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IMS ISO Auditing Tool

The ISO Integrated Management System Auditing Tool is a comprehensive template designed for auditing Integrated Management Systems according to ISO 45001:2018, 14001:2015, and 9001:2015 standards. It includes features such as an audit checklist, summary, action plans, and compliance tracking. The tool simplifies the auditing and reporting process, ensuring adherence to ISO standards.

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Abdallah Ramadan

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0% found this document useful (0 votes)

70 views274 pages

IMS ISO Auditing Tool

Uploaded by

Abdallah Ramadan

We take content rights seriously. If you suspect this is your content, claim it here.

Available Formats

Download as XLSX, PDF, TXT or read online on Scribd

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ISO INTEGRATED MANAGEMENT SYSTEM AUDITING TOOL

ISO Integrated Management System Auditing Tool is a turnkey template

for conducting audit on Integrated Management System in accordance
with ISO 45001:2018, 14001:2015 and 9001:2015 standards.

⚙️Features include;

ISO Integrated Audit Checklist;

Audit Summary;
NC, CAPA & Action Plan;
Dashboard;
ISO IMS Compliance;
Compliance, NCs & OFIs;
Audit Findings;
Sub-Clauses Compliance

The integrated management system auditing and reporting in

accordance with ISO standards just got easier.

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TEM AUDITING TOOL

a turnkey template
tem in accordance CLICK HERE TO BEGIN
tandards.

eporting in

Password to relevant sheets and workbook:

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O BEGIN

sheqxelisoims

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# Table of Content
1 Approved List Click Here

2 Audit Scoring Criteria Click Here

3 ISO Integrated Audit Checklist Click Here

4 Audit Summary Click Here

5 NC, CAPA & Action Plan Click Here

6 Dashboard Click Here

7 ISO IMS Compliance Status Click Here

8 Compliance, NCs & OFIs Click Here

9 Audit Findings Click Here

10 Sub-Clauses Compliance Status Click Here

11 Action Open vs Closed Click Here

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APPROVED LIST
# Root Cause
Lack of Scope for QEHS Management System
Lack of Organizational Knowledge
Lack of Organizational Knowledge
Lack of Leadership and Commitment
Lack of Identification and Traceability
Lack of Documented Information
Lack of Customer Focus
Lack of Control of External Properties
Lack of Control of Design and Development Changes
Lack of Continual Improvement of QEHS System
Inadequately Determined Product and Services Requirements
Inadequate Support
Inadequate Review of Product and Services Requirements
Inadequate Quality Planning and Control
Inadequate Planning
Inadequate Organizational Context
Inadequate Operational Planning and Control
Inadequate Operational Planning and Control
Inadequate Monitoring and Measurement Resources
Inadequate Monitoring and Measurement
Inadequate Information with Service Providers
Inadequate External Control
Inadequate Evaluation
Inadequate Environmental Planning and Control
Inadequate Emergency Preparedness and Response
Inadequate Documented Information
Inadequate Design and Development Review
Inadequate Design and Development Planning
Inadequate Design and Development Output
Inadequate Design and Development Input
Inadequate Design and Development Control
Inadequate Control of Production and Service Provision
Inadequate Control of Nonconforming Products and Services
Inadequate Control of External Providers
Inadequate Consultation and Particpation
Inadequate Communication with External Providers

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Action Priority Action Status
High Open
Medium Closed
Low

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Finding
Compliant

OFI

Minor NC

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
4.1 4. Context Understanding the organization and its context 0 2 0 0
Defining internal and external issues relevant to
organization's purpose and the strategic direction
Has your organization determined external and internal issues relevant to its purpose and its
4.1q1 4. Context Q E HS and clarification of the strategic aims of the x There is no evidence on SWOT and PESTEL Analysis
strategic direction that affect its ability to achieve the intended result(s) of its IMS?
organization and determin any issues couls affect
these aims being acgieved
Monitoring and reviewing information about these There is no evidence on SWOT and PESTEL Analysis
4.1q2 4. Context Q E HS Does your organization monitor and review information about these external and internal issues? x
external and internal issues Registers
4.2 4. Context Understanding the needs and expectation of workers and other interested parties 0 4 0 0
Completeing and documenting stakeholder
Has your organization determined the interested parties and workers that are relevant to the
4.2q3a 4. Context Q E HS analysis to determine key stakeholders whom x There is no evidence on Stakeholder Analysis
IMS?
have an impact on therequirements of the IMS

Has your organization determined the needs and expectations of these interested parties and Considering stakeholders’ expectations for
4.2q3b 4. Context Q E HS x There is no evidence on Stakeholder Analysis
workers that are relevant to the IMS? incorporation into the IMS

Determining which of these needs and

Has your organization determined which of these needs and expectations could become legal
4.2q3c 4. Context Q E HS expectations could become legal requirement and x There is no evidence on Stakeholder Analysis
requirement and other requirement?
other requirement
Monitor and reviewing information about these
How do you monitor and review information about these interested parties and their relevant
4.2q4 4. Context Q E HS interested parties and their relevant needs and x There is no evidence on stakeholder registery
needs and expectations?
expectations
4.3 4. Context Determining the scope of the management system 0 10 0 0
Has the organization determined the boundaries and applicability of the IMS to establish its Determining the boundaries and applicability of
4.3q5 4. Context Q E HS x
scope? the IMS to establish its scope
When determining this scope, has your organization considered the external and internal issues Considering the external and internal issues in the
4.3q6a 4. Context Q E HS x
referred to in 4.1? scope statement
When determining this scope, has your organization considered the requirements of relevant Considering the requirements of relevant
4.3q6b 4. Context Q E HS x
interested parties referred to in 4.2? interested parties in the scope statement
Takening into account all relevant products,
When determining this scope, has the organization taken into account all relevant products,
4.3q6c 4. Context Q E HS services and work-related activities, functions and x
services and work-related activities, functions and physical boundaries to the IMS?
physical boundaries to the IMS
When determining this scope, has your organization considered its activities, products, services
and work-related activities and related product lifecycles, such as:

1. Raw material acquisition;

considering activities, services and work-related
4.3q7 4. Context Q E HS 2. Manufacture; x
activities and related product lifecycles
3. Packaging/Transport/Delivery;
4. Use; IMS Scope Statement is idntfied in IMS Manua, but not
5. End of life treatment; approved
6. Final disposal.
considering activities, and services over which it
has your organization considered its activities, products and services over which it has the
4.3q8 4. Context Q has the authority and to exercise control and x
authority and to exercise control and influence?
influence
Stating all the requirements of ISO 9001:2015, ISO
Has your organization applied all the requirements of ISO 9001:2015, ISO 14001:2015 and ISO
4.3q9 4. Context Q E HS 14001:2015 and ISO 45001:2018 if they are x
45001:2018 if they are applicable within the determined scope of the IMS?
applicable within the determined scope of the IMS
stating the types of products and services
Does the scope state the types of products and services covered, and provide justification for covered, and provide justification for any
4.3q10 4. Context Q any requirement of ISO 9001:2015 that your organization determines is not applicable to the requirement of ISO 9001:2015 that your x
scope of its IMS? organization determines is not applicable to the
scope of its IMS
considering and documenting ability and authority
When determining scope, has your organization considered and documented its ability and
4.3q11 4. Context E HS to control and influence factors relating to external x
authority to control and influence factors relating to external and internal issues?
and internal issues
Is the scope of your organization’s IMS available and maintained as documented information and
4.3q12 4. Context Q E HS Scope Statement x
available to interested parties and workers? (See 7.5.1a)
4.4 4. Context Integrated Management System 2 4 7 0
establishing, implementing, maintaining and
Has your organization established, implemented, maintained and continually improved its IMS, continually improving the processes needed and
4.4q13 4. Context Q E HS including the processes needed and their interactions, in accordance with the requirements of their interactions, in accordance with the x Process Maps and interactions are not approved
ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018? requirements of ISO 9001:2015, ISO 14001:2015
and ISO 45001:2018

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
Has your organization considered the knowledge and information obtained by 4.1 and 4.2 when Obtaining information by 4.1 and 4.2 when
4.4q14 4. Context Q E HS x Process Maps and interactions are not approved
implementing and operating it IMS? implementing and operating it IMS
Determining the process required for the IMS,
Has your organization determined the process required for the IMS, including their interactions, including their interactions, in accordance with
4.4q15 4. Context Q E HS x Process Maps & Intercations are not approved
in accordance with requirements and their application throughout the organization? requirements and their application throughout the
organization
Has your organization determined the inputs required and the outputs expected from these Determining the inputs required and the outputs
4.4q16 4. Context Q x Process Approach (ex. SIPOC Model) is not existing
processes? expected from these processes
Determining the sequence and interaction of these
4.4q17 4. Context Q Has your organization determined the sequence and interaction of these processes? x Process Maps & Intercations are not approved
processes
Determining and appling the criteria and methods
Has your organization determined and applied the criteria and methods (including monitoring, Processes are not approved, there are no criteria for
(including monitoring, measurements and related
4.4q18 4. Context Q measurements and related performance indicators) needed to ensure the effective operation and x the processes
performance indicators) needed to ensure the
control of these processes? Objectives of Each Process are not determined
effective operation and control of these processes
Resources Allocation:-
*Human Resources are defined in staff management
Has your organization determined the resources needed for these processes and ensure their Determining the resources needed for these
4.4q19 4. Context Q x plan
availability? processes and ensure their availability
*Physical Resources are determined in the asset
management plan
There is no evidence on assining responsibilities and
Assigning responsibilities and authorities for these
4.4q20 4. Context Q Has your organization assigned responsibilities and authorities for these processes? x authorities for these processes. RACI Matrix would be
processes
a best practice for this requirement
Has your organization addressed the risks and opportunities as determined in accordance with
Addressing the risks and opportunities as
4.4q21 4. Context Q x Processes Risks and Opportunities Analysis
the requirements of 6.1? determined in accordance with the requirements
Evaluating these processes and implementing any *There is no evidence on evaluting processes
Has your organization evaluated these processes and implement any changes needed to ensure
4.4q22 4. Context Q changes needed to ensure that these processes x *Internal Audit is on going
that these processes achieve their intended results?
achieve their intended results *There is no set objectives and targets for processes

4.4q23 4. Context Q Does your organization improve the processes and the IMS? Improving the processes and the IMS x There is no evidence on processes improvement pan
To the extent necessary, does your organization maintain documented information to support
4.4q24 4. Context Q Procedures for Mapped Processes x
the operation of its processes?
IMS Documents (Ongoing Process)
To the extent necessary, does your organization retain documented information to have
4.4q25 4. Context Q Records on Mapped Processes x
confidence that the processes are being carried out as planned?
5 5. Leadership Leadership, Commitment and Worker Participation
5.1 5. Leadership Leadership and Commitment
5.1.1 5. Leadership General 3 7 4 0
Strategic action plan is ongoing
Does Top Management demonstrated leadership and commitment to the IMS by taking Taking accountability for the effectiveness of your There is no evidence on Management Review
5.1.1q1a 5. Leadership Q E HS x
accountability for the effectiveness of your organization’s IMS? organization’s IMS No Dashborads available
No MoM for the required meetings
Ensuring that QHSE policies and objectives are
Does Top Management demonstrated leadership and commitment to the IMS by ensuring that *Quality policy is unapproved
established and documented, and are compatible
5.1.1q1b 5. Leadership Q E HS QHSE policies and objectives are established and documented, and are compatible your x *HSE plocy is approved
your organization’s goals (See 6.2) and its context
organization’s goals (See 6.2) and its context (See 4.0)? *QHSE Objectives are not defined
(See 4.0
Does Top Management demonstrated leadership and commitment to the IMS by ensuring that ensuring that QEHS requirements are integrated
5.1.1q1c 5. Leadership Q E HS x Processes Mapping and Interactions are not approved
QEHS requirements are integrated into your organization’s processes? into your organization’s processes
Processes Mapping (SIPOC) and SWOT Analysis for
Does Top management demonstrate leadership and commitment with respect to the IMS by Promoting the use of the process approach and each Key Function (Department) are not approved
5.1.1q1d 5. Leadership Q x
promoting the use of the process approach and risk-based thinking? risk-based thinking Departmental risk,Corporate risk,hazard log,risk
register

