Checklist for JAS-ANZ Procedure 02, Part 2, Issue 1, 3 March 2012

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Form AUD
127

Page
1

of
6

Issue 1, 15

March 2012

Checklist for
JAS
-
ANZ Procedure 02, Part
2
, Issue
1
,
3 March 2012


Conformity assessment


Requirement for bodies providing audit and certification of

Public Safety Management Systems
(PSMS Scheme)


Note 1
:
JAS
-
ANZ Procedure 02, Part
2

is to be used in addition to the

requirements
of

ISO/IEC 17021
.


JAS
-
ANZ Procedure 02, Part
2

uses the same headings and clause numbers as

ISO/IEC 17021

except that
the c
lause numbers starting with
the letter
J
provide additional requirements
to the
equivalent clause in
ISO/IEC 17021
.


Note 2
:
C
B’s are to
provide specific
references to the document,
or part thereof,
where the
ir

system
addresses the ‘J’ cla
use of Procedure 02, Part 2
.


Legend for use

by JAS
-
ANZ
:

C
=

Complies, O
=

Observation, T
=

To Address at Audit,

N
=

Nonconformity, N/A


Not Applicable


Clause

Requirement

Reference to
Document or part
thereof

JAS
-
ANZ Response

7.
1

Competence of management and personnel

J.7.1.1.1

How have PSMS
auditors’
demonstrated knowledge and skills in
the following areas:



a)

PSMS methods and techniques …
including

(i)

PSMS terminology

(ii)

PSMS principle
s and their
application

(iii)

PSMS and tools including, but
not limited to hazard
identification and risk
assessment…

(iv)

The ability to trace evidence of
failure in the organisation’s
PSMS back to the appropriate
element of the system…

7.2

Personnel involved in the certification activities

J.7.2.5.1

How are references ISO 19011, clause
7.3.3 and 7.3.4 in
ISO/IEC 17021:2006
applied to include a reference to
J.7.1.1.1 of this procedure?



8.2

Certification documents

J.8.2
.3.1

Do the certification documents include
the statement:

The
Public Safety Management
System was assessed in accordance
with JAS
-
ANZ Procedure 2, Part 2,
Issue 1 and found to comply with NZS
7901:2008?



Form AUD
127

Page
2

of
6

Issue 1,

1
5

March 2012

Clause

Requirement

Reference to
Document or part
thereof

JAS
-
ANZ Response

8.6.3

Notice of changes by a client

J.8.6.3.1

Where does the legally enforceable
agreement require the ESI or
GSI
organisation to inform the CB without
delay of any significant Public Safety
events that lead to serious harm or
significant property damage?



9.1

General requirements

J.9.1.1

Where does the certification system
require a three year certification
cycle
with surveillance audits conducted at
least once each year and a
recertification audit in the third year
prior to the expiry of certification?



J.9.1.3.1

How does the certification system
ensure that PSMS audit teams will
collectively demonstrate
sufficient
knowledge and skills in the technical
aspects of the operations of the sector
to enable the audit team to
comprehend the interaction of activities
within the auditee’s extent of
潰敲慴io湳?



䑯⁴a敳攠e潭灥瑥tci敳 i湣l畤攺

a)

Sector specific
terminology

b)

Sector specific PSMS and related
legal and regulatory requirements

c)

Sector specific PSMS and related
codes of practice, guidelines and
standards

d)

Critical characteristics of
operational processes, products
and services

e)

A general
knowledge of sector
-
typical health and safety hazards
and risks, and typical sector
specific technologies used to
prevent public safety related
serious harm and significant
property damage

f)

The ability to assess the effective
application of the PSMS
control
plans during field audits

J.9.1.4.1

Where does the system ensure that the
scope of activities to be included in field
audits and total audit durations are
determined in accordance with
Annex
A?



Form AUD
127

Page
3

of
6

Issue 1,

1
5

March 2012

Clause

Requirement

Reference to
Document or part
thereof

JAS
-
ANZ Response

J.9.1.9.1

… How
摯敳

t桥⁃B 敮s畲攠e桡琠
慵di瑯牳 will⁣潮d畣琠tu摩瑳 瑯t愠
s畦uici敮琠t数t栠h漠条i渠n⁲e慳潮慢l攠
畮摥rs瑡湤i湧 潦⁴ 攠lev敬 潦⁳ys瑥tic
c潮f潲m慮c攠e漠o桥⁳灥cifie搠
r敱畩r敭敮瑳?



g⸹.ㄮ1.2

th敲e

摯敳⁴ 攠䍂 敮s畲u⁴ 慴ar敭潴o
慵di瑩湧⁴散桮i煵敳⁡牥湬y 畳e搠d渠
慣c潲摡湣攠睩瑨t䥁c 䵄㐿



J.9.1.10.1


t桥re

摯敳⁴ 攠eB⁥湳畲攠瑨u琠
慵di琠牥t潲瑳⁣潮瑡i測n睨敲攠ep灬ic慢l攺



a)

A statement that the Plant Safety
Management System has been
effectively implemented in
accordance with NZS 7901 for the
Asset Management Plan covered
within the scope of the audit.

b)

