Integrated Management System

Audit Information

Audit Date:
Auditor:
Have all Non-conformances from the previous audit been actioned and closed?
Evidence must be provided to show compliance. This can take many forms, including but not limited to: Links / Images of completed documents, policies, procedures, Quality manual sections, registers and forms.Audit
IMS = Environmental Management System. This is the company management system / Business Management System.

Clause 4 - Context of Organisation

4.1) Have external and internal issues that are relevant to the organisation's purpose, the achievement of customer satisfaction and the organisation's strategic direction been determined?
Potential Evidence:
4.2) Have interested parties (relevant to IMS) and their requirements (including legal) been determined?
Potential Evidence:
4.3) Has the scope of the IMS been determined by taking into account the organisation's: a) external and internal issues, b) the needs and expectations of interested parties, c) the organisation's products and services, d) boundaries and applicability, e) authority and ability to exercise control and influence, and f) planned or performed work-related activities
Potential Evidence:
Is the scope of the IMS available and maintained as DOCUMENTED INFORMATION?
Potential Evidence:
4.4) Has the IMS, including the processes needed for its application, been implemented and in accordance with the requirements of the International standards?
Potential Evidence:
4.4) Have criteria and methods (e.g. measurement and performance indicators) needed for the effective operation, control and improvement of processes been determined and applied?
Potential Evidence:

Clause 5 - Leadership

5.1) Has top management demonstrated leadership, commitment and taken accountability for the effectiveness of the IMS, while remaining customer focused?
Potential Evidence:
5.1)Have customer requirements, and applicable statutory and regulatory requirements been determined and communicated at relevant functions and levels?
Potential Evidence:
5.2) Are the policies (quality, health & safety and environment) available and maintained as DOCUMENTED INFORMATION?
Potential Evidence:
5.2) Are the policies (quality, health & safety and environment) communicated, understood and applied within the organisation?
Potential Evidence:
5.3) Are responsibilities and authorities for roles within the IMS assigned and maintained as DOCUMENTED INFORMATION?
Potential Evidence:
5.3) Are responsibilities and authorities for roles within the IMS assigned and communicated at all levels within the organisation?
Potential Evidence:
5.4) Have processes for consultation and participation of workers been established and implemented?
ISO 45001 only:
Potential Evidence:

Clause 6 - Planning

6.1) Have risks and opportunities that are relevant to the IMS been determined?
Potential Evidence:
6.1) Has external and internal issues (context), the needs of interested parties and scope of the IMS been considered when determining risks and opportunities?
Potential Evidence:
6.1.2) Have environmental aspects and impacts of the activities, products and service that the organisation can control or influence been determined?
ISO 14001 Only:
Potential Evidence:
Have hazards, HSE risks , opportunities, legal and other contractual requirements been taken into account when determining risks and opportunities?
Are actions and processes to address risk and opportunities evaluated for effectiveness?
Are risks and opportunities, including the processes and actions to determine and address them maintained as DOCUMENTED INFORMATION?
Is a process maintained for hazard identification and assessment of risks (including methodology and criteria)?
Are legal requirements that are applicable to the organisation maintained and retained as DOCUMENTED INFORMATION?
Are objectives for the IMS established and communicated at relevant functions and levels?
Have resources, responsible persons, action plans and time frames (e.g. plans) for meeting objectives been determined?
Are objectives, including the plans to achieve them maintained and retained as DOCUMENTED INFORMATION?

Clause 6 - Planning

Have risks and opportunities that are relevant to the IMS been determined?
Has external and internal issues (context), the needs of interested parties and scope of the IMS been considered when determining risks and opportunities?
Have hazards, HSE risks , opportunities, legal and other contractual requirements been taken into account when determining risks and opportunities?
Are actions and processes to address risk and opportunities evaluated for effectiveness?
Are risks and opportunities, including the processes and actions to determine and address them maintained as DOCUMENTED INFORMATION?
Is a process maintained for hazard identification and assessment of risks (including methodology and criteria)?
Have environmental aspects and impacts of the activities, products and service that the organisation can control or influence been determined?
Are legal requirements that are applicable to the organisation maintained and retained as DOCUMENTED INFORMATION?
Are objectives for the IMS established and communicated at relevant functions and levels?
Have resources, responsible persons, action plans and time frames (e.g. plans) for meeting objectives been determined?
Are objectives, including the plans to achieve them maintained and retained as DOCUMENTED INFORMATION?

