Professional Documents
Culture Documents
For the benefits of internal auditors the list of questions to be asked to the respective department is
listed below based on ISO 9001:2015, ISO 14001:2015 And ISO 45001:2018 for EQHSMS system.
Please note that it is not exhaustive and it may be considered as guidelines only. Auditors are advised
to prepare their own question list based on the questions listed below.
1. EQHSMS system coordinator and ISO 9001, ISO 14001 And ISO 45001 system related areas
How do you arrive at quality and environmental and occupational, health and
1.
safety policy?
Have you identified objectives based on your Quality and environmental and
2.
occupational, health and safety policy?
Is your Quality and environmental and occupational, health and safety policy
3. complies with the requirements of ISO 9001, ISO 14001 EMS and ISO 45001
standards?
4. How do you ensure prevention of pollution through out the organization?
Have you considered the context of the organization’s overall business activities
? Have you determine external and internal issues in the Environment
management system (EMS)? Does this issues are relevant to its purpose and
5. ability to achieve intended outcome of EQHSMS? Have you considered the
context of the organization’s overall business activities and issues and quality and
environmental and occupational, health and safety conditions affected by your
activities? To whom you have identified your interested parties?
Have you determine the boundaries and applicability of the Environment
6.
management system?
Have you considered the context of the organization’s overall business activities
7. and issues and quality and environmental and occupational, health and safety
conditions affected by your activities?
8. To whom you have identified your interested parties?
Have you conducted environmental aspect and OHS Hazard analysis survey for
your all activities? Are all activities covered? How do you ensure that all activities
9.
are covered? To whom you have included in aspect and OHS Hazard analysis
survey?
What is your mechanism for evaluation of Impacts and Risk associated of each
10.
aspect and OHS Hazards?
Have you identified list of significant aspect and OHS Hazards? Have you done
11.
feasibility analysis for such significant aspect and OHS Hazards?
Have you prepared Environmental aspect and OHS Hazard Register? Is this
12.
register is made available to all employees?
Have you communicated all such Environmental aspect, OHS Hazards, its impact
13.
to all your employees within the organization?
What are the needs and expectations of interested parties in management
14. system? What procedure or process is followed to understand interested parties
requirements?
15. How do you establish the EQHSMS? How do you bring continual improvement in
Is there any documented information for your Quality and environmental and
occupational, health and safety policy Statement, objectives and person
33. responsible for it? How do you communicate environment policy and objectives
within the organization? Interview few people to ensure it is understood and
applied.
How and when do you review such objectives for achieving the targets? Have you
34.
prepared any plan for the same?
35. Are your objectives committing prevention of pollution?
What is the mechanism of identification of risk and opportunities? What is the
36. Quality and environmental and occupational, health and safety plan at present,
frequency of review and identification of new plans?
Who does routine monitoring and implementation of Quality and environmental
37. and occupational, health and safety plans? How the records of such Quality and
environmental and occupational, health and safety plans are maintained?
38. Are you having defined organization structure and responsibility?
39. How do you report to top Management for effective implementation of System?
40. How do you ensure continual improvement in the system?
Do you report to Top Management for effectiveness of Quality and environmental
and occupational, health and safety Management System? How do you measure
effectiveness of system for working of your Organization? How do you collect
41. necessary information for the same? Are you getting information for corrective
action taken on the identified non–compliances and it’s effectiveness for
discussion in the management review meeting? What is the frequency of the
Management Review Meeting?
How do you plan for management review meeting and who are committee
member? Do you circulate agenda for Management review meeting in advance?
Do you prepare minutes of Management review meeting with the actions decided
42.
in management review meeting? How do you monitor effectiveness of the
system? Are you reviewing quality and environmental and occupational, health
and safety objectives in the management review? When do you review it?
Are you doing follow-up for completion of action decided in Management review
43.
meetings? How? What is input and output of Management review meetings?
Does the master list for Documented information and Formats with revision no.
Made and communicated to concern person? Show us latest revision of Quality
and environmental and occupational, health and safety Manual? How do you
maintain master list of page-wise amendment? How do you inform all the persons
44. for changes in any documented information? Who is responsible for approval and
control of different types of documented information? Are you changing whole
document or page-wise amendment? How do you get information for changes in
the documented information / Quality and environmental and occupational, health
and safety Manual? How do you inform to the entire concerned person?
45. How documented information is identified for control / uncontrolled and obsolete?
46. Do you preserve obsolete documented information? Where do you preserve it?
47. Do you have list of trained auditors? Who has given training to them as per ISO
When do you carry out corrective actions? How do you identify causes of non –
60.
compliances? Have you recorded results of actions taken? Where?