Resources Allocation:-
*Human Resources are defined in staff management
Has Top Management demonstrated leadership and commitment to the IMS by ensuring that ensuring that your organization has the required
5.1.1q1e 5. Leadership Q E HS x plan and Safety critical staff
your organization has the required resources to implement it? resources to implement it
*Physical Resources are determined in the asset
management plan

1-Training and awarness sessions are being

communicating the importance of effective
conducting but there is no plan or schadule as an
Does top management communicate the importance of effective quality, environmental and quality, environmental and health and safety
5.1.1q1f 5. Leadership Q E HS x evidence
health and safety management and of conforming to the QEHS management requirements? management and of conforming to the QEHS
2-Safety bulletins
management requirements
3-Safety meeting (monthly)

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
Management Reviews are not implemented
5.1.1q1g 5. Leadership Q E HS Does Top management ensure that the IMS achieves its intended results? ensuring that the IMS achieves its intended results x
Monthly Data reviews are recorded in monthly reports
1-Training and awarness sessions are being
Does Top management demonstrate leadership and commitment with respect to the IMS by engaging, directing and supporting persons to conducting but there is no plan or schadule as an
5.1.1q1h 5. Leadership Q E HS x
engaging, directing and supporting persons to contribute to the effectiveness of the IMS? contribute to the effectiveness of the IMS evidence

Improvement Plan and Programs (eg. Lean Six Sigma,

Does Top management demonstrate leadership and commitment with respect to the IMS by Kizen, 5S,….)
5.1.1q1i 5. Leadership Q E HS promoting improvement x
promoting improvement? 5S project is being implemented but other
improvement rrequirements are not fulfilled
*Monthly meetings of progress review are being
Does Top management demonstrate leadership and commitment with respect to the IMS by supporting other relevant management roles to
conducting
5.1.1q1j 5. Leadership Q E HS supporting other relevant management roles to demonstrate their leadership as it applies to demonstrate their leadership as it applies to their x
*HSE Committee Meetinds are not conducted
their areas of responsibility? areas of responsibility
*Management Review Meetings are not being run

Does top management develop, lead, and promote a culture in the organization that supports promoting a culture in the organization that There is no evidence on Communication Participation
5.1.1q1k 5. Leadership HS x
the intended outcomes of the IMS? supports the intended outcomes of the IMS and Consultation Process

* Incident Investigation and Reporting Procedure is

Does top management protect workers from reprisals when reporting incidents, hazards, risks protecting workers from reprisals when reporting unapproved
5.1.1q1l 5. Leadership HS x
and opportunities? incidents, hazards, risks and opportunities - Hazard Log Review is approved
- Risk Register is unapproved

ensuring that the organization establishes and * There is no evidence on Communication

Does top management ensure that the organization establishes and implements a process(es)
5.1.1q1m 5. Leadership HS implements a process(es) for consultation and x Participation and Consultation Process
for consultation and participation of workers (see 5.4)?
participation of workers * Safety Committee is not implemented
* RQHSE Organization Chart is complete
Does top management support the establishment and functioning of health and safety establishment and functioning of health and safety there is no evidence on HSE Committee meetings and
5.1.1q1nn 5. Leadership HS x
committees, [see 5.4 e) 1]? committees actions as HSE Committee is the best practice to fulfill
this requirement
5.1.2 5. Leadership Customer Focus 2 1 0 0

Does Top management demonstrate leadership and commitment with respect to customer focus ensuring that customer and applicable statutory There is no evidence on listing customer, statutory
5.1.2q2 5. Leadership Q by ensuring that customer and applicable statutory and regulatory requirements are determined, and regulatory requirements are determined, x and regulatory requirements to be reviewed eg. Legal
understood and consistently met? understood and consistently met and other requirements register- customer feedback)

ensuring that the risks and opportunities that can

Does Top management demonstrate leadership and commitment with respect to customer focus
affect conformity of products and services and the there is no evidence on this requirement as SWOT
5.1.2q3 5. Leadership Q by ensuring that the risks and opportunities that can affect conformity of products and services x
ability to enhance customer satisfaction are Analysis Register
and the ability to enhance customer satisfaction are determined and addressed?
determined and addressed
* Customer Satisfaction and feedback surveys are
Procedure for Measuring Customer Satisfaction,
Does Top management demonstrate leadership and commitment with respect to customer focus being conducted.
5.1.2q4 5. Leadership Q Customer Satisfaction Index and Customer x
by ensuring that the focus on enhancing customer satisfaction is maintained? * Dashboards are not completed
Satisfaction Questionnaires
* Strategic action plan is implemeted
5.2 5. Leadership Management System Policy
5.2.1 5. Leadership Developing the Policy 0 6 0 0
Policy Statement including the nature, scale, and
Has top management established, implemented and maintained QEHS policy that is appropriate
environmental impacts of its activitities, products
to the purpose and organizational context and support its strategic direction; including the
or services, including a commitment to provide HSE Policy is approved and fulfills the requirement but
nature, scale, and environmental impacts of its activitities, products or services, including a
5.2q1a 5. Leadership Q E HS safe and healthy working conditions to prevent x Quality Policy is unapproved
commitment to provide safe and healthy working conditions to prevent work-related injury and ill
work-related injury and ill health and is IMS Policy has been drafted
health and is appropriate to the purpose and specific to the nature of our OH&S risks and OH&S
appropriate to the purpose and specific to the
opportunities
nature of our OH&S risks and OH&S opportunities
Policy Statement providing a framework for setting
Has top management established, implemented and maintained quality, environmental and HSE Policy is approved and fulfills the requirement but
5.2q1b 5. Leadership Q E HS the QEHS objectives x
health and safety policy that provides a framework for setting the QEHS objectives? Quality Policy is unapproved
Objectives on the IMS/PLan
Has top management established, implemented and maintained a QEHS policy that includes a Policy Statement includes a commitment to fulfil HSE Policy is approved and fulfills the requirement but
5.2q1c 5. Leadership Q E HS x
commitment to fulfil legal requirements and other requirements? legal requirements and other requirements Quality Policy is unapproved
Has top management established, implemented and maintained a QEHS policy that includes a Policy Statement includes a commitment to
HSE Policy is approved and fulfills the requirement but
5.2q1d/e 5. Leadership Q E HS commitment to protect the environment, prevent pollution, eliminate hazards and reduce OH&S protect the environment, prevent pollution, x
Quality Policy is unapproved
risks (see 8.1.2)? eliminate hazards and reduce OH&S risks

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
Has top management established, implemented and maintained an QEHS policy that includes a Policy Statement includes a commitment to HSE Policy is approved and fulfills the requirement but
5.2q1f 5. Leadership Q E HS x
commitment to continual improvement of the IMS? continual improvement of the IMS Quality Policy is unapproved
Has top management established, implemented and maintained an OH&S policy that includes a Policy Statement includes a commitment to
HSE Policy is approved and fulfills the requirement but
5.2q1g 5. Leadership Q E HS commitment to consultation and participation of workers, and , where they exist workers consultation and participation of workers, and , x
Quality Policy is unapproved
representative? where they exist workers representative
5.2.2 5. Leadership Communicating the Policy 0 4 0 0
HSE Policy is approved and fulfills the requirement but
5.2.2q1a 5. Leadership Q E HS Is the QEHS policy available as documented information? Availability of QEHS policy x
Quality Policy is unapproved
Communicating QEHS policy within the HSE Policy is approved and fulfills the requirement as
5.2.2q1b 5. Leadership Q E HS Is the QEHS policy communicated within the organization? organization x it is Hanged on Walls, Published on Website but
orientation form for new comers Quality Policy is unapproved
HSE Policy is approved and fulfills the requirement as
5.2.2q1c 5. Leadership Q E HS Is the QEHS policy available to interested parties, as appropriate? Availability of QEHS policy to interested parties x it is Hanged on Walls, Published on Website but
Quality Policy is unapproved
*HSE Policy satatement is signed
5.2.2q1d 5. Leadership Q E HS Is the QEHS policy relevant and appropriate? Relevancy and appropriatness of QHSE Policy x
*Quality Policy is unapproved
5.3 5. Leadership Organizational Roles, Responsibilities and Authorities 0 7 0 0
Does top management ensure that the responsibilities and authorities for relevant roles within
Organization Chart, Job Description Organization Chart is unapproved and job descriptions
5.3q1 5. Leadership Q E HS the IMS are assigned and communicated at all levels within the organization and maintained as x
Acknowledgement and acknowledgement forms are not activated
documented information?
workers at each level of the organization aware of
Do workers at each level of the organization assume responsibility for those aspects of the IMS Organization Chart is unapproved and job descriptions
5.3q2 5. Leadership Q E HS responsibility for those aspects of the IMS over x
over which they have control? acknowledgement forms are not activated
which they have control
assigning the responsibility and authority for
Does top management assign the responsibility and authority for ensuring that the IMS conforms ensuring that the IMS conforms to the Organization Chart is unapproved and job descriptions
5.3q3 5. Leadership Q E HS x
to the requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018? requirements of ISO 9001:2015, ISO 14001:2015 acknowledgement forms are not activated
and ISO 45001:2018
ssigning the responsibility and authority for
Does Top management assigned the responsibility and authority for ensuring that the processes Organization Chart is unapproved and job descriptions
5.3q4 5. Leadership Q ensuring that the processes are delivering their x
are delivering their intended outputs? acknowledgement forms are not activated
intended
assigningoutputs
the responsibility and authority for
Does top management assign the responsibility and authority for reporting on the performance Organization Chart is unapproved and job descriptions
5.3q5 5. Leadership Q E HS reporting on the performance of the IMS to top x
of the IMS to top management? acknowledgement forms are not activated
management
assigning the responsibility and authority for
Does Top management assign the responsibility and authority for ensuring the promotion of Organization Chart is unapproved and job descriptions
5.3q6 5. Leadership Q ensuring the promotion of customer focus x
customer focus throughout your organization? acknowledgement forms are not activated
throughout your organization
Does Top management assign the responsibility and authority for ensuring that the integrity of Organization Chart Job Description Organization Chart is unapproved and job descriptions
5.3q7 5. Leadership Q E HS x
the IMS is maintained when changes to it planned and implemented? Acknowledgement acknowledgement forms are not activated
5.4 5. Leadership Consultation and Participation of Workers and Contractors 0 20 0 0
Has your organization established, implemented and maintained a process(es) for consultation
Communication, Participation and Consultation
and participation of workers at all applicable levels and functions, and, where they exist, workers’ There is no Communication, Participation and
5.4q8 5. Leadership HS Procedure x
representatives, in the development, planning, implementation, performance evaluation and Consultation Procedure
Safety Committee
actions for improvement of the IMS? providing mechanisms, time, training and Consultation and participation process, and Awarness
Has your organization provided mechanisms, time, training and resources necessary for
5.4q9a 5. Leadership HS resources necessary for consultation and x Sessions are not existing eg. Participating in safety
consultation and participation?
participation committee meetings
Consultation and participation process, and Awarness
Has your organization provided timely access to clear, understandable and relevant information Provided timely access to clear, understandable
5.4q9b 5. Leadership HS x Sessions are not existing eg. Participating in safety
about the IMS? and relevant information about the IMS
determining and removing obstacles or barriers to committee meetings
Consultation and participation process, and Awarness
Has your organization determined and removed obstacles or barriers to participation and
5.4q10c 5. Leadership HS participation and minimize those that cannot be x Sessions are not existing eg. Participating in safety
minimize those that cannot be removed?
removed committee meetings
emphasizing the consultation of non-managerial
Has your organization emphasized the consultation of non-managerial workers on determining There is no evidence on Workers Participation in
5.4q11d1 5. Leadership HS workers on determining the needs and x
the needs and expectations of interested parties? (see 4.2) Stakeholder Analysis (Surveys)
expectations of interested parties
Has your organization emphasized the consultation of non-managerial workers on establishing emphasizing the consultation of non-managerial There is no evidence on Workers Participation in policy
5.4q11d2 5. Leadership HS x
the QEHS policy? (see 5.2) workers on establishing the QEHS policy reviews (Surveys)
emphasizing the consultation of non-managerial Consultation and participation process, and Awarness
Has your organization emphasized the consultation of non-managerial workers on assigning
5.4q11d3 5. Leadership HS workers on assigning organizational roles, x Sessions are not existing eg. Participating in safety
organizational roles, responsibilities and authorities, as applicable? (see 5.3)
responsibilities and authorities, as applicable committee meetings
emphasizing the consultation of non-managerial Consultation and participation process, and Awarness
Has your organization emphasized the consultation of non-managerial workers on determining
5.4q11d4 5. Leadership HS workers on determining how to fulfil legal x Sessions are not existing eg. Participating in safety
how to fulfil legal requirements and other requirements? (see 6.1.3)
requirements and other requirements committee meetings
emphasizing the consultation of non-managerial Consultation and participation process, and Awarness
Has your organization emphasized the consultation of non-managerial workers on establishing
5.4q11d5 5. Leadership HS workers on establishing QEHS objectives and x Sessions are not existing eg. Participating in safety
QEHS objectives and planning to achieve them? (see 6.2)
planning to achieve them committee meetings
emphasizing the consultation of non-managerial Consultation and participation process, and Awarness
Has your organization emphasized the consultation of non-managerial workers on determining
5.4q11d6 5. Leadership HS workers on determining applicable controls for x Sessions are not existing eg. Participating in safety
applicable controls for outsourcing, procurement and contractors? (see 8.1.4)
outsourcing, procurement and contractors committee meetings

