IMS-QA-CHK-DUN-003 - Internal Audit Check Sheet Rev 01

• Conducted on

  Date

• Prepared by

• Location
  Address

• Yes

  No

  N/A

• Item

  Yes

  No

  N/A

• Requirement

  Yes

  No

  N/A

• Reference

• How do you meet the requirement

• Notes

  Yes

  No

  N/A

6.0 PLANNING

6.1.2 Environmental Aspects

• ISO 14001:2015

  Yes

  No

  N/A

• Section 6.1.2

  Yes

  No

  N/A

• Within the defined scope of the environmental management system, the organisation shall determine the environmental aspects of its activities, products and services that it can control and those that it can influence, and their associated environmental impacts, considering a life cycle perspective

  Yes

  No

  N/A

• ISO 14001:2015

  Yes

  No

  N/A

• Section 6.1.2

  Yes

  No

  N/A

• When determining environmental aspects, the organisation shall take into account:

• a.) Change, including planned or new developments, and new or modified activities, products and services

  Yes

  No

  N/A

• b.) Abnormal conditions and reasonably foreseeable emergency situations

  Yes

  No

  N/A

• The organisation shall maintain documented information of its:

• Environmental aspects and associated environmental impacts

  Yes

  No

  N/A

• Criteria used to determine its significant environmental aspects

  Yes

  No

  N/A

• Significant environmental aspects

  Yes

  No

  N/A

• ISO 14001:2015

  Yes

  No

  N/A

• Section 6.1.2

  Yes

  No

  N/A

6.1.3 Determination of Legal Requirements and other Requirements

• ISO 45001:2015 Section 6.1.3

  Yes

  No

  N/A

• The organisation shall establish, implement and maintain process(es) to:

• ISO 45001:2015 Section 6.1.3

  Yes

  No

  N/A

• a.) Determine and have access to up-to-date legal requirements and other requirements that are applicable to its hazards, OH&S risks and OH&S Management System

• b.) Determine how these legal requirements and other requirements apply to the organisation and what needs to be communicated

  Yes

  No

  N/A

• c.) Take these legal requirements and other requirements into account when establishing, implementing, maintaining and continually improving it OH&S Management System

  Yes

  No

  N/A

• ISO 45001:2015 Section 6.1.3

  Yes

  No

  N/A

6.1.3 Compliance Obligations

• ISO 14001:2015 Section 6.1.3

  Yes

  No

  N/A

• The organisation shall:

• ISO 14001:2015 Section 6.1.3

  Yes

  No

  N/A

• a.) Determine and have access to the compliance obligations related to its environmental aspects

  Yes

  No

  N/A

• b.) Determine how these compliance obligations apply to the organisation

  Yes

  No

  N/A

• c.) Take these compliance obligations into account when establishing, implementing, maintaining and continually improving its environmental management system

  Yes

  No

  N/A

• The organisation shall maintain documented information of its compliance obligations

  Yes

  No

  N/A

• ISO 14001:2015 Section 6.1.3

  Yes

  No

  N/A

8.0 OPERATION

8.2 Requirements for Products and Services

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

8.2.1 Customer Communication

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

• Communication with customers shall include:

• a.) Providing information relating to products and services

  Yes

  No

  N/A

• b.) Handling enquiries, contracts or orders, including changes

  Yes

  No

  N/A

• c.) Obtaining customer feedback relating to products and services, including customer complaints

  Yes

  No

  N/A

• d.) Handling or controlling customer property

  Yes

  No

  N/A

• e.) Establish specific requirements for contingency actions, when relevant

  Yes

  No

  N/A

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

8.2.2 Determining the Requirements for Products and Services

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

• When determining the requirements for the products and services to be offered to customers, the organisation shall ensure that:

• a.) The requirements for the products and services defined, including:

• 1.) any applicable statutory and regulatory requirements

  Yes

  No

  N/A

• 2.) those considered necessary by the organisation

  Yes

  No

  N/A

• b.) The organisation can meet the claims for the products and services it offers

  Yes

  No

  N/A

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

8.2.3 Review the Requirements for Products and Services

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

• 8.2.3.1 The organisation shall ensure that it has the ability to meet the requirements for the products and services to be offered to customers. The organisation shall conduct a review before committing to supply products and services to a customer, to include:

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

• a.) Requirements specified by the customer, including the requirements for delivery and post-delivery requirements

  Yes

  No

  N/A

• b.) Requirements not stated by the customer, but necessary for the specified or intended use, when known