How do you plan to take actions for significant quality and environmental aspects,
61.
compliance obligation?
How do you plan actions to address the risks and opportunities? How do you
integrate and implement these actions into its Environment management system
62.
processes? Does your plan include how, what, when etc?? Show us such
documented information
Have you done any planning for how to achieve the quality and environmental
and occupational, health and safety objectives? Does this plan cover what will be
63.
done, resource details and responsibilities, target date? How the results are
evaluated including indicators for achievement of this objective?
Have you establish, implement and maintain a process for potential emergency
64.
situations and potential accidents?
Have you update risks based on such investigation and opportunities determined
65. during planning? How do you ensure corrective action taken is appropriate to the
effects of the Non conformities encountered including environment impact?
How do you improve the suitability, adequacy, and effectiveness of the EQHSMS
to enhance environmental and occupational, health and safety performance?
66.
Have you determined is there needs or opportunities that are addressed as a part
of continual improvement?
Have you update risks based on investigation and opportunities determined
during planning? How do you ensure corrective action taken is appropriate to the
67. effects of the Non conformities encountered?
How do you improve the suitability, adequacy, and effectiveness of the QMS to
68. enhance performance? Have you determined is there needs or opportunities that
are addressed as a part of continual improvement?
Are you doing follow-up for completion of action decided in Management review
meetings? How? What is input and output of Management review meetings?
Have you analyzed data for:
a). Customer satisfaction.
69. b). Product conformities like inspection for incoming, in process and final
stage inspection.
c). Process trends and opportunities for the improvement for example yield
control, time cycle reduction etc.
d). Suppliers.
When do you carry out corrective actions? How do you identify causes of
70. nonconformity? Have you documented results of actions taken? Where? How do
you review the effectiveness of the action taken?
Have you fixed any action plan for the achievement of Quantifiable criteria? By
71. which data and how it will be achieved? Show us action plan for achieving the
same.
21. Have you determine how these compliance obligations apply to your area? Is
there any system followed to include environmental and occupational, health and
3. Training and HR
Are you having list of employees? Have you identified personnel doing specific
1.
work affects environment?
Are such employees are competent to do the same? Are you having documented
2.
information of employee’s competence?
Have you determine competence of personnel performing work affecting
3. conformity to the product requirements? How? Based on that how do you identify
training needs or recruitment of new person for the various levels of employees?
What are the parameters covered under competence? Are you having
competence chart for the various levels of employees? How do you ensure the
4.
competence and are you having annual appraisal to ensure competence of
employee?
5. How do you prevent, or reduce, undesired effects related to risk?
6. How are you maintaining training documented information of all employees?
4. Operation / Production
Are you having aspect / impact register of your all-applicable activities? Show me
1.
aspect impact register?
Is all aspect and its impacts are communicated to all your employees within the
2.
department?
Are you having list of significant aspects of your department? How the impact
3.
evaluation is done for all such aspects?
Have you plan, implemented processes as per ISO 9001 QMS, ISO 14001:2015
EMS and ISO 45001 OH&S system Standard? Have you establish the criteria for
4.
the processes and acceptance of product and services in line with your
established EQHSMS?
5. What actions are implemented from identified risks and opportunities?
Are you having environmental aspects, OHS Hazards, impacts and risk
6. associated register of your all-applicable activities? Show me environmental
aspects, OHS Hazards, impacts and risk associated register?
Is all aspect, OHS Hazards and its Impacts and Risk associated are
7.
communicated to all your employees within the department?
Have you identified operational control points of your activities? Are you having
documented operational control plan related environment safety and health
8. issues? Are you maintaining records as per the requirements of operational
control plan? Does it covers drinking water verification as well as lux and noise
levels? Show me records.
Have you determine how these compliance obligations apply to your area? Is
there any system followed to include quality and environmental and occupational,
9.
health and safety compliance obligations for establishing, implementing,
maintaining and continually improving the EQHSMS?
How planning activities are done by you? Is there any plan in your department?
10. How the monitoring and measurement is being done? Are you maintaining
documented information of plan progress? Show me documented information.
11. How the significant aspects of your department are taken care?
Are you having documented information for all different activities carried out in
12.
your departments?
Are the documented information is made for all activities carried out by your
13.
department? Show me.
14. How did you communicate significant environmental aspects among the various
34. What is the rate of accident? Are you maintaining documented information of
accident, near miss etc.? Is there any mechanism for review and analysis of
6. Stores
Have you under gone training related to Material safety date sheet? Are your
1. employees trained for it? Are you having copy of all MSDS of
Row materials?