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Audit Findings

ISO

ISO
14001:2015

#
Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
Is documented information (required by the QEHS and ISO 9001:2015, ISO 14001:2015 and ISO
ensuring it is adequately protected from loss of
7.5.3q15b 7. Support Q E HS 45001:2018) controlled to ensure it is adequately protected from loss of confidentiality, improper x Document control Process fulfill this requirement
confidentiality, improper use, or loss of integrity
use, or loss of integrity?
For the control of documented information, does your organization address the distribution, addressing the distribution, access, retrieval and
7.5.3.2q16 7. Support Q E HS x Document control Process fulfill this requirement
access, retrieval and use? use
For the control of documented information, does your organization address storage and addressing storage and preservation, including
7.5.3.2q17 7. Support Q E HS x Document control Process fulfill this requirement
preservation, including preservation of legibility? preservation of legibility
For the control of documented information, does your organization address control of changes addressing control of changes (e.g. version
7.5.3.2q18 7. Support Q E HS x Document control Process fulfill this requirement
([Link]
For version control)?
control of documented information, does your organization address retention and control)
7.5.3.2q19 7. Support Q E HS addressing retention and disposition x Document control Process fulfill this requirement
disposition?
How does your organization ensure documented information of external origin is identified and ensuring documented information of external
7.5.3.2q20 7. Support Q E HS x Document control Process fulfill this requirement
controlled? origin is identified and controlled

Is documented information retained as evidence of conformity protected from unintended Archiving Hard Copies Sharepoint has access authority
7.5.3.2q21 7. Support Q E HS x
alterations? Sharepoint access permissions and authorities There is no hard copies archiving system

8 8. Operation Operation
8.1a 8. Operation Quality Planning & Control 3 7 0 0

Does your organization plan, implement and control the processes (see 4.4) needed to meet the
8.1aq1 8. Operation Q requirements for the provision of products and services, and to implement the actions Determining Service Requirements x Rulebook – Cairo Metro Line 3 fullfill the requirement
determined in Clause 6 by determining the requirements for the products and services? (Chapter one 'Compliance with regulations and
customer requirements' )
(Chapter two 'Duties and competence of operation
Does your organization plan, implement and control the processes (see 4.4) needed to meet the and maintenance workers')
8.1aq2 8. Operation Q requirements for the provision of products and services, and to implement the actions Establishing Criteria for Processes x Contracutal KPI's are not implemented
determined in Clause 6 by establishing criteria for the processes? Internal Company KPI's are ongoing
Does your organization plan, implement and control the processes (see 4.4) needed to meet the
8.1aq3 8. Operation Q requirements for the provision of products and services, and to implement the actions Establishing criteria for the acceptance of services x
determined in Clause 6 by establishing criteria for the acceptance of products and services?
The resources needed as minimum staffing
Does your organization plan, implement and control the processes (see 4.4) needed to meet the
requirements for each post and equipment are
requirements for the provision of products and services, and to implement the actions determining the resources needed to achieve
8.1aq4 8. Operation Q x mentioned in:
determined in Clause 6 by determining the resources needed to achieve conformity to product conformity to service requirements
Operations Management Plan, Rulebook, and Asset
and service requirements?
Management Plan
PTW Current Procedure
Normal Mode Standard Operating Procedures for
(Driver, CCP and Stations)
Does your organization plan, implement and control the processes (see 4.4) needed to meet the
Implementing control of the processes in Degraded Mode Standard Operating Procedures for
8.1aq5 8. Operation Q requirements for the provision of products and services, and to implement the actions x
accordance with the criteria (Driver, CCP and Stations)
determined in Clause 6 by implementing control of the processes in accordance with the criteria?
Emergency Mode Standard Operating Procedures for
(Driver, CCP and Stations)
PTW Procedure
Does your organization plan, implement and control the processes (see 4.4) needed to meet the Operations Management Plan
requirements for the provision of products and services, and to implement the actions Operations Plan
8.1aq6 8. Operation Q x
determined in Clause 6 by determining, maintaining and retaining documented information to Procedure for Auditing operation Operations Management Plan is Approved
the extent necessary to have confidence that the processes have been carried out as planned? Audit Records Operation Audit Reports are Unapproved
Does your organization plan, implement and control the processes (see 4.4) needed to meet the Operation Audit Plan and Reports are unapproved
requirements for the provision of products and services, and to implement the actions Operating Manual Railway Safety Audit Reports are unapproved
8.1aq7 8. Operation Q determined in Clause 6 by determining, maintaining and retaining documented information to Audit plan RDMC Operation x
the extent necessary to demonstrate the conformity of products and services to their Operation Audit Records
requirements?
Suitability of Planning process outputs for
8.1aq8 8. Operation Q Are the outputs of the planning process suitable for your organization’s operations? x
organization’s operations
control of planned changes and review the
Does your organization control planned changes and review the consequences of unintended Change Management Plan does not exist (Planned
8.1aq9 8. Operation Q consequences of unintended changes x
changes, taking action to mitigate any adverse effects, as necessary? Changes are not managed)
Change implementation plan

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#
Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization

* Contracts with External Providers

equest for proposal
8.1aq10 8. Operation Q Does your organization ensure that outsourced processes are controlled (see 8.4)? Ensure the control of outsourced processes x * Contract Review (Shall be covered inside Contracts)
* External Providers Evaluation Form and Renewal
Form are not approved

8.1b 8. Operation Environmental Planning & Control 3 3 6 0

Environmental Management Plan
Has the organization established, implemented, controlled and maintained the processes needed Environmental Aspects and Impacts have not been
8.1bq11 8. Operation E Procedure for Identification and Evaluation of x
to meet IMS requirements, and to implement the actions identified in Section 6.1? neither identified nor assessed
Environmental Aspects and Risks
Operational Control of Significant Environmental
Aspects as:-
- Emissions to air
- Releases to water
- Releases to land
- Uses of raw materials and natural resources
8.1bq12 8. Operation E Has the organization established operating criteria for each process? Operating criteria for each process x - Uses of energy
- Energy emission such as heat, radiation, or
vibrations
- Waste and by-products
- Physical attributes of the organization affecting the
environment)
Not identified
Operational Control of Significant Environmental
Aspects has not been identified:-
- Emissions to air
- Releases to water
- Releases to land
Has the organization implement control of the processes in accordance with the operating Implementing control of the processes in - Uses of raw materials and natural resources
8.1bq13 8. Operation E x
criteria? accordance with the operating criteria - Uses of energy
- Energy emission such as heat, radiation, or
vibrations
- Waste and by-products
- Physical attributes of the organization affecting the
environment)
control of planned changes and review the Change Management Plan does not exist (Planned
Does the organization control planned changes and review the consequences of unintended
8.1bq14 8. Operation E consequences of unintended changes x Changes are not managed)
changes, and taking action to mitigate any adverse effects?
Change implementation plan Emergency Response Plan

Contracts with External Providers

8.1bq15 8. Operation E Does your organization ensure that outsourced process are controlled and influenced? Controls of Outsourced Processes x
Procurement Procedure (Unapproved)

Operational Control of Significant Environmental

Aspects has not been identified:-
- Emissions to air
- Releases to water
- Releases to land
Does your organization define the extent of control or influence that it applies to each process Defining the extent of control or influence that it - Uses of raw materials and natural resources
8.1bq16 8. Operation E x
within the IMS? applies to each process within the IMS - Uses of energy
- Energy emission such as heat, radiation, or
vibrations
- Waste and by-products
- Physical attributes of the organization affecting the
environment)
establishing controls to ensure that its
Has your organization established controls to ensure that its environmental requirements are environmental requirements are addressed in the
Resources Consumption and Waste life Cycle have not
8.1bq17 8. Operation E addressed in the design and development process for the product or service as appropriate design and development process for the product x
been identified
considering each life cycle stage? or service as appropriate considering each life
cycle stage environmental requirements for the
determining Environmental Requirements for Procurement of
Does your organization determine environmental requirements for the procurement of products
8.1bq18 8. Operation E procurement of products and services as x products and services and Warehousing are not
and services as appropriate?
appropriate determined