  Yes

  No

  N/A

• c.) Requirements specified by the organisation

  Yes

  No

  N/A

• d.) Statutory and regulatory requirements applicable to the products and services

  Yes

  No

  N/A

• e.) Contract or order requirements differing from those previously expressed

  Yes

  No

  N/A

• The customers requirements shall be confirmed by the organisation before acceptance, when the customer does not provide a documented statement of their requirements

  Yes

  No

  N/A

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

• 8.2.3.2 The organisation shall retain documented information, as applicable:

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

• a.) on the results of the review

  Yes

  No

  N/A

• b.) on any new requirements for the products and services

  Yes

  No

  N/A

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

8.2.4 Changes to Requirements for Products and Services:

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

• The organisation shall ensure that relevant documented information is amended, and that relevant persons are made aware of the changed requirements, when the requirements for products and services are changed

  Yes

  No

  N/A

• ISO 9001:2015 Section 8.2, 8.2.1, 8.2.2, 8.2.3, 8.2.4

8.3.2 Design and Development Planning

• ISO 9001:2015 Section 8.3.2, 8.3.4, 8.3.5 & 8.3.6

• In determining the stages and controls for design and development, the organisation shall consider:

• a.) the nature, duration and complexity of the design and development activities

  Yes

  No

  N/A

• b.) the required process stages, including applicable design and development reviews

  Yes

  No

  N/A

• c.) the required design and development verification and validation activities

  Yes

  No

  N/A

• d.) the responsibilities and authorities involved in the design development process

  Yes

  No

  N/A

• e.) the internal and external resource needs for the design and development of products and services

  Yes

  No

  N/A

• f.) the need to control interfaces between persons involved in the design and development process

  Yes

  No

  N/A

• g.) the need for involvement of customers and users in the design and development process

  Yes

  No

  N/A

• h.) the requirements for subsequent provision of products and services

  Yes

  No

  N/A

• i.) the level of control expected for the design and development process by customers and other relevant interested parties

  Yes

  No

  N/A

• j.) the documented information needed to demonstrate that design and development requirements have been met

  Yes

  No

  N/A

• ISO 9001:2015 Section 8.3.2, 8.3.4, 8.3.5 & 8.3.6

8.3.4 Design and Development Controls

• ISO 9001:2015 Section 8.3.2, 8.3.4, 8.3.5 & 8.3.6

• The organisation shall apply controls to the design and development process to ensure that:

• a.) the results to be achieved are defined

  Yes

  No

  N/A

• b.) reviews are conducted to evaluate the ability of the results of the design and development to meet requirements

  Yes

  No

  N/A

• c.) verification activities are conducted to ensure that the design and development outputs meet the input requirements

  Yes

  No

  N/A

• d.) validation activities are conducted to ensure that the resulting products and services meet the requirements for the specified application or intended use

  Yes

  No

  N/A

• e.) any necessary actions are taken on problems determined during the reviews, or verification and validation activities

  Yes

  No

  N/A

• f.) documented information of these activities are retained

  Yes

  No

  N/A

• ISO 9001:2015 Section 8.3.2, 8.3.4, 8.3.5 & 8.3.6

8.3.5 Design and Development Outputs

• ISO 9001:2015 Section 8.3.2, 8.3.4, 8.3.5 & 8.3.6

• The organisation shall ensure that design and development outputs:

• a.) meet input requirements

  Yes

  No

  N/A

• b.) are adequate for the subsequent processes for the provision of products and services

  Yes

  No

  N/A

• c.) include of reference monitoring and measurement requirements, as appropriate, and acceptable criteria

  Yes

  No

  N/A

• d.) specify the characteristics of the products and services that are essential for their intended purpose and their safe and proper provision

  Yes

  No

  N/A

• The organisation shall retain documented information on design and development outputs

  Yes

  No

  N/A

• ISO 9001:2015 Section 8.3.2, 8.3.4, 8.3.5 & 8.3.6

8.3.6 Design and Development Changes

• ISO 9001:2015 Section 8.3.2, 8.3.4, 8.3.5 & 8.3.6

• The organisation shall identify, review and control changes made during, or subsequent to, the design and development of products and services, to the extent necessary to ensure that there is no adverse impact on conformity to requirements

  Yes

  No

  N/A

• The organisation shall retain documented information on:

• a.) design and development changes

  Yes

  No

  N/A

• b.) the results of reviews

  Yes

  No

  N/A

• c.) the authorisation of the changes

  Yes

  No

  N/A

• d.) the actions taken to prevent adverse impacts

  Yes

  No

  N/A

• ISO 9001:2015 Section 8.3.2, 8.3.4, 8.3.5 & 8.3.6

9.0 PERFORMANCE EVALUATION

9.1.2 Evaluation of Compliance

• 45001:2015 Section 9.1.2

  Yes

  No

  N/A

• The organisation shall establish, implement and maintain the process(es) needed to evaluate fulfilment of its compliance obligations:

• a.) determine the frequency that compliance will be evaluated

  Yes

  No

  N/A

• b.) evaluate compliance and take action if needed

  Yes

  No

  N/A

• c.) maintain knowledge and understanding of compliance status

  Yes

  No

  N/A

• d.) retain documented information of the compliance evaluation result(s)

  Yes

  No

  N/A

• 45001:2015 Section 9.1.2

  Yes

  No

  N/A

9.1.2 Customer Satisfaction

• ISO 9001:2015 Section 9.1.2

  Yes

  No

  N/A

• The organisation shall monitor customers perceptions of the degree to which their needs and expectations have been fulfilled. The organisation shall determine the methods for obtaining, monitoring and reviewing this information

  Yes

  No

  N/A

• ISO 9001:2015 Section 9.1.2

  Yes

  No

  N/A

9.1.3 Analysis and Evaluation

• ISO 9001:2015 Section 9.1.3

  Yes

  No

  N/A

• The organisation shall analyse and evaluate appropriate data and information arising from monitoring and measurement. The results of analysis shall be used to evaluate:

• a.) conformity of products and services

  Yes

  No

  N/A

• b.) the degree of customer satisfaction

  Yes

  No

  N/A

• c.) the performance an effectiveness of the quality management system

  Yes

  No

  N/A

• d.) if planning has been implemented effectively

  Yes

  No

  N/A

• e.) the effectiveness of actions taken to address risks and opportunities

  Yes

  No

  N/A

• f.) the performance of external providers

  Yes

  No

  N/A

• g.) the need for improvements to the quality management system

  Yes

  No

  N/A

• ISO 9001:2015 Section 9.1.3

  Yes

  No

  N/A

9.2 Internal Audit

• ISO 9001:2015 ISO 14001:2015 ISO 45001:2015 Section 9.2, 9.2.1 & 9.2.2

9.2.1 General

• ISO 9001:2015 ISO 14001:2015 ISO 45001:2015 Section 9.2, 9.2.1 & 9.2.2

• The organisation shall conduct internal audits at planned intervals to provide information on whether the Quality, Environmental & OH&S Management System conforms to:

• a.) conforms to:

• 1.) the organisations own requirements for its Quality, Environmental, OH&S management system, including policies & objectives

  Yes

  No

  N/A

• 2.) the requirements of the international standard

  Yes

  No

  N/A

• b.) is effectively implemented

  Yes

  No

  N/A

• ISO 9001:2015 ISO 14001:2015 ISO 45001:2015 Section 9.2, 9.2.1 & 9.2.2

9.2.2 Internal Audit Programme

• ISO 9001:2015 ISO 14001:2015 ISO 45001:2015 Section 9.2, 9.2.1 & 9.2.2

• The organisation shall:

• a.) plan, establish, implement and maintain audit programme(s) including the frequency, methods, responsibilities, planning requirements and reporting, which shall take into consideration the importance of the processes concerned, changes affecting the organisation, and the results of previous audits

  Yes

  No

  N/A

• b.) define the audit criteria

  Yes

  No

  N/A

• c.) select auditors and conduct audits to ensure objectivity and the impartiality of the audit process

• d.) ensure that the results of the audit are reported to relevant management

  Yes

  No

  N/A

• e.) take appropriate correction and corrective actions without undue delay

  Yes

  No

  N/A

• f.) retain documented information as evidence of the implementation of the audit programme and audit results

• ISO 9001:2015 ISO 14001:2015 ISO 45001:2015 Section 9.2, 9.2.1 & 9.2.2

10.0 IMPROVEMENT

10.2 Incident, Nonconformity and Corrective Actions

• ISO 45001:2018 Section 10.2

  Yes

  No

  N/A

• The organisation shall establish, implement and maintain process(es), including reporting, investigating and taking action, to determine and manage incidents and nonconformities

  Yes

  No

  N/A

• When an incident or nonconformity occurs, the organisation shall:

• a.) react in a timely manner to the incident or nonconformity and, as applicable

  Yes

  No

  N/A

• 1.) take action to control and correct it

  Yes

  No

  N/A

• 2.) deal with the consequences

  Yes

  No

  N/A

• b.) evaluate with the participation of workers and the involvement of other relevant interested parties, the need for corrective action to eliminate the root cause(s) of the incident or nonconformity, in order that it does not recur or occur elsewhere by:

• 1.) investigating the incident or reviewing the nonconformity

  Yes

  No

  N/A

• 2.) determining the cause(s) of the incident or nonconformity

  Yes

  No

  N/A

• 3.) determining if similar incidents have occurred, if nonconformities exist, or if they could potentially occur

  Yes

  No

  N/A

• c.) review existing assessments of OH&S risks and other risks as appropriate

  Yes

  No

  N/A

• d.) determine and implement and action needed, including corrective action, in accordance with the hierarchy of controls and management of change

  Yes

  No

  N/A

• e.) assess OH&S risks that relate to new or changed hazards, prior to taking action

  Yes

  No

  N/A

• f.) review the effectiveness of any actions taken, including corrective action

  Yes

  No

  N/A

• g.) make changes to the OH&S management system, if necessary

  Yes

  No

  N/A

• The organisation shall retain documented information and shall communicate the documented information to relevant workers, and, where they exist, workers representatives, and other interested parties

  Yes

  No

  N/A

• ISO 45001:2018 Section 10.2

  Yes

  No

  N/A

10.2 Nonconformity and Corrective Actions

• ISO 9001:2015 ISO 14001:2015 Section 10.2

  Yes

  No

  N/A

• When a nonconformity occurs, including an arising from complaints, the organisation shall:

• a.) react to the nonconformity and, as applicable

  Yes

  No

  N/A

• 1.) take action to control and correct it

  Yes

  No

  N/A

• 2.) deal with the consequences

  Yes

  No

  N/A

• b.) evaluate the need for action to eliminate the cause(s) of the nonconformity, in order that it does not recur or occur elsewhere by

  Yes

  No

  N/A

• 1.) reviewing and analysing the nonconformity

  Yes

  No

  N/A

• 2.) determining the cause(s) of the nonconformity

  Yes

  No

  N/A

• 3.) determining if similar nonconformities exist, or if they could potentially occur

  Yes

  No

  N/A

• c.) implement any action needed

  Yes

  No

  N/A

• d.) review the effectiveness of any corrective action taken

  Yes

  No

  N/A

• e.) update risks and opportunities determined during planning, if necessary

  Yes

  No

  N/A

• f.) make changes to the quality / environmental system, if necessary

  Yes

  No

  N/A

• The organisation shall retain documented information as evidence of:

• The nature of the nonconformities and any subsequent actions taken

  Yes

  No

  N/A

• The results of any corrective action

  Yes

  No

  N/A

• ISO 9001:2015 ISO 14001:2015 Section 10.2

  Yes

  No

  N/A

10.3 Continual Improvement

• ISO 9001:2015 ISO 14001:2015 Section 10.3

  Yes

  No

  N/A

• The organisation shall continually improve the suitability, adequacy and effectiveness of the quality / environmental management system

  Yes

  No

  N/A

• ISO 9001:2015 ISO 14001:2015 Section 10.3

  Yes

  No

  N/A

10.3 Continual Improvement

• ISO 45001:2015 Section 10.3

  Yes

  No

  N/A

• The organisation shall continually improve the suitability, adequacy and effectiveness of the OH&S management system by:

• a.) enhance OH&S performance

  Yes

  No

  N/A

• b.) promoting a culture that supports an OH&S management system

  Yes

  No

  N/A

• c.) promoting the participation of workers in implementing actions for continual improvement

  Yes

  No

  N/A

• d.) communicating the relevant results of continual improvement to workers and, where they exist worker representatives

  Yes

  No

  N/A

• e.) maintaining and retaining documented information as evidence of continual improvement

  Yes

  No

  N/A

• ISO 45001:2015 Section 10.3

  Yes

  No

  N/A

Control of Noise at Work

• Control of Noise at Work Regulations 2005

  Yes

  No

  N/A

• The organisation shall demonstrate that is has the appropriate processes in place:

• a.) What training is in place to educate all employees of the effect of noise at work?

  Yes

  No

  N/A

• b.) What PPE is available?

  Yes

  No

  N/A

• c.) Is the organisation aware of the legal limits, and are these monitored?

  Yes

  No

  N/A

• d.) Is a health surveillance carried out?

