appropriate identification and description?<br>b) the documented information has an appropriate format?<br>c) the documented information has been reviewed and approved for suitability and adequacy?

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.7 Has Trelleborg ensured that the documented information requited by the IMS is controlled to ensure:<br>a) that is available and suitable for use, where and when it is needed?<br>b) That it is adequately protected?

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.8 Has Trelleborg, in order to control documented information, addressed:<br>a) its distribution, access, retrieval and use?<br>b) Its storage and preservation, including preservation of legibility?<br>c) Its control of changes (eg version control)?<br>d) Its retention and disposition?

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 7.9 Has Trelleborg determined documented information of external origin necessary for the planning and operation of the IMS to be identified as appropriate , and be controlled?

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

Operation

• 8.1 Has Trelleborg planned, implemented and controlled the processes needed to meet the requirements and implemented the actions determined in clause 6.1 'actions to address risks and opportunities' by:<br>a) establishing the criteria of those processes?<br>b) Implementing the control of the processes in accordance with the criteria?<br>c) Determining, maintaining and retaining documented information to ensure processes have been carried out as planned?<br>

  C

  IO

  MnNC

  MjNC

  N/A

• Comments:

• Recommended Action:

• By when?

  Date

• Responsible Person:

• 8.2 Has Trelleborg controlled planned changes and reviewed the consequences of unintended changes while taking actions to mitigate any adverse effects?

  Yes

  No

  N/A

• 8.3 Has Trelleborg ensured that outsourced processes are controlled?

  Yes

  No

  N/A

Performance Evaluation

• 9.1 Has Trelleborg determined:<br>a) What needs to be monitored and measured?<br>b) The method for monitoring, measurement, analysis and evaluation needed to ensure valid results?<br>c) When the monitoring and measuring shall be performed?<br>d) When the results from monitoring and measurement are analysed and evaluated?

  Yes

  No

  N/A

• 9.2 Has Trelleborg retained appropriate documented information as evidence of the results?

  Yes

  No

  N/A

• 9.3 Is Trelleborg evaluating the performance and effectiveness of the integrated management system?

  Yes

  No

  N/A

• 9.4 Is Trelleborg conducting audits at planned intervals to provide information on whether the IMS:<br>a) conforms to the organisation's own requirements for its IMS?<br>b) Is effectively implemented and maintained?

  Yes

  No

  N/A

• 9.5 Has Trelleborg planned, established, implemented and maintained an audit programme(s) including the frequency, methods, responsibilities, planning requirements and reporting which takes into consideration the importance of processes concerned , and the results of previous audits.

  Yes

  No

  N/A

• 9.6 Has Trelleborg defined the audit criteria and scope of each audit?

  Yes

  No

  N/A

• 9.7 Has Trelleborg selected auditors to conducted audits to ensure objectivity and impartiality of the audit process?

  Yes

  No

  N/A

• 9.8 Has Trelleborg ensured that the results of the audits are reported to relevant management?

  Yes

  No

  N/A

• 9.9 Has Trelleborg retained documented information as evidence of the implementation of the audit programme and the audit results?

  Yes

  No

  N/A

• 9.10 Has top management reviewed the organisation's management system at planned intervals to ensure its continuing suitability, adequacy and effectiveness?

  Yes

  No

  N/A

• 9.11 Has the Trelleborg planned and carried out taking into consideration:<br>a) The status of actions from previous management reviews?<br>b) Changes in external and internal issues that are relevant to the IMS?<br>c) Information on the performance, including trends in:<br>1) nonconformities and corrective actions<br>2) monitoring and measurement results; and<br>3)opportunities for continual improvement

  Yes

  No

  N/A

• 9.12 Has Trelleborg ensured that the outputs of the management review includes decisions and actions relating to:<br>a) continual improvement opportunities?<br>b) Any need for changes to the IMS?

  Yes

  No

  N/A

• 9.13 Is Trelleborg retaining documented information as evidence of the results of the management reviews?

  Yes

  No

  N/A

Improvement

• 10.1 When a non-conformity occurs has Trelleborg:<br>a) reacted to the non-conformity as applicable and taken action to control and correct it and also deal with the consequence?<br>b) Evaluated the need for action to eliminated the cause(s) of the nonconformity, to ensure that it does not recur or occur elsewhere by:<br>1) Reviewing the non-conformity?<br>2) Determining the causes of the non-conformity?<br>3) Determining if similar nonconformities exist, or could potentially occur?<br>c) Implement any actions needed?<br>d) Review the effectiveness of any corrective action taken?<br>e) Made changes to the IMS, if necessary?

  Yes

  No

  N/A

• 10.2 Has Trelleborg ensured that corrective actions are appropriate to the effects of the nonconformities encountered?

  Yes

  No

  N/A

• 10.3 Has Trelleborg retained documented information as evidence of:<br>a) The nature of the nonconformities and any subsequent actions taken?<br>b) The results of any corrective action?

  Yes

  No

  N/A

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