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#
Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
Contractors conditions Procedure hilights these
communicating the relevant environmental
Does your organization communicate the relevant environmental requirements to external requirement to contractors
8.1bq19 8. Operation E requirements to external providers and x
providers and contractors? there is no evidence on communicating environmental
contractors
requirement with external providers
providing information about potential significant
Does your organization consider the need to provide information about potential significant Environmental Impact Assessement is not
environmental impacts related to the
8.1bq20 8. Operation E environmental impacts related to the transportation, delivery, use, end of life treatment and final x implemented
transportation, delivery, use, end of life treatment
disposal of its products and services? Waste management Plan is Unapproved
and final disposal of its products and services
provide information about potential significant
Does your organization consider the need to provide information about potential significant Environmental Impact Assessement is not
environmental impacts related to the
8.1bq21 8. Operation E environmental impacts related to the transportation, delivery, use, end of life treatment and final x implemented
transportation, delivery, use, end of life treatment
disposal of its products and services? Waste management Plan is Unapproved
and final disposal of its products and services
Does the organization maintain documented information to the extent necessary to have Performance meaurement, monitoring and
8.1bq22 8. Operation E x Partially Implemented
confidence that its processes are carried out as planned? evaluation Procedure
8.1.1 8. Operation OH&S Operational Planning & Control - General 2 3 1 0
Has your organization planned, implemented, controlled and maintained the processes needed
8.1.1q1a 8. Operation HS to meet requirements of the IMS, and to implement the actions determined in Clause 6, by Safety Management Plan x Processes
establishing criteria for the processes?
Operational Control Procedure ((SOP for Chemical
Hazards- – SOP for Environmental and Physical
Hazards- SOP for Electrical Hazards - SOP for
Working on Height Hazards- SOP for Display
Has your organization planned, implemented, controlled and maintained the processes needed
Screens and Posture Hazards (Office Hazards)-
8.1.1q1b 8. Operation HS to meet requirements of the IMS, and to implement the actions determined in Clause 6, by x Partially Implemented
SOP For OPERATING HEAVY MACHINERY- SOP For
implementing control of the processes in accordance with the criteria?
RADIOACTIVE HAZARDS- SOP For ERGONOMIC
HAZARDS- SOP For PERSONAL PROTECTIVE
EQUIPMENT- Good Practice for Maintenance of
Tools and Machinery))
Has your organization planned, implemented, controlled and maintained the processes needed Performance Measurement and Monitoring
to meet requirements of the IMS, and to implement the actions determined in Clause 6, by Procedure
8.1.1q1c 8. Operation HS x Partially Implemented
maintaining and retaining documented information to the extent necessary to have confidence Performance Measurement and Monitoring
that the processes have been carried out as planned? Records (Monthly Report)
Operational Control Procedure ((SOP for Chemical
Hazards- – SOP for Environmental and Physical
Has your organization planned, implemented, controlled and maintained the processes needed
Hazards- SOP for Electrical Hazards - SOP for
8.1.1q1d 8. Operation HS to meet requirements of the IMS, and to implement the actions determined in Clause 6, by x Ergonomics and Job hazard analysis are not existing
Working on Height Hazards- SOP for Display
adapting work to workers?
Screens and Posture Hazards (Office Hazards)-
SOP For OPERATING HEAVY MACHINERY- Contractors conditions Procedure fulfills this
At multi-employer workplaces, does your organization coordinate the relevant parts of the IMS Contractors Conditions Procedure
8.1.1q2 8. Operation HS x requirement
with the other organizations? Contracts with External Providers
Contracts
Contracts with External Providers
8.1.1q3 8. Operation HS How does your organization ensure that outsourced processes are controlled (see 8.4)? ensuring that outsourced processes are controlled x
Procurement Procedure (Unapproved)
8.1.2 8. Operation Operation - Eliminating Hazards and Reducing OH&S Risks 0 0 1 0
Has the organization established, implemented and maintained a process(es) for the
elimination of hazards and reduction of OH&S risks using the hierarchy of controls below?
a) eliminate the hazard;
Risk management plan is unapproved
8.1.2q4 8. Operation HS b) substitute with less hazardous processes, operations, materials or equipment; Procedure for Addressing Risks and Opportunities x
there is no risk assessment procedure
c) use engineering controls and reorganization of work;
d) use administrative controls, including training;
e)use adequate personal protective equipment.
8.1.3 8. Operation Operation - Management of Change 0 0 5 0
Has the organization established a process(es) for the implementation and control of planned
changes that impact OH&S performance, including new and upgraded products, services and
processes??
Including:
There is no an established process(es) for the
8.1.3q5a 8. Operation HS - workplace locations and surroundings; Management of Change Process x
implementation and control of planned changes
- work organization;
- working conditions;
- equipment;
- work force;
Has the organization established a process(es) for the implementation and control of planned
There is no an established process(es) for the
8.1.3q5b 8. Operation HS changes that impact OH&S performance, including changes to legal requirements and other Management of Change Process x
implementation and control of planned changes
requirements?

_x000D_ LIMITED SHARING

#
Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
Has the organization established a process(es) for the implementation and control of planned
There is no an established process(es) for the
8.1.3q5c 8. Operation HS changes that impact OH&S performance, including changes in knowledge or information about Management of Change Process x
implementation and control of planned changes
hazards and OH&S risks?
Has the organization established a process(es) for the implementation and control of planned There is no an established process(es) for the
8.1.3q5d 8. Operation HS Management of Change Process x
changes that impact OH&S performance, including developments in knowledge and technology? implementation and control of planned changes
Does the organisation review the consequences of unintended changes, taking action to mitigate There is no an established process(es) for the
8.1.3q6 8. Operation HS Management of Change Process x
any adverse effects, as necessary? implementation and control of planned changes
8.1.4 8. Operation Operation - Procurement
[Link] 8. Operation Procurement - General 0 0 1 0
Has your organization established, implemented and maintained a process(es) to control the
8.1.4.1q7 8. Operation HS Procurement Procedure x Request for proposal is Unapproved
procurement of products and services in order to ensure their conformity to its IMS?
[Link] 8. Operation Procurement - Contractors 5 0 0 0
Does your organization coordinate its procurement process(es) with its contractors, in order to
Contractors conditions procedure fulfills this
8.1.4.2q8a 8. Operation HS identify hazards and to assess and control the OH&S risks arising from the contractors’ activities Control of Contractors x
requirement
and operations that impact the organization?
Does your organization coordinate its procurement process(es) with its contractors, in order to
Contractors conditions procedure fulfills this
8.1.4.2q8b 8. Operation HS identify hazards and to assess and control the OH&S risks arising from the organization’s Control of Contractors x
requirement
activities and operations that impact the contractors’ workers?
Does your organization coordinate its procurement process(es) with its contractors, in order to
Contractors conditions procedure fulfills this
8.1.4.2q8c 8. Operation HS identify hazards and to assess and control the OH&S risks arising from the contractors’ activities Control of Contractors x
requirement
and operations that impact other interested parties in the workplace? Contractors conditions procedure fulfills this
Does your organization ensure that the requirements of its IMS are met by contractors and their Contractor workers competencies and requirement
8.1.4.2q9 8. Operation HS x
workers? certifications Contractors
Contractors conditions
conditions checklist
procedurefulfills
fulfillsthis
this
Does your organization’s procurement process(es) define and apply occupational health and requirement
requirement
8.1.4.2q10 8. Operation HS Contractors selection criteria x
safety criteria for the selection of contractors? Contractors conditions checklist fulfills this
[Link] 8. Operation Procurement - Outsourcing 1 2 0 0 requirement
Contracts with External Providers
8.1.4.3q11 8. Operation HS Does your organization ensure that outsourced functions and processes are controlled? Ensure the control of outsourced processes x
Procurement Procedure (Unapproved)

Does your organization ensure that its outsourcing arrangements are consistent with legal Contracts with outsourced parties
8.1.4.3q12 8. Operation HS Evaluation of outsourced processes x
requirements and other requirements and with achieving the intended outcomes of the IMS? Outsourced Parties evaluation is not recorded

Is the type and degree of control applied to these functions and processes defined within the Applying Controls to functions and processes Contracts with External Providers
8.1.4.3q13 8. Operation HS x
IMS? defined within the IMS Procurement Procedure (Unapproved)
8.2a 8. Operation Emergency Preparedness & Response 6 6 5 0
Emergency Management Plan Cairo Line 3 and
Has your organization established, implemented and maintained process required to prepare Emergency Management Plan Cairo Line 3
8.2aq14 8. Operation E x Emergency Response Plan are fulfilling this
for and to respond to potential emergency situations identified in Section 6.1.1? Emergency Response Plan
requirement
Emergency Management Plan Cairo Line 3
Does your organization prepare and respond by planning actions to prevent or mitigate adverse
8.2aq15a 8. Operation E Emergency Response Plan x Emergancy Response Plans fulfill this requirement
impacts arising from emergency situations?
Incidents Scenarios
8.2aq15b 8. Operation E Does your organization respond to emergency situations? Respond to emergency situations x Emergancy Response Plans fulfill this requirement
Does your organization take action to prevent or mitigate the consequences of emergency
There is only one Emergency Response Record which
8.2aq15c 8. Operation E situations appropriate to the magnitude of the emergency and the potential environmental Environmental Emergency Scenarios records x
is not enough
impact?
There is only one Emergency Response Record which
8.2aq15d 8. Operation E Does your organization periodically test the planned responses where practicable? Emergency Scenarios Plan x
is not enough (not periodically)
Does your organization periodically review the planned responses, in particular, after an
8.2aq15e 8. Operation E Emergancy Analysis reports x There are no emergency analysis reports
emergency situation has occurred?
Does your organization provide relevant information and training related to emergency response There is only one Emergency Response Record which
8.2aq15f 8. Operation E Emergency Scenarios Drills x
and preparedness to relevant interested parties and staff? is not enough
Does the organization maintain documented information to the extent necessary to have Firefighting Performance Mangement Procedure Firefighting Performance Mangement Procedure
8.2aq15g 8. Operation E x
confidence that its processes are carried out as planned? Emergency Response Drills Emergency Response Drills are not existing
Has organization established, implemented and maintained process required to prepare for and
8.2aq16 8. Operation HS Emergency Response Plan x Emergency Response Plan fulfills this requirement
to respond to potential emergency situations identified in Section [Link]?
Has your organization established a planned response to emergency situations, including the
8.2aq17 8. Operation HS First aid x First Aid content Checklist (Unapproved)
provision of first aid?
There is only one Emergency Response Record which
8.2aq18 8. Operation HS Has your organization provided training for the planned response? Emergency Scenarios Drills x
is not enough
8.2aq19 8. Operation HS Has your organization periodically tested and exercised the planned response capability? Emergency Scenarios Plan x Emergency Scenarios Plan is not mentioned
Has your organization evaluated performance and, as necessary, revised the planned response,
8.2aq20 8. Operation HS Emergancy Analysis reports x There are no emergency analysis reports
including after testing and, in particular, after the occurrence of emergency situations?
Has your organization communicated and provided relevant information to all workers on their Emergency Response Plan
8.2aq21 8. Operation HS x Evacuation Plan is unapproved
duties and responsibilities? Evacuation Plan