Have you defined stack height for raw materials stored by you? What is method of
2.
storage and handling through out the stores?
Do you know which two categories of chemicals cannot be stored together? What
3. is mechanism of storage of such raw materials? Are your all employees aware of
it?
Have you prepared Aspect / Impact register? What are the significant aspects of
4.
your department?
Where do you stare liquid materials? Do you have defined standard operating
5.
procedure for loading, unloading and storage for such liquid materials?
Where do you store solvents? Are they in open area? Whether “ No smoking “
6.
Board is displayed near solvent storage area?
Have you prepared Environmental aspects, OHS Hazards, impacts and risk
7. associated register? What are the significant aspect and OHS Hazards of your
department?
Where do you store waste oil / grease? Are such covered in Aspect register?
8.
What is the method of disposal of such waste oil / grease? To whom do you sold?
What is the care taken by you during receipt and issue of the materials from the
9.
stores?
Are your all raw materials stored on pallets? Is the method for Preserving material
10.
adequate? How do you take care for the preservation of materials?
What are the care taken by your during all your activities to prevent pollution?
How do you maintain account for job work materials send with gate pass? What
11.
types of controls are established to avoid deterioration of Quality of material
during storage? What controls are followed for self-life material used?
What are the objectives of your department? What is the plan to achieve it? Have
12.
your identified any EMP in your department?
Do you maintain proper inspection and test status for materials lying in store
area? Which methods are followed for receipt and issue of materials form store?
13.
Are you having persons list for the issue of materials for the same? How do you
maintain documented information for the issue and receipt of material?
How do you prevent, or reduce, undesired effects related to risk? Have you define
a quality risk assessment process? Show me. Have you update risks based on
14.
such investigation in documented information? Do you implement action from
risks and opportunities?
How do you identify uninspected, O.K. & not O.K. materials? How do you inform
15. concern department person for arrival of materials to carry out necessary
inspection? How do you control shelf life material?
Have you specified minimum inventory level at any place for critical items? Are
16. you involved in raising the indent for follow up of indent for the indent raised by
various departments? How do you keep tack for the pending indents?
What is the process approach in your department? What is the input in the
various activities done by you? Have you prepared Quantifiable criteria for your
17.
department to monitor the effectiveness? How do you monitor it? Have you
conveyed the same to the concerned staff members in your departments?
Are you having MSDS for all the chemicals stored in the raw materials stores?
How do you take care for the various symbols put on the packing of raw materials
18.
and what is the meaning of the same? Have you got any training for the safety
issues?
7. Engineering
Are you having preventive maintenance schedule? Are you having defined
preventive maintenance checking points for all equipments? Is it based on
manufacturer’s suggestions? Are you timely following it? Where is it documented?
1.
Are you having equipment history data? Are you maintaining breakdown
maintenance data? Are such checkpoints covers the quality and environmental
and occupational, health and safety issues considering operating condition?
Are you all moving parts covered by moving guard? Are you having any action
2. plan, where the guards are not there? Are you doing using personal protective
equipments? Is it verified?
What is the process approach in your maintenance activity? What is the input and
output in your various processes of your utilities as well as plants? Have you
prepared Quantifiable criteria for your department to monitor the effectiveness?
3.
How do you monitor it? Have you conveyed the same to the concerned person
like supervisors and workers? What is action plan for achievement of quantifiable
criteria? How do you achieve it?
Are you following methods for process control and process monitoring on utility
4.
equipment? What is the control parameter during the processes?
Have you prepared Aspect / Impact register as well as Hazard and risk records
5. considering your all activities? Are you having any significant aspects? Are you
having plans in your department? Do you monitor the progress on such plan?
3. Have you trained staff for follow up of operating procedures & work instruction of
Q.A., Laboratory & test methods for testing of various products? Have you
10. Marketing
How do you carryout marketing of your product? Are you having agents? How do
1. you select such channel of distribution? Who is authorised for selection of them?
Are you having list of approved Dealer / Agent list for the same?
Have you prepared your company brochure? Are you having price list? Who
2.
approve it? How do you finalize price for the new product?
How do you participate in defining requirements for new products? How do you
3. get information for new products? How do you provide information for your
product to you customer as well as plant people?
Have you define customer expectations & product requirements? How do you
4.
communicate it to Design, Manufacturing, Q.C., packing etc?
How do you sale your products? How do you understand requirements related to
the products as below:
1. Requirements specified by the customer.
2. Requirements not specified by the customer for intended use.
3. Statutory and regulatory requirements applicable to the product.
5.
