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PAS 99 Internal Audit Checklist _______________________________________________________________________ GUIDELINES FOR USE OF THE CHECKLIST
1. This internal audit checklist is based on the August 2006 release of PAS 99:2006 Specification of common management system requirements as a framework for integration. 2. The checklist is best used by trained and practicing auditors to evaluate or assess Management Systems requirements based on the PAS specification and the relevant standards that make up the integrated management system. You will see questions on the checklist that refer to the specification and for each clause and provisions are made for additional questions. 3. The auditors are expected to use a great degree of discretion and therefore must be careful and thoughtful prior to establishing a deficiency against a requirement. Evidence for visible top management commitment and management action must be looked for. 4. The bold numerical typescripts used in the first two columns of the checklist with titles indicate the Requirements. The numbers and titles may be referred to on nonconformity reports prepared by the auditor. 5. During assessment of each requirement, auditors record the status of the evaluation by indicating in the right hand column a: a. Yes - for Acceptable condition or No - for Deficient condition 6. As required during the audit, the assessments do not need to follow the order or sequence shown in the checklist. 7. Auditor attention is drawn to the introduction of the specification where: Figure 1 illustrates how the common requirements of multiple management system standards / specifications can be integrated into one common system, and Figure 2 illustrates how the PDCA cycle and the common requirements combine to give the outline structure of the management system.

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PAS 99 Internal Audit Checklist ____________________________________________________________________________________________________________________ 4 COMMON MANAGEMENT SYSTEM REQUIREMENTS Requirements General requirements
Is there a Management System in place that has been established, documented, implemented and maintained to meet the requirements of the integrated system as required by the standards/specifications? What standards/specifications are relevant to the organization? Quality such as ISO 9001, ISO 13485, Environmental such as ISO 14001, Health and safety such as OHSAS 18001, Technical Specification ISO/TS 16949, Other Management System Specifications.

Observations/Comments/Documents Reviewed

Results

4.1

4.1.1

Has the organization documented the scope of the management system relevant to the standards / specifications to which it subscribes? Has the organization established, documented, implemented, maintained and continually improved the management system in accordance with the requirements of this PAS and the relevant management system standards/specifications? In order to meet its declared policies and objectives has the organization: a) Identified the processes needed for the implementation, operation and maintenance of the management system, and their application throughout the organization? b) Determined the sequence and interaction of these processes and the applicability for integration of these processes? c) Determined criteria and methods needed to ensure that both the operation and control of these processes are effective?

4.1.2

4.1.3

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