_x000D_ LIMITED SHARING

#
Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
Has your organization communicated relevant information to contractors, visitors, emergency
8.2aq22 8. Operation HS Awareness and Induction Sessions x HSE Induction Sessions
response services, government authorities and, as appropriate, the local community?
Has your organization taken into account the needs and capabilities of all relevant interested
Interested parties involvement, as appropriate, in
8.2aq23 8. Operation HS parties and ensured their involvement, as appropriate, in the development of the planned x Emergancy Response Plan covers this requirement
the development of the planned response
response?
Emergency Response Plan
Does you organization maintain and retain documented information on the process(es) and on Emergency Response Plan
8.2aq24 8. Operation HS x There is only one Emergency Response Record which
the plans for responding to potential emergency situations? Emergency Scenarios records
is not enough
8.2b 8. Operation Requirements for Products and Services
8.2b.1 8. Operation Customer communication 5 0 0 0
Does communication with customers include providing information relating to products and Providing customers with information relating to Website, Social Media, RDMC Family Events, NAT
8.2b.1q5 8. Operation Q x
services? services Monthly Reports
Does communication with customers include handling enquiries, contracts or orders, including Handling enquiries, contracts or orders, including Website, Social Media, Subscription Signs, Contact
8.2b.1q6 8. Operation Q x
changes? changes with customers Channels Signs, RDMC Moile Application
Does communication with customers include obtaining customer feedback relating to products Handling customer feedback and complaints
8.2b.1q7 8. Operation Q x Customer Survey Reports
and services, including customer complaints? (Registry of Customer Complaints and feedback)
Communication on handling or controlling
8.2b.1q8 8. Operation Q Does communication with customers include handling or controlling customer property? x Correspondances
customer property
Does communication with customers include establishing specific requirements for contingency Communication on establishing specific Evacuation Plan
8.2b.1q9 8. Operation Q x
actions, when relevant? requirements for contingency actions Drills (Fire Fighting, …..)
8.2b.2 8. Operation Determining the requirements for products and services 3 0 0 0
When determining the requirements for the products and services to be offered to customers,
Rulebook and Operations Management Plan fulfill this
8.2b.2q10 8. Operation Q does your organization ensure that the requirements for the products and services are defined, Applicable statutory and regulatory requirements x
requirement
including any applicable statutory and regulatory requirements?
When determining the requirements for the products and services to be offered to customers,
Rulebook and Operations Management Plan fulfill this
8.2b.2q11 8. Operation Q does your organization ensure that the requirements for the products and services are defined, Organization Service Requirements x
requirement
including those considered necessary by your organization?
When determining the requirements for the products and services to be offered to customers,
8.2b.2q12 8. Operation Q does your organization ensure that your organization can meet the claims for the products and Dealing with claims for service x Customer Feedback and Compliants Questionnaires
services it offers?
8.2b.3 8. Operation Review of the requirements for products and services 10 0 0 0
Does your organization ensure that it has the ability to meet the requirements for products and
8.2b.3q13 8. Operation Q Identification of customer requirements x Mystery Shopper Reports fulfill this requirement
services to be offered to customers?
Does your organization conduct a review before committing to supply products and services to a
Operations Timetables and Maintenance Plan fulfill
8.2b.3q14 8. Operation Q customer, including requirements specified by the customer, including the requirements for Customer Requirement Review Checklist x
this requirement
delivery and post-delivery activities?
Review before committing to supply products and
Does your organization conduct a review before committing to supply products and services to a
services to a customer, including requirements not Operations Timetables and Maintenance Plan fulfill
8.2b.3q15 8. Operation Q customer, including requirements not stated by the customer, but necessary for the specified or x
stated by the customer, but necessary for the this requirement
intended use, when known?
specified or intended use
Review before committing to supply products and
Does your organization conduct a review before committing to supply products and services to a Operations Timetables and Maintenance Plan fulfill
8.2b.3q16 8. Operation Q services to a customer, including requirements x
customer, including requirements specified by your organization? this requirement
specified by organization
Does your organization conduct a review before committing to supply products and services to a
Operations Timetables and Maintenance Plan fulfill
8.2b.3q17 8. Operation Q customer, including statutory and regulatory requirements applicable to the products and Service Conformance Checklist x
this requirement
services?
Does your organization conduct a review before committing to supply products and services to a Operations Timetables and Maintenance Plan fulfill
8.2b.3q18 8. Operation Q Customer Requirement Review Checklist x
customer, including contract or order requirements differing from those previously expressed? this requirement
Does your organization ensure that contract or order requirements differing from those Operations Timetables and Maintenance Plan fulfill
8.2b.3q19 8. Operation Q Customer Requirement Review Checklist x
previously defined are resolved? this requirement
Are customer’s requirements confirmed by your organization before acceptance, when the Operations Timetables and Maintenance Plan fulfill
8.2b.3q20 8. Operation Q Customer Requirement Review Checklist x
customer does not provide a documented statement of their requirements? this requirement
Does your organization retain documented information, as applicable on the results of the Operations Timetables and Maintenance Plan fulfill
8.2b.3q21 8. Operation Q Customer Requirement Review Checklist/Record x
review? (See 7.5.1b) this requirement
Does your organization retain documented information, as applicable on any new requirements Operations Timetables and Maintenance Plan fulfill
8.2b.3q22 8. Operation Q Customer Requirement Review Checklist/Record x
for the products and services? (See 7.5.1b) this requirement
8.2b.4 8. Operation Changes to requirements for products and services 1 0 0 0
Does the organization ensure that the relevant documented information is amended and the
Notification to a Customer about Changes on his
8.2b.4q23 8. Operation Q relevant persons are made aware of the changed requirements, when the requirements for the x Correspondances with NAT
Property
products and services are changed?
8.3 8. Operation Design and development of products and services N/A
8.3.1 8. Operation General N/A ### ### ### ###
8.3.2 8. Operation Design and development planning N/A ### ### ### ###
8.3.3 8. Operation Design and Development inputs N/A ### ### ### ###
8.3.4 8. Operation Design and development controls N/A ### ### ### ###

_x000D_ LIMITED SHARING

#
Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
8.3.5 8. Operation Design and Development outputs N/A ### ### ### ###
8.3.6 8. Operation Design and Development changes N/A ### ### ### ###
8.4 8. Operation Control of externally provided processes, products and services
8.4.1 8. Operation General 6 0 0 0
Does the organization ensure that the externally provided processes, products and services Ensuring conformity of externally provided
8.4.1q35 8. Operation Q x Coverd in Contracts with external providers
conform to the requirements? processes, products and services
Determining the controls needed when the
Does the organization determine the controls needed when the product and services from the product and services from the external providers
8.4.1q36a 8. Operation Q x Coverd in Contracts with external providers
external providers are incorporated into their own product and services? are incorporated into their own product and
services
Determining the controls needed when the
Does the organization determine the controls needed when the product and services from the product and services from the external providers
8.4.1q36b 8. Operation Q x Coverd in Contracts with external providers
external providers are provided directly to the customer by external providers? are provided directly to the customer by external
providers
Determining the controls needed when process or
Does the organization determine the controls needed when process or part of process is provided
8.4.1q36c 8. Operation Q part of process is provided by the external x Coverd in Contracts with external providers
by the external providers?
providers
Determining and appling the criteria for selection,
Has the organization determined and applied the criteria for selection, evaluation, monitoring of
8.4.1q37 8. Operation Q evaluation, monitoring of performance and re – x Coverd in Contracts with external providers
performance and re – evaluation of external providers?
evaluation of external providers
Has the organization retained the documented information of these activities and any action
8.4.1q38 8. Operation Q External Providers Evaluation Records x Coverd in Contracts with external providers
arising out or evaluation/re-evaluation?
8.4.2 8. Operation Type and extent of control 0 6 0 0
Ensuring that the externally provided processes,
Does the organization ensure that the externally provided processes, product and services do not
product and services do not adversely affect the
8.4.2q39a 8. Operation Q adversely affect the its ability to consistently deliver conforming products and services to the x
its ability to consistently deliver conforming
customers?
products and services to the customers
Does the organization ensure that the externally provided process remain within the control of its Ensuring that the externally provided process
8.4.2q39b 8. Operation Q x
QMS? remain within the control of its QMS
Has the organization defined the controls to be applied to external provider and its resulting Defining the controls to be applied to external
8.4.2q39c 8. Operation Q x
outputs? provider and its resulting outputs
Considering the potential impact of the
Has the organization taken into consideration the potential impact of the organization’s ability to organization’s ability to consistently meet
8.4.2q39c1 8. Operation Q x
consistently meet customer and applicable statutory and regulatory requirement? customer and applicable statutory and regulatory
requirement
Has the organization taken into consideration the effectiveness of the controls applied by the Considering the effectiveness of the controls
8.4.2q39c2 8. Operation Q x
external providers? applied by the external providers
Determining the verification or other activities,
Has the organization determined the verification or other activities, necessary to ensure that the necessary to ensure that the externally provided
8.4.2q39d 8. Operation Q x
externally provided processes, products and services meet requirements? processes, products and services meet
requirements
8.4.3 8. Operation Information for external providers 7 0 0 0
Does the organization ensure adequacy of requirements prior to their communication to the Ensuring adequacy of requirements prior to their
8.4.3q40 8. Operation Q x Lists of Approved Suppliers are not existing
external provider? communication to the external provider
communicating to the external providers its
Does the organization communicate to the external providers its requirements for the processes,
8.4.3q41a 8. Operation Q requirements for the processes, products and x
products and services required?
services required
communicating to the external providers its
Does the organization communicate to the external providers its requirements for the approval of
requirements for the approval of the product and
8.4.3q41b 8. Operation Q the product and services; methods, processes and equipment; the release of product and x
services; methods, processes and equipment; the
services?
release of product and services
communicating to the external providers its
Does the organization communicate to the external providers its requirements for competence
8.4.3q41c 8. Operation Q requirements for competence including any x
including any qualification of persons?
qualification oftopersons
communicate the external providers its
Does the organization communicate to the external providers its requirements for external
8.4.3q41d 8. Operation Q requirements for external provider’s interactions x
provider’s interactions with the organizations
with the organizations
communicate to the external providers its
Does the organization communicate to the external providers its requirements for control and requirements for control and monitoring of the
8.4.3q41e 8. Operation Q x
monitoring of the external providers’ performance to be applied by the organization? external providers’ performance to be applied by
the organizationto the external providers its
communicating
Does the organization communicate to the external providers its requirements for verification or requirements for verification or validation
8.4.3q41f 8. Operation Q validation activities that the organization or its customer intends to perform at the external activities that the organization or its customer x
providers’ premises? intends to perform at the external providers’
premises
8.5 8. Operation Production and Service provision
8.5.1 8. Operation Control of production and service provision 3 5 1 0
Implementing production and service provision Procedures Normal Mode – Cairo Metro Line 3 fulfills
8.5.1q35a 8. Operation Q Has the organization implemented production and service provision under controlled conditions? x
under controlled conditions this requirement