Clause 7 - Support

Have plant, equipment, facility, human resources and other resources for the IMS been determined and provided?
Are personnel doing work under the IMS aware of: a) the quality, health, safety and environmental policy? b) relevant objectives? c) their contribution to the effectiveness of the IMS, including the benefits of improved performance? d) the implications of not conforming with the IMS requirements? e) incidents and the outcomes of investigations that are relevant to them? f) hazards, risks and control measures that are relevant to them? g) the ability to remove themselves from work situations that they consider present danger to their life or health?
When monitoring or measuring is conducted to verify conformity, are monitoring and measuring equipment: a) suitable for the specific type of monitoring and measurement activities undertaken? b) maintained to ensure their continuing fitness for purpose?
Are monitoring and measuring equipment: a) calibrated or verified, or both, at specified intervals, or prior to use, against measurement standards traceable to international or national measurement standards? b) identified in order to determine their status? c) safeguarded from adjustments, damage or deterioration that would invalidate their calibration status and subsequent measurement results?
Is DOCUMENTED INFORMATION as evidence of fitness for purpose of the monitoring and measuring resources retained?
Have the necessary competence (education, training and/or experience) of personnel who can affect the performance of the IMS been determined?
Where applicable, are actions taken to acquire and maintain the necessary competence of personnel?
Is DOCUMENTED INFORMATION retained as evidence confirming the competence (education, training, and/or experience) of personnel?
Have appropriate internal and external communications channels and processes been established?
Is DOCUMENTED INFORMATION retained as evidence of communication?
When creating and updating documented information, do documents have appropriate: a) format (e.g. language and graphics) and media (paper or electronic)? b) identification and description?
When creating and updating documented information, are documents reviewed and approved for suitability and adequacy?
Is DOCUMENTED INFORMATION controlled to ensure it is: a) available and suitable for use, where and when it is needed? b) adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity)?
Are the following controls for DOCUMENTED INFORMATION defined and implemented: a) distribution, access and retrieval and use, b) storage and preservation, including preservation of legibility, c) control of changes (e.g. version control), d) retention and disposition

Clause 8 - Operation

Have controls from workplace risk assessments been implemented to eliminate hazards and reduce OH&S risks?
Is a management change process established for the implementation and control of temporary and permanent changes?
Is there a process for communicating with customers information relating to products and services, enquiries, contracts, order handling, etc?
Are processes for meeting customer and other requirements defined and implemented?
Has acceptance criteria for products and services been determined?
Is the review of customer and other requirements prior to the commitment to supply products and services maintained as DOCUMENTED INFORMATION?
Are the processes and plans for responding to potential emergency situations maintained and retained as DOCUMENTED INFORMATION?
Are design and development processes established, implemented and maintained?
Do externally provided processes, products and services conform to specified requirements?
Have criteria for the evaluation, selection, monitoring of performance and re-evaluation of external providers been established?
Is DOCUMENTED INFORMATION on the evaluation, selection, performance monitoring and re-evaluation activities of external service providers retained?
For the production or service provision, is DOCUMENTED INFORMATION (e.g. procedures, work instructions) available that defines: a) the services to be provided b) the activities to be performed (including monitoring and measurement activities), c) the results to be achieved
Is property belonging to customers or external providers that is used in the provision of the product or service controlled and safeguarded from damage?
Prior to release of products or completion of services, is DOCUMENTED INFORMATION available indicating product or service conformity?
For the control of nonconformities, is DOCUMENTED INFORMATION retained: a) describing the nonconformity; b) describing the actions taken; c) describing any concessions obtained; d) identifying the authority deciding the action in respect of the nonconformity
Are outsourced processes managed and controlled?

Clause 9 - Performance Evaluation

Has monitoring and measurement needs been determined in order to evaluate the performance of the management system?
Have methods for monitoring, measurement, analysis and evaluation been determined?
Is performance evaluation results available as DOCUMENTED INFORMATION?
Is DOCUMENTED INFORMATION of the compliance evaluation result(s) of legal requirements and other requirements
Have methods of monitoring customer perceptions of the provision of products and services been established?
Has an internal audit plan and process been established?
Is DOCUMENTED INFORMATION of the implementation of the audit programme and the results of audits retained?
Are management reviews of the management system conducted at planned intervals?
Is DOCUMENTED INFORMATION of management reviews retained?

Clause 10 - Improvement

Are there appropriate processes for managing customer complaints, nonconformities, opportunities for improvement?
Are there appropriate processes for reporting, investigating and taking action, to determine and manage incidents?
Are actions taken to eliminate the cause(s) of nonconformities in order that it does not recur occur elsewhere?
Are the results of analysis and evaluation, and outputs from management reviews used for continual improvement?
Is DOCUMENTED INFORMATION retained on incidents, nonconformities and associated actions and corrective actions?

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