IMS Checklist

Internal Audit Checklist Integrated Management System (ISO 9001, ISO14001, OHSAS18001) No.

STD ISO9k

1.

2.

Clause

Title 

4.1, 5.5, 5.5.1

ISO14k

4.1

OHSA18k

4.1

ISO9k

4.2, 4.2.1, 4.2.2, 4.2.3

ISO14k

4.4.4, 4.4.5, 4.5.3

OHSA18k

4.4.4, 4.4.5, 4.5.3

Question

General

Documentation, Documents and Record Control

     

Has organization established, documented, implemented and maintained an Integrated Management System (IMS) that meets ISO9001, ISO 14001 and ISO 18001 requirements? Has organisation defined scope for IMS? Has organisation addressed exclusions for IMS? Are Process Interactions and Interrelations defined? Has organisation developed its organisation chart? Are roles and responsibilities defined? Does organisation define outsourced processes and further define controls for these processes.

IMS Manual:  the scope of the IMS including details of and justification for any exclusions?  Documented procedures established for the IMS, or reference to them?  Description of the interaction between the processes of the IMS? Control of Documents:  Are documents required for the IMS controlled?  Has documented procedure been establish identifying the following controls needed? a. Approval of documents for a adequacy prior to issue? b. Review, update as necessary and re-approval of documents? c. Ensure that changes and the current revision status of documents are identified? d. Ensure that relevant version of applicable documents are available at points of use? e. Ensure that documents remain legible and readily identifiable? f. Ensure that documents of external origin are identified and their distribution controlled? g. Preventing the unintended use of obsolete documents, and to apply suitable identification to them if they are retained? Control of Records:  Have records been establish and maintained to provide evidence of conformity to requirements and of the effective operation of the quality management system?  Has a documented procedure been established to define the following controls needed? Identification? Storage? Retrieval? Protection? Retention Time? Disposition?

Page 1

Compliance

Comments

Internal Audit Checklist Integrated Management System (ISO 9001, ISO14001, OHSAS18001) No.

3.

STD

Clause

ISO9k

5.3

ISO14k

4.2

OHSA18k

4.2

ISO9k

5.2, 7.2.1, 7.2.2

ISO14k

4.3.1

4.

Title

Policy

Identification & Evaluation of Aspects, Impacts & Risks And Customerrelated processes

Question Top management of organization has defined the IMS policy(s) which:  communicated within the organisation at all levels  is appropriate to the nature, scale and environmental impacts, H&S and Quality of it's activities  includes a commitment to continual improvement  includes a commitment to comply with applicable legal requirements and with other requirements to which organization subscribes which relate to its environmental aspects  provide a framework for setting and reviewing IMS objectives and targets 7.2.1 Determination of Requirements Related to the Product Has the organization determined : a. Requirements specified by the customer, including the requirements for delivery and post delivery activities? b. Requirements not stated by the customer but necessary for specified or intended use, where known? c. Statutory and regulatory requirements related to the product? d. Any additional requirements determined by the organization? Review of Requirements Related to the Product Prior to the commitment to the customer (e.g. submission of tenders, acceptance of contracts or orders or acceptance of change orders) are requirements reviewed to ensure that: a. Product requirements are defined? b. Contract or order requirements differing from those previously expressed or resolved? c. The organization has the ability to meet defined requirements?  Are the results of reviews and actions arising from these reviews recorded and maintained as records?  Where the customer has not provided a documented statement of requirements, are customer requirements confirmed by the organization before acceptance?  Where product requirements are changed, does the organization ensure that relevant documentation is amended and relevant personnel are made aware of the changed requirements?   

OHSA18k

4.3.1 

Has organization identified its Environmental Aspects and H&S Hazards related to its activities? Does organization have any system for evaluation of its environmental aspects and H&S Hazards? Does Organization have a system to control the impacts of its environmental aspects and H&S Hazards? Does organization have any documented procedure to identify environmental aspects and H&S Hazards and evaluate their impacts?

Page 2

Compliance

Comments

Internal Audit Checklist Integrated Management System (ISO 9001, ISO14001, OHSAS18001) No.