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
Procedures Normal Mode – Cairo Metro Line 3
defining the characteristics of the product,
Are there any documented information available that defines the characteristics of the product, Rulebook – Cairo Metro Line 3
8.5.1q35b 8. Operation Q services or activities to be performed and the x
services or activities to be performed and the results to be achieved? Operations Management Plan are fulfilling this
results to be achieved
requirement
* KPI's Sheet is ongoing
Availability of suitable monitoring and measuring * Calibration Log (Measuring Devices Monitoring) is
8.5.1q35c 8. Operation Q Are any suitable monitoring and measuring resources available? Are they being used? x
resources not complete
* Myster Shopper Surveys are implemented
Performing monitoring and measuring activitiesat *Calibration Log (Measuring Devices Monitoring) is not
8.5.1q35d 8. Operation Q Are monitoring and measuring activities being performed at appropriate stages? x
appropriate stages complete
Appointing competent persons (including
8.5.1q35e 8. Operation Q Are competent persons (including qualification) being appointed? x Competency and training evidence are not existing
qualification)
Using suitable infrastructure and environment for Asset Management Plan is approved
8.5.1q35f 8. Operation Q Is the infrastructure and environment being used suitable for operation of processes? x
operation of processes Ergonomics Work Instructions is not approved
1-Equipment Status Tag is ongoing
Implementing any actions to prevent human error
2- Calibration Tag is ongoing
8.5.1q35g 8. Operation Q Has the organization implemented any actions to prevent human error? (Gage Repeatability and Reproducibility (Gage R & x
3- Machine Guarding Instructions is not implemented
R), Poka yoka)
4- Poka Yoke still under disscussion
Implementing any release, delivery and post-
8.5.1q35h 8. Operation Q Has the organization implemented any release, delivery and post-delivery activities? x Customer feedback Surveys are implemented
delivery activities
Where resulting output cannot be verified by subsequent monitoring or measurement, has the
Process Review is not implemented
8.5.1q35i 8. Operation Q organization conducted validation and periodic revalidation of the process for production and Service Conformance Records x
Control of document Procedure is approved
service provision?
8.5.2 8. Operation Identification and traceability 0 4 0 0
Useing any suitable means to identify output when
Has the organization used any suitable means to identify output when it is necessary to ensure
8.5.2q36 8. Operation Q it is necessary to ensure the conformity of x Calibration Documents are being drafted
the conformity of products and services?
products and services
Identifying status of outputs with respect to
Has the status of outputs with respect to monitoring and measuring requirements throughout the
8.5.2q37 8. Operation Q monitoring and measuring requirements x Calibration Documents are being drafted
production and service provision being identified by the organization?
throughout the production and service provision
Has the organization controlled the unique identification of the outputs when traceability is a Controlling the unique identification of the outputs
8.5.2q38 8. Operation Q x Calibration Documents are being drafted
requirement? when traceability is a requirement
Has the organization retain the documented information necessary to enable traceability, when
8.5.2q39 8. Operation Q Records of traceability x Calibration Documents are being drafted
traceability is a requirement?
8.5.3 8. Operation Property belonging to customers or external providers 3 0 0 0
exercising adequate care about property
When property belonging to customers or external providers is under the organization’s control
8.5.3q40 8. Operation Q belonging to customers or external providers is x Outgoing Letters Process is approved
or being used being used by the organization, does the organization exercise adequate care?
under the organization’s control
Does the organization identify, verify, protect and safeguard customers’ or external providers’ Identifying , verifing, protecting and safeguard
8.5.3q41 8. Operation Q x Outgoing Letters Process is approved
property? customers’ or external providers’ property
When the property or the customer or external provider is lost, damaged or otherwise fount to be
8.5.3q42 8. Operation Q unsuitable for use, does the organization report this to the customer or external provider? Does Incidents corrospondences records x Outgoing Letters Process is approved
the organization retain documented information on what has occurred?
8.5.4 8. Operation Preservation 0 0 0 0
preserving the outputs during production and
Does the organization preserve the outputs during production and service provision, to the Maintenance Plan and Asset Management Report are
8.5.4q43 8. Operation Q service provision, to the extent necessary to
extent necessary to ensure conformity to requirements? implemented
ensure conformity to requirements
8.5.5 8. Operation Post-delivery activities 2 0 0 0
Does the organization meet requirements for post-delivery activities associated with the product meeting requirements for post-delivery activities Customer Complaints and feedback Surveysand
8.5.5q44 8. Operation Q x
and services? associated with the product and services Customer satisfaction Surveys are implemented
considering the statutory & regulatory
In determining the extent of post-delivery activities does the organization considers the statutory requirements; the potential undesired
& regulatory requirements; the potential undesired consequences associated with its product consequences associated with its product and Customer Complaints and feedback Surveysand
8.5.5q45 8. Operation Q x
and services; customer requirement & feedback; the nature, use and intended lifetime of its services; customer requirement & feedback; the Customer satisfaction Surveys are implemented
product and services? nature, use and intended lifetime of its product
and services
8.5.6 8. Operation Control of change 0 0 2 0
Reviewing and controlling changes for production
Does the organization conduct review and control changes for production or service provision to
8.5.6q46 8. Operation Q or service provision to ensure continuing x System does not enhance Change Management
ensure continuing conformity with requirements?
Does the organization retain documented information describing the results of the review of conformity with requirements
change assessment record and Change
8.5.6q47 8. Operation Q changes, the person(s) authorizing the change and any necessary actions arising from the x System does not enhance Change Management
implementation action plan
review?
8.6 8. Operation Release of products and services 4 0 0 0
implementing planned arrangements, at
Has the organization implemented planned arrangements, at appropriate stages, to verify that Daily Reports are implemented for operations,
8.6q48 8. Operation Q appropriate stages, to verify that the product and x
the product and service requirements have been met? maintenance and RQHSE
service requirements have been met

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
ensuring that the release of product and service
Does the organization ensure that the release of product and service proceed only after the
proceed only after the planned arrangement is Daily Reports are implemented for operations,
8.6q49 8. Operation Q planned arrangement is satisfactorily completed or approved by relevant authority and as x
satisfactorily completed or approved by relevant maintenance and RQHSE
applicable by the customer?
authority and as applicable by the customer
Has the organization retained documented information on the release of products and services Daily Reports are implemented for operations,
8.6q50a 8. Operation Q Service conformance records x
which includes evidence of conformity with the acceptance criteria? maintenance and RQHSE
Has the organization retained documented information on the release of products and services Daily Reports are implemented for operations,
8.6q50b 8. Operation Q Traceability of service records x
which includes traceability to the person(s) authorizing the release? maintenance and RQHSE
8.7 8. Operation Control of nonconforming outputs 0 6 0 0
*Mystery shopper reports are implemented
ensuring that the outputs which do not conform to
Does the organization ensure that the outputs which do not conform to their requirements are *Strategic Action Plan is implemented
8.7.1q51 8. Operation Q their requirements are identified and controlled to x
identified and controlled to prevent their unintended use or delivery? Non-conformity Reports
prevent their unintended use or delivery
Treatment Plans
*Mystery shopper reports are implemented
Ensuring that action appropriate to the nature of
Is the action appropriate to the nature of the nonconformity and its effect on the conformity of *Strategic Action Plan is implemented
8.7.1q52 8. Operation Q the nonconformity and its effect on the conformity x
product and services? Non-conformity Reports
of product and services
Treatment Plans
*Mystery shopper reports are implemented
considering nonconforming product and services
Do the organization also consider nonconforming product and services detected after delivery of *Strategic Action Plan is implemented
8.7.1q53 8. Operation Q detected after delivery of products, during and x
products, during and after provision of services? Non-conformity Reports
after provision of services
Treatment Plans
taking correction action and/or segregation,
*Mystery shopper reports are implemented
When non-conforming product and services is detected does the organization take correction containment, return or suspension of provision of
*Strategic Action Plan is implemented
8.7.1q54 8. Operation Q action and/or segregation, containment, return or suspension of provision of product & services product & services and/or informing the customer x
Non-conformity Reports
and/or informing the customer and/or obtaining authorization for acceptance under concession? and/or obtaining authorization for acceptance
Treatment Plans
under concession
*Mystery shopper reports are implemented
Has the organization verified conformity to the requirements when nonconforming outputs are verifing conformity to the requirements when *Strategic Action Plan is implemented
8.7.1q55 8. Operation Q x
corrected? nonconforming outputs are corrected Non-conformity Reports
Treatment Plans
*Mystery shopper reports are implemented
Does the organization retain documented information that describes the nonconformity;
*Strategic Action Plan is implemented
8.7.2q56 8. Operation Q describes the actions taken; describes any concession obtained; identifies the authority deciding CAR/PAR Actions records x
Non-conformity Reports
the action in respect of the nonconformity?
Treatment Plans
9 9. Evaluation Performance Evaluation
9.1 9. Evaluation Performance Evaluation - Monitoring, Measurement, Analysis and Evaluation
9.1.1 9. Evaluation Monitoring, Measurement, Analysis and Evaluation - General 0 14 0 0
RQHSE Monthly Reports are implemented
Has your organization established, implemented and maintained a process(es) for monitoring, HSE Performance Measurement and Monitoring
9.1.1q1 9. Evaluation E HS x KPI's still ongoing
measurement, analysis and performance evaluation? Procedure
Dashboard still ongoing
RQHSE Monthly Reports are implemented
Determining what needs to be monitored and
9.1.1q2a 9. Evaluation Q E HS Does your organization determine what needs to be monitored and measured? x KPI's still ongoing
measured
Dashboard still ongoing
RQHSE Monthly Reports are implemented
Does the extent of your organization's monitoring and measurement include the extent to which Fulfilling legal requirements and other
9.1.1aq2a1 9. Evaluation HS x KPI's still ongoing
legal requirements and other requirements are fulfilled? requirements
Dashboard still ongoing
RQHSE Monthly Reports are implemented
Does the extent of your organization's monitoring and measurement include its activities and including activities and operations related to
9.1.1aq2a2 9. Evaluation HS x KPI's still ongoing
operations related to identified hazards, risks and opportunities? identified hazards, risks and opportunities
Dashboard still ongoing
RQHSE Monthly Reports are implemented
Does the extent of your organization's monitoring and measurement include progress towards including progress towards achievement of the
9.1.1aq2a3 9. Evaluation HS x KPI's still ongoing
achievement of the organization’s OH&S objectives? organization’s OH&S objectives
Dashboard still ongoing
RQHSE Monthly Reports are implemented
Does the extent of your organization's monitoring and measurement include the effectiveness of including the effectiveness of operational and
9.1.1aq2a4 9. Evaluation HS x KPI's still ongoing
operational and other controls? other controls
Dashboard still ongoing
RQHSE Monthly Reports are implemented
Does your organization determine the methods for monitoring, measurement, analysis and methods for monitoring, measurement, analysis
9.1.1q2b 9. Evaluation Q E HS x KPI's still ongoing
evaluation needed to ensure valid results? and evaluation needed to ensure valid results
Dashboard still ongoing