4. Any additional requirements considered necessary by the organisation.
Can you show us evidence that above 4 types of requirements is determined,
understood before execution of order? How do you ensure your capability for the
above requirements? How do you maintain contract review report? How do you
keep tract for completion of order and compilation of all such orders?
What are the Quantifiable criteria for your department? How do you monitor it?
Have you given any further criteria for your other sales staff? What process
6. approach do you adopt? What is input and output of your department? Have you
done any analysis for timely completion of orders or delay is delivery? How do
you amend the order?
How do you monitor effectiveness of department? Can you show us your action
7. plan for achievement of your quantifiable criteria? How do you monitor your
results for achievement of Quantifiable criteria vs. planned action?
How do you know plant capability for manufacture of different types of product?
How do you given delivery schedule? Have you done internal contract review any
8. time? Where are contract review report? How do you convey the same to the
plant? How do you confirm capability for new product development with the
customer as well as convey the same to plant?
What are the things you consider in your department at the time of change in
9.
organization?
How do you handle customer complaints? Any documented information are
maintained? When do you close such complaints? How fast you close the
10. customer complaints? Have you done any analysis for customer complaints and
warranty claims attended by the company? What corrective actions are taken for
the same?
How do you convert customer inquiry in to contract? Does the total requirements
11.
laid down?
12. How do you prevent, or reduce, undesired effects related to risk?
How do you identify country specific legal requirements at inquiry or order
13.
finalization stages?
14. Have you define a quality risk assessment process? Show me.
Is there necessary infrastructure and environment in your department for the
15.
operation of process?
16. Do you implement action from risks and opportunities?
Who has attended management review meeting? Have you decided any action
17. for your department? How? Does marketing monitor & report customer feedback
in management review meeting?
18. How do you maintain documented information in your area ?
Have you been audited? How many NCRs are given to you? Have you taken
19.
actions to close the same?
Have you update risks register based on such investigation in documented
20.
information?
How do you determine and implement effective arrangements for communicating
customers for product information (List of your brand products), order handling,
21.
complaints etc. Have you fixed any timeframe for the effective communication
with customer?
How do you measure customer satisfaction? Have you defined methods for the
same? Have you analysed such data? Have you taken any corrective action for
22.
the same? What is input for customer satisfaction survey? Have you fixed any
criteria for customer satisfaction?]
11. Purchase
Have you selected vendor and suppliers? Have you prepared Approved Vendor
1. List? What is a selection criterion? Do you maintain documented information for
AVL & Vendor selection/ evaluation?
How do you prevent, or reduce, undesired effects related to risk for your
2.
vendors/subcontractors?
What are the things you consider in your department at the time of change in
3.
organization?
4. Have you update risks based on such investigation in documented information?
Have you prepared any questionnaire for selection of vendor? Can you show the
5.
same?
Have you prepared clear specification for all the purchase items? How do you get
information on purchasing data form user department? Have you prepared
purchase specification for raw materials and are you referring the same document
6.
in the purchase order? How are you getting details for the spares and hardware
and job work items? How are you getting specification for the same? How do you
give codification for part number?
Have you made agreement for quality assurance with your subcontractor? Have
7. you established any control on them? How do you select subcontractor for job
contract? How do you establish control on them?
Can you show me documented information for the trial run or sample approval for
8.
the vendor selection/evaluation?
How do you ensure that outsourced process is controller or influenced. What type
and extent of control or influence is applied to the Process is defined within the
9. EQHSMS for such outsourced process? Have you established system for
selection of vendors and outsourced activities and how do you communicate such
controls to them?
Have you done periodic evaluation and vendor rating of your supplier? Which
10.
items are included for the same?
How do you carry out cash purchase? Who is authorised to purchase against
11.
letter of indent?
Is there necessary infrastructure and environment in your department for the
12.
operation of process?
Who is reviewing and approving purchase order for adequacy of the specified
13. requirements prior to release? Where is the list of authorised person for the
same?
How do you carry out purchase of service like labour contract, calibration of
14. instrument, transport etc.? Do you prepare P.O.? Contract / work order for the
same?
Are you going to vendor’s place for inspection of the product and are you
15.
conveying vendors for test certificate requirement as required by you?
16. How do you keep track for requirement vs. purchase order release vs. materials
receipt and monitor your purchase activity? How do you keep track for pending
What is the different document generated from your departments? How do you
17.
establish control for design and development changes?
What is the process approach made by you? What is input to your department?
What is output from your department? How do you monitor your quantifiable
18.
criteria? How do you analyse results? What is action plant for achieving the
same?
When do you take corrective actions for the effect of the potential problems? How
19. do you determine potential nonconformities and their causes? How do you
document information results of action taken?
20. Do you implement action from risks and opportunities?