STD ISO9k

5.

Clause

5.1, 5.5, 5.5.1, 5.5.2

ISO14k

4.4.1

OHSA18k

4.4.1

ISO9k

5.2, 7.2.1

Title

Question  

Roles & Responsibilities

 

6. ISO14k

4.3.2

OHSA18k

4.3.2

ISO9k

5.4.1, 8.5.1

ISO14k

4.3.3



Identification of Legal & other Requirements

OHSA18k

4.3.3



Does organization have documented procedure to identify and have access to applicable legal requirements? Is it determined that how these requirements applied to its environmental aspects and H&S hazards? Has organization maintained a list of all applicable legal and other requirements related to environmental aspects and H&S hazards of its activities?



Objectives & Targets and Continual Improvement

7.



Does organization have sufficient resources to establish, maintain, implement and improve its IMS? Does organization have defined roles and responsibilities of personnel in order to facilitate effective IMS? Has organization appointed a specific Management Representative (MR) for implementing IMS effectively? Has organization defined roles, responsibilities and authorities of MR?

Is there any system in place to define IMS objectives and targets at relevant functions and levels within the organization?  Does organization have any documented procedure for setting IMS objectives and targets?  "Is there any documented management program available for achieving environmental & H&S objectives and targets, which include; - Roles and Responsibilities - Target Dates for achieving objectives - Resources Required - Means / Activities for achieving objectives"  Does this include the objectives needed to meet requirements for product?  Are the IMS objectives measurable and consistent with the IMS policy? Continual Improvement: • Does the organization continually improve the effectiveness of IMS? •

Are results of audits, analysis of data, corrective and preventive actions, management reviews, IMS Policy and objectives used for continual improvement?

Page 3

Compliance

Comments

Internal Audit Checklist Integrated Management System (ISO 9001, ISO14001, OHSAS18001) No.

8.

9.

STD

Clause

ISO9k

5.5.3

ISO14k

4.4.3

OHSA18k

4.4.3

ISO9k

---

ISO14k

4.4.7

OHSA18k

4.4.3

ISO9k

8.3, 8.5.2, 8.5.3

Title

Internal and External Communication

ISO14k

4.5.2

OHSA18k

4.5.2

 



Emergency Preparedness and Response

   

 

Accidents, Incidents, Nonconformance

10.

Question

and Corrective & Preventive Action

Does organization have a documented procedure for internal and external communication with regard to its EMS? Does organization have any defined mechanism for external communication?

Has organization identified potential emergency situations and potential accidents that can have impact on environment? Does organization have any documented procedure for Emergency Preparedness and Response? Does organization have any mechanism to review and revise its emergency preparedness and response procedures? Does organization conduct emergency drills on regular basis? Does organization maintain record of these drills?

Does organization have a documented procedure for dealing with actual and potential nonconformities? "Does organization have a documented procedure which includes requirements for; o identifying and correcting NCs and taking actions to mitigate their environmental impacts o Investigating NCs, determining their causes and taking actions to avoid their recurrence o evaluating need for actions to prevent NC(s) and implementing appropriate actions to avoid their occurrence o recording results of corrective and preventive actions o reviewing effectiveness of Corrective and Preventive Actions" o Does organization have Corrective and Preventive action form? o Does organization maintain CPA log of all actions taken?

Page 4

Compliance

Comments

Internal Audit Checklist Integrated Management System (ISO 9001, ISO14001, OHSAS18001) No.

STD

Clause

Title

Question 

ISO9k

7.1, 7.2.1, 7.2.1

Product Realisation and Operational Control

11.