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
RQHSE Monthly Reports are implemented
9.1.1q2c 9. Evaluation Q E HS Does your organization determine when monitoring and measuring is performed ? when monitoring and measuring is performed x KPI's still ongoing
Dashboard still ongoing
Criteria against which evaluation of environmental
Does your organization determine the criteria against which the organization evaluates its RQHSE Monthly Reports are implemented
performance and appropriate indicators and the
9.1.1q2d 9. Evaluation E HS environmental performance and appropriate indicators and the criteria against which the x KPI's still ongoing
criteria against which the organization will
organization will evaluate its OH&S performance? Dashboard still ongoing
evaluate its OH&S performance
determining when the results from monitoring and RQHSE Monthly Reports are implemented
Does your organization determine when the results from monitoring and measurement are
9.1.1q2e 9. Evaluation Q E HS measurement are analysed, evaluated and x KPI's still ongoing
analysed, evaluated and communicated?
communicated Dashboard still ongoing
RQHSE Monthly Reports are implemented
evaluating the performance and the effectiveness
9.1.1q3 9. Evaluation Q E HS Does your organization evaluate the performance and the effectiveness of the IMS? x KPI's still ongoing
of the IMS
Dashboard still ongoing
RQHSE Monthly Reports are implemented
Does your organization ensure that calibrated or verified monitoring and measurement Maintenance and Calibration Records
9.1.1q4 9. Evaluation E HS x KPI's still ongoing
equipment is used and maintained as required? Plan for Preventive Maintenance of Equipment
Dashboard still ongoing
Communicating relevant environmental
Does your organization internally and externally communicate relevant environmental RQHSE Monthly Reports are implemented
performance information as required by its
9.1.1q5 9. Evaluation E performance information as required by its communication process and its compliance x KPI's still ongoing
communication process and its compliance
obligations? Dashboard still ongoing
obligations
Inspection Procedure
Does your organization maintain documented information as evidence of monitoring, RQHSE Monthly Reports are implemented
Calibration Procedure (Calibration of measuring
9.1.1q6 9. Evaluation E HS measurement, analysis and evaluation of results, and results of calibration or verification of x KPI's still ongoing
equipment, Software validation, Measuring
measuring equipment? Dashboard still ongoing
equipment storage)
9.1.2a 9. Evaluation Customer Satisfaction 2 0 0 0
Monitoring customers’ perceptions of the degree Mystery Shopper Audits are being conducting but
Does your organization monitor customers’ perceptions of the degree to which their needs and
9.1.2aq7 9. Evaluation Q to which their needs and expectations have been x Customer Satisfaction Survey and Customer
expectations have been fulfilled?
fulfilled Satisfaction Index are not existing as records
Does your organization determine the methods for obtaining, monitoring and reviewing this methods for obtaining, monitoring and reviewing Mystery Shopper Audits and records analysis
9.1.2aq8 9. Evaluation Q x
information? this information Customer Surveys analysis are not exisiting
9.1.2b 9. Evaluation Monitoring, Measurement, Analysis and Evaluation - Evaluation of Compliance 0 0 5 0
Has your organization established implemented and maintained processes to evaluate the
There is no evidence on Evaluation of Compliance
9.1.2bq6 9. Evaluation E HS fulfilment of its compliance obligations and to establish compliance with legal and other Evaluation of Compliance Procedure x
Register
requirements? There is no evidence on Evaluation of Compliance
9.1.2bq7a 9. Evaluation E HS Has your organization determined the frequency that compliance is evaluated? frequency that compliance is evaluated x
Register
There is no evidence on Evaluation of Compliance
9.1.2bq7b 9. Evaluation E HS Does your organization evaluate compliance and take action where required? taking action where required x
Register
There is no evidence on Evaluation of Compliance
9.1.2bq7c 9. Evaluation E HS Does your organization maintain knowledge and understanding of its compliance status? Evaluation of Compliance Procedure x
Register
There is no evidence on Evaluation of Compliance
9.1.2bq7d 9. Evaluation HS Does your organization retain documented information of the compliance evaluation results? Evaluation of Compliance Record x
Register
9.1.3 9. Evaluation Analysis & Evaluation 0 3 5 0
*There is no process of analyzing and evaluating data
and information arising from monitoring and
Does your organization analyse and evaluate appropriate data and information arising from Analyzing and evaluating data and information
9.1.3q9 9. Evaluation Q x measurement
monitoring and measurement. arising from monitoring and measurement
*Monthly Data Statistics Analysis is being run but
without a framework
Mystery Shopper Reports shows the extent od service
Does your organization ensure that the results of analysis are used to evaluate conformity of conformity
9.1.3q10a 9. Evaluation Q evaluating conformity of products and services x
products and services? Internal Audit Plan is ongoing but Car/Par Actions
Record are not existing
Does your organization ensure that the results of analysis are used to evaluate the degree of
9.1.3q10b 9. Evaluation Q evaluation of the degree of customer satisfaction x Customer Satisfaction Questionnaires are not exisiting
customer satisfaction?
Does your organization ensure that results of analysis are used to evaluate the evaluating the performance/effectiveness of the Performance Evaluation Records are not existing
9.1.3q10c 9. Evaluation Q x
performance/effectiveness of the IMS? IMS Internal Auit Plan and Reports are ongoing

Does your organization ensure that the results of analysis are used to evaluate if planning has evaluating if planning has been implemented
9.1.3q10d 9. Evaluation Q x Performance Evaluation Records are not existing
been implemented effectively? effectively

Does your organization ensure that the results of analysis are used to evaluate the effectiveness evaluating the effectiveness of actions taken to There is no any evidence on ensure the effectiveness
9.1.3q10e 9. Evaluation Q x
of actions taken to address risks and opportunities? address risks and opportunities of implemented actions

Does your organization ensure that the results of analysis are used to evaluate the performance There are no evidence on external providers
9.1.3q10f 9. Evaluation Q evaluating the performance of external providers x
of external providers? evaluation
Does your organization ensure that the results of analysis are used to evaluate the need for
9.1.3q10g 9. Evaluation Q evaluate the need for improvements to the IMS x There are no evidence on improvement action plans
improvements to the IMS?
9.2 9. Evaluation Performance Evaluation - Internal Audit
9.2.1 9. Evaluation Performance Evaluation - Internal Audit - General 3 0 0 0

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
conducting internal audits at planned intervals to
Does your organization conduct internal audits at planned intervals to provide information on
9.2.1q8 9. Evaluation Q E HS provide information on whether the IMS conforms x Internal audit plan is approved and is ongoing
whether the IMS conforms to your organization’s own requirements for its IMS?
to your organization’s own requirements for its IMS
Does your organization conduct internal audits at planned intervals to provide information on providing information on whether the IMS
9.2.1q9a 9. Evaluation Q E HS whether the IMS conforms to the requirements of ISO 9001:2015, ISO 14001:2015 and ISO conforms to the requirements of ISO 9001:2015, x Internal audit plan is approved and is ongoing
45001:2018? ISO 14001:2015 and ISO 45001:2018
Does your organization conduct internal audits at planned intervals to provide information on providing information on whether the IMS is
9.2.1q9b 9. Evaluation Q E HS x Internal audit plan is approved and is ongoing
whether the IMS is effectively implemented and maintained? effectively implemented and maintained
9.2.2 9. Evaluation Performance Evaluation - Internal Audit Programme 2 0 4 0
Does your organization plan, establish, implement and maintain EHQMS audit programme(s)
including the frequency, methods, responsibilities, planning requirements and reporting, which
9.2.2q10a 9. Evaluation Q E HS Internal Audit Procedure x Internal Audit Procedure is unapproved
take into consideration the importance of the processes concerned, changes affecting your
organization, and the results of previous audits?
Each conducted audit scope and criteria are
9.2.2q10b 9. Evaluation Q E HS Does your organization define the audit criteria and scope for each audit? defining the audit criteria and scope for each audit x
mentioned in audits reports, checklists and reports
select auditors and conduct audits to ensure
Does your organization select auditors and conduct audits to ensure objectivity and the
9.2.2q10c 9. Evaluation Q E HS objectivity and the impartiality of the audit x Internal Audit Procedure is unapproved
impartiality of the audit process?
process
Does your organization ensure that the results of the audits are reported to relevant ensuring that the results of the audits are reported Internal Audit reports are not approved to be sent to
9.2.2q10d 9. Evaluation Q E HS x
management? to relevant management relevant management
Corrective actions are written in the audit reports but
taking appropriate correction and corrective
9.2.2q10e 9. Evaluation Q E HS Does your organization take appropriate correction and corrective actions without undue delay? x they are not approved to be reviewing actions
actions without undue delay
estimated and actual dates
Does your organization retain documented information as evidence of the implementation of the
9.2.2q10f 9. Evaluation Q E HS Internal Audit Records x Internal audit reports and checklists
audit programme and the audit results? (See 7.5.1b)
9.3 9. Evaluation Performance Evaluation - Management Review 0 0 16 0
Reviewing IMS, at planned intervals, to ensure its
Does Top management review your organization’s IMS, at planned intervals, to ensure its
continuing suitability, adequacy, effectiveness and Mangement Review Meetings have not been
9.3q11 9. Evaluation Q E HS continuing suitability, adequacy, effectiveness and alignment with the strategic direction of your x
alignment with the strategic direction of your conducted yet
organization?
organization
Is the management review planned and carried out taking into consideration the status of actions Considering the status of actions from previous Mangement Review Meetings Agenda and actions
9.3q12a 9. Evaluation Q E HS x
from previous management reviews? management reviews follow-up is not existing
Is the management review planned and carried out taking into consideration changes in external
and internal issues that are relevant to the IMS? Including:

1. Changes in external and internal issues; there is no evidence on top management review MOM
9.3q12b 9. Evaluation Q E HS Top management review MOM and Reports x
2. Changes in the needs and expectation of interested parties, compliance with obligations and and Reports
legal requirements;
3. Changes in its significant environmental aspects;
4. The effectiveness of actions taken to address risks and opportunities.

Is the management review planned and carried out taking into consideration information on the
performance and effectiveness of the IMS, including trends in:

1. Customer satisfaction;
2. Feedback from relevant interested parties;
3. Incidents, nonconformities, corrective actions and continual improvement;
4. Monitoring and measurement results; there is no evidence on top management review MOM
9.3q12c 9. Evaluation Q E HS Top management review MOM and Reports x
5. Results of evaluation of compliance with legal and other requirements; and Reports
6. Audit results;
7. Consultation and participation of workers;
8. Risks and opportunities;
9. Performance of external providers;
10. Process performance and conformity of products and services;
11. The extent to which QEHS objectives have been met.

Is the management review planned and carried out taking into consideration the adequacy of there is no evidence on top management review MOM
9.3q12d 9. Evaluation Q E HS considering the adequacy of resources x
resources? and Reports
Is the management review planned and carried out taking into consideration the effectiveness of considering the effectiveness of actions taken to there is no evidence on top management review MOM
9.3q12e 9. Evaluation Q E HS x
actions taken to address risks and opportunities (see 6.1)? address risks and opportunities and Reports
Is the management review planned and carried out taking into consideration opportunities for there is no evidence on top management review MOM
9.3q12f 9. Evaluation Q E HS considering opportunities for improvement x
improvement? and Reports
Do the outputs of the management review include decisions and actions related to opportunities
there is no evidence on top management review MOM
9.3q12g 9. Evaluation Q E HS for improvement and the continuing suitability, adequacy and effectiveness of the IMS in Top management review MOM and Reports x
and Reports
achieving its intended outcomes?
Do the outputs of the management review include decisions and actions related to any need for there is no evidence on top management review MOM
9.3q13 9. Evaluation Q E HS Top management review MOM and Reports x
changes to the IMS? and Reports