Sufficient comments to
demonstrate the means of
determining conformity or
nonconformity with the specified
requirements for each of

the sites
within the scope of the audit

c)

Positive as well as negative
comments relating to the
effectiveness of the ESI or GSI
organisation’s PSMS with clear
s瑡t敭敮瑳 ⁣潮f潲mity
湯湣潮f潲oity

d)

Any useful comparison with the
results of
previous audits of the
organisation

e)

An explanation of any differences
from the information presented to
the organisation at the closing
meeting

J.9.1.15.1


t桥re

摯敳⁴ 攠eB⁥湳畲攠瑨u琠
慮y
摥fici敮cy⁴ 慴am敥瑳⁴ 攠e敦i湩ti潮
摥scri扥d⁩n⁉ l⽉E䌠
ㄷM2ㄬ1䍬慵s攠
㤮9⸱㔮5) is⁴牥慴敤⁡ ⁦潬lows:



a)

The time allowed to implement
corrective action shall be
commensurate with the risk of
serious harm to persons or the risk
of significant property damage

Form AUD
127

Page
4

of
6

Issue 1,

1
5

March 2012

Clause

Requirement

Reference to
Document or part
thereof

JAS
-
ANZ Response

b)

Where the risk of serious harm or
significant property damage poses
an immediate threat, the CB shall
require an appropriate and
immediate response, e.g.
suspension of the audit until the
risk is removed or significantly
reduced.

In such cases the time
allowed
shall be promptly and
independently reviewed by the CB

J.9.1.15.2

Where does the system document the
action the CB will take if a member of
the audit team, in their professional
judgement, discovers a breach of an
Act of Parliament, or a contravention of
a regulatory requirement?



Where does the procedure require
that
any breach or contravention is
recognised as nonconformity as soon
as practicable and urgently
communicated to the organisation?

9.2.1

Application

J.9.2.1.1

Where

does the CB application
documentation
ensure that

all assets
are identified
for
inclusion in the scope
of the PSMS certification?



J.9.2.1.2

How does the CB ensure that
applications for transfer of certification
will be

treated in accordance with IAF
MD2, but limited to CBs accredited by
JAS
-
ANZ for the certification of PSMS
?



J.9.2.1.3

How does the CB ensure that sampling
of eligible multiple site organisations is
done in accordance with IAF MD1
?



9.2.3.1

Stage 1 audit

J.9.2.3.1.1.1

How does the CB ensure that in all
cases at least part of the Stage 1 audit
shall be carried
out at the
organisation’s premises?



g⸹.㈮2.ㄮ1.2

䡯w⁤潥s⁴ 攠eB⁥ s畲攠eh慴a
摵ri湧
瑨t p瑡t攠e 慵摩琬tt
桥 䍂:



a)

Considers additional hazards that
may arise from public exposure to
the assets of the organisation

b)

Reviews the
Client Profile

to
evaluate the adequacy of the
PSMS hazards identified for the
range of the organisation’s
慣瑩viti敳

Form AUD
127

Page
5

of
6

Issue 1,

1
5

March 2012

Clause

Requirement

Reference to
Document or part
thereof

JAS
-
ANZ Response

c)

Identifies any issues that will
require special attention during the
Stage 2 audit; and

d)

Develops a plan for the Stage 2
audit of the PSMS
including a Field
Audit of the assets and, where
applicable,

changes to the assets
as a result of work carried out on
the assets.

9.2.3.2

Stage 2 audit

J.9.2.3.2.1

How does the CB ensure that the audit
team normally spend
s

the majority of
the Stage 2 audit time verifying the
effective implementation of the
management system in the locations
where the organisation’s activities take
灬慣攠i湣l畤i湧⁡ fiel搠d畤it⁣潶敲e湧 愠
sam灬攠ef⁴ 攠慳s整e⁡ ⁤ scri扥搠d渠
g⸹.㈮2.ㄮ1.㈠2)



9.3.2

Surveillance audit

J.9.3.2.1

… How does the CB ensure that
瑨攠
s畲u敩ll慮c攠慵di琠tr潧r慭m攠e湣l畤敳:



a)

Review of any changes to the
organisation, Plant Safety
Management System and Asset
Management Plan

b)

A review of actions taken on
nonconformities identified during
the previous audit

c)

Treatment of complaints

d)

Use of marks and/or any other
reference to certification

e)

NZS 7901 Clause 2.10, Legislative
requirements for specific assets

f)

NZS 7901 Section 4, Identification
control and review of significant
hazards

g)

NZS 7901 Section 6, Performance
monitoring

h)

The effectiveness of the Plant
Safety Management System
in
achieving the requirements of NZS
7901 for the Asset Management
Plan covered within the scope of
the
audit.

Form AUD
127

Page
6

of
6

Issue 1,

1
5

March 2012

Clause

Requirement

Reference to
Document or part
thereof

JAS
-
ANZ Response

Annex A

Audit durations

0.2

3.2

How does the system ensure that audit
durations are determined using the
Client Profile included in this Annex?



3.3

How does the system ensure that the
client profile is reviewed at each audit?



10.3

How does

the system ensure that the
field audits include a typical sample of
assets as illustrated in Table 1?