Is planning of the organization’s product realization consistent with organisation processes?  Quality objectives and requirements for the product?  The need to establish processes, documents, and provide resources specific to the product?  Required verification, validation, monitoring, inspection and test activities specific to the product and criteria for product acceptance?  Records needed to provide evidence that the realization processes and resulting product fulfil requirements?  Is the planning output in a form that is suitable for the organization’s method of operation? Determination of Requirements Related to the Product  Requirements specified by the customer, including the requirements for delivery and post delivery activities?  Requirements not stated by the customer but necessary for specified or intended use, where known?  Statutory and regulatory requirements related to the product?  Any additional requirements determined by the organization? Review of Requirements Related to the Product Before contract/ tender/ order are followings reviewed? d. Product requirements e. Changes/ amendments f. The organization has the ability to meet defined requirements g. Review records and records of changes in the order/contract h. Acceptance of order/ contract

HSE



ISO14k

4.4.6   

OHSA18k

4.4.6

Does organization have any documented procedure to control situations where their absence could lead to deviation from the environmental organization, objectives and targets? Does organization carry out its operations under control conditions, which are associated with significant environmental aspects and H&S hazards? Has organization communicated the applicable procedures and requirements to the suppliers? Does organisation establish and maintain procedures for the design of workplace, process, installations, machinery, operating procedures and work organization, including their adaptation to human capabilities, in order to eliminate or reduce HSE risks at their source.

Page 5

Compliance

Comments

Internal Audit Checklist Integrated Management System (ISO 9001, ISO14001, OHSAS18001) No.

STD

Clause

ISO9k

7.3

ISO14k

---

Title

Design & Development

12.

OHSA18k

----

Question 7.3.1 Design and Development Planning Are product design and development activities planned and controlled? During design and development planning has the organization determined: a. Stages of design and development? b. Review, verification and validation that are appropriate to each design and development stage? c. Responsibilities and authorities for design and development? Are interfaces between different groups involved in design and development managed to ensure effective communication and clear assignment of responsibilities? Is planning output updated as the design and development progresses? 7.3.2 Design and Development Inputs Are inputs relating to product requirements defined, documented and maintained as a record? Does design and development input include: a. Functional and performance requirements? b. Applicable statutory and regulatory requirements? c. Applicable information derived from previous similar designs? d. Other requirements essentials for designs and development? Are design and development inputs reviewed for adequacy? Are incomplete, unambiguous or conflicting requirements resolved? 7.3.3 Design and Development Outputs Are outputs of the design and development provided in a form that enables verification against the design and development inputs? Are design outputs approved prior release? Does the design and development output: a. Meet the design and development input requirements? b. Provide appropriate information for purchasing, production and for service provision? c. Contain or reference product acceptance criteria? Specify the product characteristics that are essential to its safe and proper use? 7.3.4 Design and Development Review Are systematic reviews performed in accordance with planned arrangements at suitable stages of the design and development? Do design and developments review: a. Evaluate the ability of the results of design and development to meet requirements? b. Identify problems and propose necessary actions? Do review participants include representatives of functions concerned with the design and development stage(s) being reviewed? Are results of reviews and any actions necessary maintained as records? 7.3.5 Design and development Verification Is design and development verification performed in accordance with planned arrangements to ensure that the design outputs have met the design and development input requirements? Are results of the verification and actions maintained as records? 7.3.6 Design and Development Validation Is design and development validation performed in accordance with planned arrangements? Is design and development validation performed to confirm that the product is capable of meeting the requirements for the specified application or intended use, where known? Is validation completed prior to delivery or implementation of the product wherever applicable? Are results of the validation and actions maintained as records? 7.3.7 Control of Design and Development Changes Are design and/ or development changes identified and recorded? Do reviews of design and development changes include evaluation of the effect of the changes on constituent parts and product already delivered? Are design and development changes reviewed, verified, validated as appropriate and approved before implementation? Are results of the review of changes and necessary actions maintained as records?

Page 6

Compliance

Comments

n/a

Internal Audit Checklist Integrated Management System (ISO 9001, ISO14001, OHSAS18001) No.

STD

Clause

ISO9k

7.4

ISO14k

4.4.6

13.

Title

Purchasing control  Are the purchasing processes controlled to ensure purchased product (or service) conforms to requirements?  Is the type and extent of control applied to the supplier and purchased product dependent upon the effect of the purchased product on subsequent product realization or the final product.  Are supplies selected and evaluated based on their ability to supply product in accordance with the organization’s requirements?  Has the organization established criteria for selection evaluation and re-evaluation of  suppliers?  Are results of the evaluations and any necessary actions maintained as records?

