IMS Internal Audit Checklist

Internal Audit Checklist
Integrated Management System (ISO 9001, ISO14001, OHSAS18001)

No. STD Clause Title Question Compliance Comments
4.1,  Has organization established, documented, implemented and
ISO9k 5.5, maintained an Integrated Management System (IMS) that meets
5.5.1 ISO9001, ISO 14001 and ISO 18001 requirements?
 Has organisation defined scope for IMS?
 Has organisation addressed exclusions for IMS?
1. ISO14k 4.1 General  Are Process Interactions and Interrelations defined?
 Has organisation developed its organisation chart?
 Are roles and responsibilities defined?
OHSA18k 4.1  Does organisation define outsourced processes and further define
controls for these processes.
IMS Manual:
4.2,  the scope of the IMS including details of and justification for
any exclusions?
4.2.1,
ISO9k  Documented procedures established for the IMS, or reference to
4.2.2, them?
4.2.3  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
4.4.4, Documentation, documents are identified?
2. ISO14k 4.4.5, Documents and d. Ensure that relevant version of applicable documents are
4.5.3 Record Control 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
4.4.4, quality management system?
OHSA18k 4.4.5,  Has a documented procedure been established to define the
4.5.3 following controls needed?
Identification? Storage? Retrieval? Protection? Retention
Time? Disposition?
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Top management of organization has defined the IMS policy(s) which:
ISO9k 5.3  communicated within the organisation at all levels
 is appropriate to the nature, scale and environmental impacts,
H&S and Quality of it's activities
ISO14k 4.2  includes a commitment to continual improvement
3. Policy  includes a commitment to comply with applicable legal
requirements and with other requirements to which organization
subscribes which relate to its environmental aspects
OHSA18k 4.2  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
5.2,
requirements for delivery and post delivery activities?
ISO9k 7.2.1, b. Requirements not stated by the customer but necessary for
7.2.2 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?
Identification & b. Contract or order requirements differing from those previously
Evaluation of expressed or resolved?
Aspects, c. The organization has the ability to meet defined requirements?
ISO14k 4.3.1 Impacts &  Are the results of reviews and actions arising from these reviews
4. Risks recorded and maintained as records?
And  Where the customer has not provided a documented statement of
requirements, are customer requirements confirmed by the
Customer- organization before acceptance?
related  Where product requirements are changed, does the organization
processes ensure that relevant documentation is amended and relevant
personnel are made aware of the changed requirements?
 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
OHSA18k 4.3.1 environmental aspects and H&S Hazards?
 Does organization have any documented procedure to identify
environmental aspects and H&S Hazards and evaluate their
impacts?
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5.1,
5.5,  Does organization have sufficient resources to establish, maintain,
ISO9k implement and improve its IMS?
5.5.1,
5.5.2  Does organization have defined roles and responsibilities of
Roles & personnel in order to facilitate effective IMS?
5.  Has organization appointed a specific Management Representative
ISO14k 4.4.1 Responsibilities
(MR) for implementing IMS effectively?
 Has organization defined roles, responsibilities and authorities of
OHSA18k 4.4.1 MR?
5.2,  Does organization have documented procedure to identify and

ISO9k
7.2.1 have access to applicable legal requirements?
Identification of  Is it determined that how these requirements applied to its
6. Legal & other environmental aspects and H&S hazards?
ISO14k 4.3.2 Requirements  Has organization maintained a list of all applicable legal and other
requirements related to environmental aspects and H&S hazards of
its activities?
OHSA18k 4.3.2
5.4.1,  Is there any system in place to define IMS objectives and targets at
ISO9k relevant functions and levels within the organization?
8.5.1
 Does organization have any documented procedure for setting IMS
objectives and targets?
 "Is there any documented management program available for
ISO14k 4.3.3 achieving environmental & H&S objectives and targets, which
include;
- Roles and Responsibilities
- Target Dates for achieving objectives
Objectives & - Resources Required
Targets and - Means / Activities for achieving objectives"
7.  Does this include the objectives needed to meet requirements for
Continual
Improvement product?
 Are the IMS objectives measurable and consistent with the IMS
policy?
OHSA18k 4.3.3 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?
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ISO9k 5.5.3
 Does organization have a documented procedure for internal and
Internal and
ISO14k 4.4.3 external communication with regard to its EMS?
8. External  Does organization have any defined mechanism for external
Communication communication?
OHSA18k 4.4.3
ISO9k ---
 Has organization identified potential emergency situations and
potential accidents that can have impact on environment?
Emergency  Does organization have any documented procedure for Emergency
ISO14k 4.4.7 Preparedness and Response?
9. Preparedness  Does organization have any mechanism to review and revise its
and Response emergency preparedness and response procedures?
 Does organization conduct emergency drills on regular basis?
OHSA18k 4.4.3  Does organization maintain record of these drills?
 Does organization have a documented procedure for dealing with

