IMS8.2.2 Internal Audit Process Procedure

1.0   PURPOSE

The purpose of this procedure is to ensure that:

• Audits are conducted in accordance with the schedule.

• Audits are prepared in accordance with this procedure.

• Audits are conducted by trained auditors.

• The results of audits are presented to concerned personnel and management for review.

• Resultant corrective actions (if any) are followed up to ensure they are effectively implemented.

2.0   SCOPE

This procedure applies to all internal audits carried out on the Company's Quality Management System, products or service processes, as applicable.

3.0   REFERENCES

IMS8.5.2 Corrective Action

4.0   DEFINITIONS

Internal Audit - Systematic and independent examination to determine whether activities and related results comply with documented procedures and whether these arrangements are implemented effectively and are suitable to achieve objectives.

5.0   REQUIREMENTS

The HSEQ Manager is responsible for the programming, performance, reporting and follow-up of the Company's Internal Audits.

Where audit areas are not conflicting with responsibilities the HSEQ Manager may conduct audits.

The HSEQ Manager is to ensure that personnel conducting audits (including themselves) have no direct responsibility for the work processes being audited.

5.1   Audit Scheduling

5.1.1 Internal quality audits must be listed and approved by the HSEQ Manager on an Internal Audit Schedule.

5.1.2 The schedule must be based on the status and importance of each of the Company's activities, but must not preclude an unscheduled audit if required.

5.1.3 Unscheduled audits may be carried out at any time, at the discretion of the HSEQ Manager.

5.1.4 The schedule must ensure that each element of the Company's Quality Management System is audited at least annually.

5.1.5 The audit schedule must be reviewed during Management Review Meetings to ensure that it reflects the current status and importance of each activity.

5.1.6 Any modifications made to the schedule must be documented and approved by the HSEQ Manager.

5.1.7 The nominated Auditor must select the next audit number from the Audit Register and must advise the appropriate staff of an impending audit and the activities to be reviewed.

5.1.8 The Auditor must review the procedure that details the area and activities that will be subject to the audit, ensuring that the procedure is up to date and is currently in use.

5.1.9 The Auditor must then prepare a checklist.

5.1.10 All Audit preparations are to include review of the Third Party Certification Standards. Identified elements are to be included in the Audit Checklist to ensure compliance with the elements of the standard. 

5.2   Compliance Officer Checklists

5.2.1 SeaLink Gladstone Operations Department will conduct Complia ance Office Checklist for each Vessel/Master on a Bi-annual basis.

5.2.2 Audits are to be conducted in accordance with section 5.3 

5.3   Audit Procedure

5.3.1 The Auditor must conduct the audit in accordance with the audit checklist ensuring that each aspect within the scope of the audit is addressed.

5.3.2 The Auditor must seek objective evidence of the effective implementation of the quality system by observation, interview and/or review of appropriate records.

5.3.3 The Auditor must record any observations on the checklist.

5.3.4 Any deviation from documented procedures must be marked “Non-Conformance” and all satisfactory results “Conformance“on the checklist.

5.3.5 If for any reason the activity was not audited (e.g. documentation unavailable for review at the time of audit), then the Auditor must write “Not Verified".

5.3.6 The following code may be used: -

• NC Non-Conformance.

• C Conformance.

• NV Not Verified.

5.3.7 The Auditor must  review all findings and record any deviations from the documented procedures on the audit checklist and raise a Corrective Action Report (CAR) at the time of the audit or as soon as practicable .

5.3.8 The Auditor, upon completion of the audit must discuss these findings and the proposed corrective action to be taken with the appropriate staff.

5.3.9 The proposed corrective and preventive actions to be taken must be documented in a Corrective Action Report (CAR), by the applicable auditor.

5.3.10 The Auditor must indicate the proposed "follow-up" date in  Corrective Action Report (CAR).

5.3.11 Once raised the CAR will automatically be sent to the responsible person via the DataWeb for action.

5.3.12 All CARs raised will be kept electronically on the DataWeb.

5.3.13 The HSEQ Manager will monitor all CARs to ensure that they are being auctioned.

5.3.14 CARs that are not completed by the proposed date will be forwarded to the responsible person and their direct manager.

5.4   Audit Reporting

5.4.1 All Audit are completed via the DataWeb. On completion of the Audit it will be sent electronically to interested parties

5.4.2 The report must  consist of an Audit Report Summary Sheet and copies of any issued CARs.

5.4.3 The audit report summary sheet must clearly describe the findings of the audit, the number of CARs raised and the CAR response dates.

5.4.4 The Auditor must take responsibility for the report by adding their DataWeb code to the bottom of the page.

5.4.5 The HSEQ Manager will review all audits for his review and comments.

5.4.6 After the HSEQ Manager reviews the Audit Report and including any applicable comments, a copy of the Audit Report will be sent to the Area Manager.

5.5   Audit Follow Up

5.5.1 The HSEQ Manager must review the audit report and then forward any comments to the Auditor.

5.5.2 As recorded in the Audit Register, the Auditor must perform a follow up audit to ensure timely and effective corrective action has been taken.

5.5.3 If the corrective action has not been effectively implemented, the Auditor must raise a further CAR.

6.0   EXHIBITS

Nil.