Purchase

OHSA18k

4.4.6

Question

Purchasing Information  Does purchasing information describe the product to be purchased? Including are appropriate: a. Requirements for approval of product, procedures, processes and equipment? b. Requirements for qualification of personnel? c. Quality management system requirements?  Is the adequacy of specified purchased requirements ensured prior to their communication to the supplier?  Does organisation assess HSE concern of the supplier? Verification of Purchased Products  Have the inspection or other activities necessary for ensuring that purchased product meets specified purchase requirements been established and implemented?  Are verification arrangements and method of product release specified in the purchasing information where the organization or its customer intends to perform verification at supplier’s premises?

Page 7

Compliance

Comments

Internal Audit Checklist Integrated Management System (ISO 9001, ISO14001, OHSAS18001) No.

STD

Clause

ISO9k

7.5, 7.5.1, 7.5.2, 7.5.3, 7.5.4, 7.5.5

ISO14k

4.4.6

Title

Control of Production & Service Provision

14.

OHSA18k

4.4.6

Question Control of Production and Service Provision Are the production and service provision planned and carried out under controlled conditions including : a. Availability of information that describes the product characteristics? b. Availability of work instructions, as necessary? c. Use of suitable equipment? d. Availability and use of monitoring and measuring devices? e. Implementation of monitoring and measurement? f. Implementation of release, delivery and post delivery activities? Validation of Processes for Production and Service Provision Have processes where deficiencies may become apparent only after the product is in use or the service has been delivered been validated? Do the results of validation demonstrate the ability of the processes to achieve planned results? Where applicable, have the arrangements been established for: a. Defining criteria for review and approval of processes? b. Approval of equipment and qualification of personnel? c. Use of specific methods and procedures? d. Requirements for records? Re- validation? Identification and Traceability Is the product identified by suitable means throughout product realization? Is the product status identified with respect to monitoring and measurement requirements? When traceability is a requirement, is the product uniquely identified and controlled? Is the unique identification maintained as a record? Customer Property Does the organization exercise care with customer property while it is under the organization’s control or being used by the organization? Is customer property identified, verified, protected, and safeguard? If lost, damaged or otherwise found to be unsuitable for use, is condition recorded, reported to the customer and maintained as a record? Preservation of Product Is conformity of product preserved during internal processing and delivery to the intended destination? Does preservation activities include: a. Identification? b. Handling? c. Packaging? d. Storage? e. Protection? Are preservation activities applied to constituent parts of a product? Page 8

Compliance

Comments

Internal Audit Checklist Integrated Management System (ISO 9001, ISO14001, OHSAS18001) No.

STD

ISO9k

Clause

Title

6.1, 6.2.1, 6.2.2, 6.3, 6.4

Resource Management

15. ISO14k

4.4.2

OHSA18k

4.4.2

ISO9k

8.2.2

Question  Does organisation maintain personal records of its personnel?  Does organisation has minimum selection criteria? Training & Competence  "Has organization identified competence level of different personnel deployed within organization and to maintain its IMS based on;  a) Education; b) Training ; c) Experience"  Has organization maintained record of education, training and experience of personnel working in it?  Does organization identify training needs associated with its IMS?  Does organization maintain training records?  Does organization have training evaluation system in place?  Does organization maintain records of evaluation of trainings?  Does organization have any documented procedure for Training and awareness? Infrastructure To achieve conformity of product, does the organization identity, provide, and maintain the facilities including : a. Building, workshops and associated utilities? b. Process equipment, hardware and software? c. Supporting services? Work Environment Has the environment needed to achieve conformity of product requirements been determined and managed?  Does organization have a documented procedure for management review meetings?  "Does organization discuss following agenda in review meetings; a.

16.

ISO14k

4.6

OHSA18k

4.6

b. c. d. e. f. g.

Management Review

h. i.

17.