  Yes

  No

  N/A

• Control of Noise at Work Regulations 2005

  Yes

  No

  N/A

Control of Vibration at Work

• Control of Vibration at Work Regulations 2005

  Yes

  No

  N/A

• The organisation shall implement the following:

• a.) A Risk Assessment is in place for the use of vibrating tools and or Equipment

  Yes

  No

  N/A

• b.) Vibrating tools are monitored

  Yes

  No

  N/A

• c.) The correct PPE is available for using vibrating tools and equipment

  Yes

  No

  N/A

• d.) instruction / training on the correct use has been performed

  Yes

  No

  N/A

• e.) Regular health surveillance is carried out

  Yes

  No

  N/A

• f.) The employees are aware of the hazards, risks of prolonged use of vibrating tools or equipment

  Yes

  No

  N/A

• Control of Vibration at Work Regulations 2005

  Yes

  No

  N/A

Consultation with Employees

• Consultation with Employees Regulations 1996

  Yes

  No

  N/A

• The organisation shall consult with employees / Health & Safety representatives on:

• a.) The introduction of any measure which may affect their health and safety at work (new equipment or systems of work)

  Yes

  No

  N/A

• b.) arrangements for getting competent people to help them comply with Health & Safety regulations

  Yes

  No

  N/A

• c.) information detailing the risks and dangers arising from their work and the measure to reduce or get rid of these risks

  Yes

  No

  N/A

d.) the planning and organisation of Health & Safety training

• Consultation with Employees Regulations 1996

  Yes

  No

  N/A

Safety Signs and Signals

• Safety Signs and Signals Regulations 1996

  Yes

  No

  N/A

• The organisation shall ensure that safety signs are provided (or are in place) and maintained in circumstances where there is a significant risk to health and safety that has not been removed or controlled by other methods

  Yes

  No

  N/A

• Safety signs must be secured in the appropriate location, convey a clear message and are maintained

  Yes

  No

  N/A

• Safety Signs and Signals Regulations 1996

  Yes

  No

  N/A

Regulatory Reform (Fire Safety)

• Regulatory Reform (Fire Safety) Order 2005

  Yes

  No

  N/A

Risk Assessment

• 1.) the organisation must make a suitable and sufficient assessment of the risks to which employees are exposed for the purpose of identifying the general fire precautions they need to take to comply with the requirements

  Yes

  No

  N/A

• 2.) where a dangerous substance is or is liable to be present in or on the premises, the risk assessment must include consideration

• 3.) any such assessment is reviewed by the responsible person regularly to keep it up to date

  Date

Fire Fighting & Detection

• 1.) in order to safeguard employees, the organisation shall ensure that the premises are equipped with appropriate fire fighting equipment and with fire detectors and alarms

  Yes

  No

  N/A

• 2.) nominate competent persons to implement fire fighting measures and ensure that the number of such persons, their training and the equipment available to them are adequate

  Yes

  No

  N/A

• 3.) arrange the necessary contacts with external emergency services, particularly as regards, fire fighting, rescue work, first aid and emergency medical care

  Yes

  No

  N/A

• Regulatory Reform (Fire Safety) Order 2005

  Yes

  No

  N/A

Work Time Regulations

• Work Time Regulations 1998

  Date

• How does the organisation ensure that it is:

• a.) Compliant with the working time Regulation?

  Yes

  No

  N/A

• b.) That all employees are aware of the maximum working time allowance?

  Yes

  No

  N/A

• c.) How is it cascaded / distributed to the workforce, and ensured it is understood?

  Yes

  No

  N/A

• Work Time Regulations 1998

  Date

Radiation

• The Ionising Radiation Regulations 1999

  Yes

  No

  N/A

• Does the organisation have the following:

• a.) A Radiation Protection Advisor (RPA)

  Yes

  No

  N/A

• b.) Trained users for any radiation emitting equipment?

  Yes

  No

  N/A

• c.) A designated area and procedure for the use of ionising radiation equipment?

  Yes

  No

  N/A

• d.) Monitor users who are exposed? Do you have dosimeter devices to do this?

  Yes

  No

  N/A

• e.) Appropriate PPE available?

  Yes

  No

  N/A

• f.) Continually assess the risks of exposure to ionising radiation? [show]

  Yes

  No

  N/A

• The Ionising Radiation Regulations 1999

  Yes

  No

  N/A

Planned Maintenance

• a.) Does the organisation have a Maintenance Schedule?

  Yes

  No

  N/A

• b.) What does this cover?

  Yes

  No

  N/A

• c.) How often and to what frequency is the Maintenance schedule reviewed?

  Yes

  No

  N/A

• d.) Who carries out Maintenance, are they suitably qualified?

  Yes

  No

  N/A

• e.) What is the process for something that has failed routine maintenance check?

  Yes

  No

  N/A