8.3, actual and potential nonconformities?
ISO9k 8.5.2,  "Does organization have a documented procedure which includes
8.5.3 requirements for;
Accidents, o identifying and correcting NCs and taking actions to mitigate
Incidents, Non- their environmental impacts
conformance o Investigating NCs, determining their causes and taking actions
10.
and Corrective to avoid their recurrence
ISO14k 4.5.2 & Preventive o evaluating need for actions to prevent NC(s) and implementing
Action appropriate actions to avoid their occurrence
o recording results of corrective and preventive actions
o reviewing effectiveness of Corrective and Preventive Actions"
OHSA18k 4.5.2 o Does organization have Corrective and Preventive action form?
o Does organization maintain CPA log of all actions taken?
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 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
7.1,  Requirements specified by the customer, including the requirements for
ISO9k 7.2.1, delivery and post delivery activities?
7.2.1  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
Product e. Changes/ amendments
Realisation and f. The organization has the ability to meet defined requirements
11. g. Review records and records of changes in the order/contract
Operational
h. Acceptance of order/ contract
Control
HSE
 Does organization have any documented procedure to control
situations where their absence could lead to deviation from the
ISO14k 4.4.6 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
OHSA18k 4.4.6 human capabilities, in order to eliminate or reduce HSE risks at
their source.
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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?
ISO9k 7.3 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?
ISO14k --- b. Provide appropriate information for purchasing, production and for service
provision?
n/a
Design & c. Contain or reference product acceptance criteria?
12. Specify the product characteristics that are essential to its safe and proper use?
Development 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?
OHSA18k ---- 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
Purchasing control
 Are the purchasing processes controlled to ensure purchased
product (or service) conforms to requirements?
ISO9k 7.4  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?
ISO14k 4.4.6  Are results of the evaluations and any necessary actions
maintained as records?
Purchasing Information
 Does purchasing information describe the product to be
13. Purchase 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?
OHSA18k 4.4.6
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?
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Control of Production and Service Provision
7.5, Are the production and service provision planned and carried out under
7.5.1, controlled conditions including :
7.5.2, a. Availability of information that describes the product
ISO9k characteristics?
7.5.3, b. Availability of work instructions, as necessary?
7.5.4, c. Use of suitable equipment?
7.5.5 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?
ISO14k 4.4.6 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?
Control of Re- validation?
Production & Identification and Traceability
14. Is the product identified by suitable means throughout product
Service
Provision 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?
OHSA18k 4.4.6 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?
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 Does organisation maintain personal records of its personnel?
 Does organisation has minimum selection criteria?
Training & Competence
6.1,  "Has organization identified competence level of different personnel
6.2.1, deployed within organization and to maintain its IMS based on;
ISO9k 6.2.2,  a) Education; b) Training ; c) Experience"
6.3,  Has organization maintained record of education, training and
6.4 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?
Resource
15.  Does organization maintain records of evaluation of trainings?
Management  Does organization have any documented procedure for Training
ISO14k 4.4.2 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?
OHSA18k 4.4.2 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?
ISO9k 8.2.2  "Does organization discuss following agenda in review meetings;
a. results of internal audits and evaluations of compliance with legal
requirements and with other requirements to which the organization
subscribes
Management b. communication(s) from external interested parties, including complaints
16. ISO14k 4.6 c. the environmental performance of the organization
Review d. the extent to which objectives and targets have been met
e. status of corrective and preventive actions
f. follow-up actions from previous management reviews
g. changing circumstances, including developments in legal and other
OHSA18k 4.6 requirements related to its environmental aspects
h. recommendations for improvement"
i. Has organization defined frequency of Management Review Meetings?
 Does organization conduct internal audits of IMS at planned
ISO9k 5.6 intervals?
 Does organization have a documented procedure for internal
ISO14k 4.5.5
17. Internal Audit auditing?
 Does organization ensure impartiality of audit process while
OHSA18k 4.5.5 selecting internal auditors?
 Has organization defined frequency of internal audits?
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Does organisation:
a. Demonstrate conformity of the product?
b. Ensure conformity of the integrated management system?
c. Continually improve the effectiveness of the integrated
7.6, management system?
 Is information relating to customer perception monitored by the
8.1, organization as to whether customer requirements have been met?
8.2.1,  Have the methodologies for obtaining and using information related to
ISO9k
8.2.3, customer perception been determined?
8.2.4 HSE
8.4  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
ISO14k 4.5.1 monitor accidents, ill health, incidents (including near-misses) and
other historical evidence of deficient HSE performance?
Analysis of Data
Monitoring &
18.  Does organisation record data and results of monitoring and
measurement 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?
OHSA18k 4.5.1  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
ISO9k
 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
ISO14k  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
19. Additional
 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
OHSA18k  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
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Internal Audit Checklist

Integrated Management System (ISO 9001, ISO14001, OHSAS18001)

5.2,  Does organization have documented procedure to identify and

• Are results of audits, analysis of data, corrective and preventive

 Does organization have a documented procedure for dealing with

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