ISO9k

5.6

ISO14k

4.5.5

OHSA18k

4.5.5

 

Internal Audit  

results of internal audits and evaluations of compliance with legal requirements and with other requirements to which the organization subscribes communication(s) from external interested parties, including complaints the environmental performance of the organization the extent to which objectives and targets have been met status of corrective and preventive actions follow-up actions from previous management reviews changing circumstances, including developments in legal and other requirements related to its environmental aspects recommendations for improvement" Has organization defined frequency of Management Review Meetings?

Does organization conduct internal audits of IMS at planned intervals? Does organization have a documented procedure for internal auditing? Does organization ensure impartiality of audit process while selecting internal auditors? Has organization defined frequency of internal audits?

Page 9

Compliance

Comments

Internal Audit Checklist Integrated Management System (ISO 9001, ISO14001, OHSAS18001) No.

STD

Clause

ISO9k

7.6, 8.1, 8.2.1, 8.2.3, 8.2.4 8.4

ISO14k

4.5.1

Title

Monitoring & measurement

18.

OHSA18k

4.5.1

Question Does organisation: a. Demonstrate conformity of the product? b. Ensure conformity of the integrated management system? c. Continually improve the effectiveness of the integrated management system?  Is information relating to customer perception monitored by the organization as to whether customer requirements have been met?  Have the methodologies for obtaining and using information related to customer perception been determined? HSE  Does organization have any documented procedure to regularly monitor and measure key characteristics of its operations that can have significant environmental aspects and H&S hazards?  Does the procedure include information to monitor performance, applicable operational controls and conformity with environmental & H&S objectives and targets?  Does organisation show proactive measures of performance that monitor compliance with the HSE?  Does organisation fulfil management program, operational criteria and applicable legislation and regulatory requirements?  Does organisation perform reactive measures of performance to monitor accidents, ill health, incidents (including near-misses) and other historical evidence of deficient HSE performance? Analysis of Data  Does organisation record data and results of monitoring and measurement sufficient to facilitate subsequent corrective and preventive action analysis? Calibration  Does organization ensure that calibrated equipment is used for monitoring and measurement activities?  Does organization maintain record of calibration of monitoring and measuring equipment? Measurement and monitoring of product and process:  Are suitable methods applied for monitoring and where applicable, measurement of the quality management system processes necessary to meet customer requirements?  Do these methods demonstrate the ability of the processes to achieve planned results?  Are correction and corrective actions taken when planned results are not achieved?  Are the product characteristics monitored and measured to verify that product requirements are met?  Is monitoring and measurement of product characteristics carried out at appropriate stages of the product realization process in accordance with the planned arrangements?  Is evidence of conformity with the acceptance criteria documented and maintained?  Are records maintained to indicate the person(s) authorizing release of product? Page 10

Compliance

Comments

Internal Audit Checklist Integrated Management System (ISO 9001, ISO14001, OHSAS18001) No.

STD

Clause

Title

Question

ISO9k           

ISO14k

19.

Additional

     

OHSA18k

     

Does organization maintain record of review meetings? Safety and Environmental Layout - Availability, Display, Awareness Effluent Monitoring - Procedure, Frequency , Record Air Emission Monitoring - Procedure, Frequency , Record Noise Monitoring - Procedure, Frequency , Record PPE - Availability at appropriate locations , Usage by personnel Safety Signs : Display at appropriate locations , locations defined Assembly Areas- defined, marked and awareness of staff Availability of NEQS, Awareness on NEQS Availability of other applicable laws- Labour law, factory act , PEPA etc Emergency Response Team- Defined, personnel nominated, effectiveness Solid Waste Area - Defined, How Waste is disposed, Record Hazardous Waste - Defined, How Waste is disposed, Record First Aid Kits - Availability, List of Medicine, Effectiveness Marking of evacuation routes Emergency Alarm- Installed at appropriate locations , Inspection Plan, Record Fire Suppression System- Installed at appropriate locations , Inspection Plan, Record Earthing of Building - Earthing diagram, Points marking, Inspection frequency & Record Earthing of Machinery - Earthing diagram, Points marking, Inspection frequency & Record Chemical handling - MSDS Equipment (gauges) calibration- Procedure, sticker, record and frequency Canteen- Cleanliness, hygiene cards Toilets- Cleanliness

Page 11

Compliance

Comments