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
4 4. Context Context of the Organization
Do the outputs of the management review include decisions and actions related to resource there is no evidence on top management review MOM
9.3q14 9. Evaluation Q E HS Top management review MOM and Reports x
needs? and Reports
Do the outputs from the management review include decisions related to continual improvement there is no evidence on top management review MOM
9.3q15 9. Evaluation Q E HS Top management review MOM and Reports x
opportunities? and Reports
Do the outputs from the management review include decisions relating to the need for changes there is no evidence on top management review MOM
9.3q16 9. Evaluation Q E HS Top management review MOM and Reports x
to the IMS, including resources? and Reports
Do the outputs from the management review include the actions necessary when objectives are there is no evidence on top management review MOM
9.3q17 9. Evaluation Q E HS Top management review MOM and Reports x
not achieved? and Reports
Do the outputs from the management review include the opportunities to improve the integration there is no evidence on top management review MOM
9.3q18 9. Evaluation Q E HS Top management review MOM and Reports x
of the IMS with other business processes as required? and Reports
Do the outputs from the management review include the implications for the organization’s there is no evidence on top management review MOM
9.3q19 9. Evaluation Q E HS Top management review MOM and Reports x
strategic direction? and Reports
Does your organization retain documented information as evidence of the results of
9.3q20 9. Evaluation Q E HS Management Review MOM/ Reports x There is no evidence on Management Review Records
management reviews? (See 7.5.1b)
10 10. Improvement Improvement
10.1 10. Improvement Improvement - General 0 0 5 0
determining and selecting opportunities for
Does your organization determine and select opportunities for improvement and implement any improvement and implement any necessary There is no evidence on improvement action plans or
10.1q1 10. Improvement Q E HS x
necessary actions to meet customer requirements and enhance customer satisfaction? actions to meet customer requirements and projects
enhance customer
determining satisfaction
and selecting opportunities for
Does your organization determine and select opportunities for improvement and implement any improvement and implement any necessary There is no evidence on improvement action plans or
10.1q2 10. Improvement E HS x
necessary actions to achieve the intended outcomes of its IMS? actions to achieve the intended outcomes of its projects
Does your organization determine and select opportunities for improvement and implement any IMS improving products and services to meet
There is no evidence on improvement action plans or
10.1q3 10. Improvement Q E HS necessary actions to improving products and services to meet requirements as well as to address requirements as well as to address future needs x
projects
future needs and expectations? and expectations
*Internal audit plan is approved and is ongoing
Does your organization determine and select opportunities for improvement and implement any implement any necessary actions to correcting,
10.1q4 10. Improvement Q E HS x *HSE inspection plan is not approved
necessary actions to correcting, preventing or reducing undesired effects? preventing or reducing undesired effects
*Mystery Shopper inspections are being conducted
Does your organization determine and select opportunities for improvement and implement any improving the performance and effectiveness of There is no evidence on improvement action plans or
10.1q5 10. Improvement Q E HS x
necessary actions to improving the performance and effectiveness of the IMS? the IMS projects
10.2 10. Improvement Improvement - Incident, Nonconformity and Corrective Action 0 3 11 0
When an incident or nonconformity occurs, including any arising from complaints, does your process for corrective and preventive actions drafted
10.2q2 10. Improvement Q E HS Car/PAR Action Plans x
organization react to the non-conformity take action to control and correct it? Treatment Plan drafted
When an incident or nonconformity occurs, including any arising from complaints, does your process for corrective and preventive actions drafted
10.2q3a1 10. Improvement Q E HS Car/PAR Action Plans x
organization react to the non-conformity deal with the consequences? Treatment Plan drafted
When an incident or nonconformity occurs, including any arising from complaints, does your
organization evaluate, with the participation of workers (see 5.4) and the involvement of other Incident investigation process (defining root causw
process for corrective and preventive actions drafted
10.2q3a1 10. Improvement Q E HS relevant interested parties, the need for corrective action to eliminate the root cause(s) of the analysis) x
Treatment Plan drafted
incident or nonconformity, in order that it does not recur or occur elsewhere, by investigating the Car/PAR Actions
incident or reviewing the nonconformity?
When an incident or nonconformity occurs, including any arising from complaints, does your evaluating, with the participation of workers (see
organization evaluate, with the participation of workers (see 5.4) and the involvement of other 5.4) and the involvement of other relevant
There is no process for incident investigation and
10.2q3b1 10. Improvement Q E HS relevant interested parties, the need for corrective action to eliminate the root cause(s) of the interested parties, the need for corrective action x
involving workers and interested parties in it
incident or nonconformity, in order that it does not recur or occur elsewhere, by determining the to eliminate the root cause(s) of the incident or
cause(s) of the incident or nonconformity? nonconformity
When an incident or nonconformity occurs, including any arising from complaints, does your evaluating, with the participation of workers (see
organization evaluate, with the participation of workers (see 5.4) and the involvement of other 5.4) and the involvement of other relevant
There is no process for incident investigation and
10.2q3b2 10. Improvement Q E HS relevant interested parties, the need for corrective action to eliminate the root cause(s) of the interested parties, the need for corrective action x
involving workers and interested parties in it
incident or nonconformity, in order that it does not recur or occur elsewhere, by determining if to eliminate the root cause(s) of the incident or
similar incidents have occurred, if nonconformities exist, or if they could potentially occur? nonconformity
When an incident or nonconformity occurs, including any arising from complaints, does your
implementing any needed and review existing
10.2q3b3 10. Improvement Q E HS organization implement any needed and review existing assessments of OH&S risks and other x There is no risks review process
assessments of OH&S risks and other risks
risks, as appropriate (see 6.1)?
When non-conformities occur, including any arising from complaints, does your organization reviewing the effectiveness of any corrective There is no process for corrective and preventive
10.2q3c 10. Improvement Q E HS x
review the effectiveness of any corrective action taken? action taken actions to be addressed
updating risks and opportunities determined
When non-conformities occur, including any arising from complaints, does your organization
during planning, if necessary, as well as assessing There is no process for corrective and preventive
10.2q3d 10. Improvement Q E HS update risks and opportunities determined during planning, if necessary, as well as assessing x
OH&S risks that relate to new or changed hazards, actions to be addressed
OH&S risks that relate to new or changed hazards, prior to taking action?
prior to taking
determine and action
implement any action needed,
When non-conformities occur, including any arising from complaints, does your organization
including corrective action, in accordance with the There is no process for corrective and preventive
10.2q3e 10. Improvement HS determine and implement any action needed, including corrective action, in accordance with the x
hierarchy of controls (see 8.1.2) and the actions to be addressed
hierarchy of controls (see 8.1.2) and the management of change (see 8.1.3)?
management of change
When non-conformities occur, including any arising from complaints, does your organization Applying changes resulted from Corrective and There is no process for corrective and preventive
10.2q3f 10. Improvement Q E HS x
makes changes to the IMS as necessary? preventive actions actions to be addressed

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause No. Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

100

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Audit 0 Entries yet to be entered
Score 0 Errors

Status % Error Checking Summary

100

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Audit 0 Entries yet to be entered
Score 0 Errors

Status % Error Checking Summary

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Audit 0 Entries yet to be entered
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Status % Error Checking Summary

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Clause No. Sub Clause
Understanding the organization and its
4.1 context
Understanding the needs and expectation
4.2 of workers and other interested parties
Determining the scope of the
4.3 management system
4.4 Integrated Management System
5.1.1 General
5.1.2 Customer Focus
5.2.1 Developing the Policy
5.2.2 Communicating the Policy
Organizational Roles, Responsibilities and
5.3 Authorities
Consultation and Participation of Workers
5.4 and Contractors
Actions to Address Risks and
6.1.1 Opportunities
6.1.2a Environmental Aspects
6.1.2b.1 Hazard identification
Assessment of OH&S risks and other risks
6.1.2b.2 to the IMS
Assessment of OH&S opportunities and
6.1.2b.3 other opportunities for the IMS
Determination of legal requirements and
6.1.3 other requirements
6.1.4 Planning Action
6.2.1 QEHS Objectives
6.2.2 Planning to Achieve QEHS Objectives
6.2.3 Planning for Change
7.1.1 General
7.1.2 People
7.1.3 Infrastructure
Environment for the Operation of
7.1.4 Processes
[Link] General
[Link] Measurement Traceability
7.1.6 Organizational knowledge
7.2 Competence
7.3 Awareness
7.4.1 Communcation - General
7.4.2 Communcation - Internal communication
7.4.3 Communcation - External communication
7.5.1 Documented Information - General
Creating and
7.5.2 Updating
7.5.3 Documented Information - Control

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8.1a Quality Planning & Control
8.1b Environmental
OH&S Operational Planning & Control
Planning & Control -
8.1.1 General
Operation - Eliminating Hazards and
8.1.2 Reducing OH&S Risks
8.1.3 Operation - Management of Change
[Link] Procurement - General
[Link] Procurement - Contractors
[Link] Procurement - Outsourcing
8.2a Emergency Preparedness & Response
8.2b.1 Customer communication
Determining the requirements for
8.2b.2 products and services
Review of the requirements for products
8.2b.3 and services
Changes to requirements for products
8.2b.4 and services
8.3.1 General
8.3.2 Design and development planning
8.3.3 Design and Development inputs
8.3.4 Design and development controls
8.3.5 Design and Development outputs
8.3.6 Design and Development changes
8.4.1 General
8.4.2 Type and extent of control
8.4.3 Information
Control for external
of production andproviders
service
8.5.1 provision
8.5.2 Identification and traceability
Property belonging to customers or
8.5.3 external providers
8.5.4 Preservation
8.5.5 Post-delivery activities
8.5.6 Control of change
8.6 Release of products and services
8.7 Control of nonconforming outputs
Monitoring, Measurement, Analysis and
9.1.1 Evaluation - General
9.1.2a Customer Satisfaction
Monitoring, Measurement, Analysis and
9.1.2b Evaluation - Evaluation of Compliance
9.1.3 Analysis & Evaluation
Performance Evaluation - Internal Audit -
9.2.1 General
Performance Evaluation - Internal Audit
9.2.2 Programme

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Performance Evaluation - Management
9.3 Review
10.1 Improvement - General
Improvement - Incident, Nonconformity
10.2 and Corrective Action
10.3 Continual Improvement

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Audit Find
Thematic Area Main Clause Compliant
4.1 Organizational Context 4. Context 0

4.2 Relevant Interested Parties 4. Context 0

4 0 0 50% 100%

10 0 0 50% 100%
4 7 0 31% 100%
7 4 0 46% 100%
1 0 0 83% 100%
6 0 0 50% 100%
4 0 0 50% 100%

7 0 0 50% 100%

20 0 0 50% 100%
0 0 0 100% 100%
6 0 0 57% 100%
1 0 0 97% 100%

0 0 0 100% 100%

0 4 0 0% 100%
1 1 0 79% 100%
0 10 0 0% 100%
0 7 0 0% 100%
5 0 0 50% 100%
1 0 0 83% 100%
1 0 0 50% 100%
0 0 0 100% 100%
1 0 0 50% 100%
1 0 0 88% 100%
3 1 0 64% 100%
0 0 0 100% 100%
3 2 0 30% 100%
7 1 0 44% 100%
4 3 0 50% 100%
0 1 0 50% 100%
0 0 0 100% 100%
0 0 0 100% 100%
0 0 0 100% 100%
1 0 0 94% 100%

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7 0 0 65% 100%
3 6 0 38% 100%
3 1 0 58% 100%

0 1 0 0% 100%
0 5 0 0% 100%
0 1 0 0% 100%
0 0 0 100% 100%
2 0 0 67% 100%
6 5 0 53% 100%
0 0 0 100% 100%

0 0 0 100% 100%

0 0 0 100% 100%
6 0 0 50% 100%
0 0 0 100% 100%
5 1 0 61% 100%
4 0 0 50% 100%

0 0 0 100% 100%
0 0 0 0% 100%
0 0 0 100% 100%
0 2 0 67% 100%
0 0 0 100% 100%
6 0 0 50% 100%

14 0 0 50% 100%
0 0 0 100% 100%

0 5 0 0% 100%
3 5 0 19% 100%

0 0 0 100% 100%

0 4 0 33% 100%

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0 16 0 0% 100%
0 5 0 0% 100%

3 11 0 11% 100%
1 6 0 7% 100%

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9.1.2bq6
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9.3q11

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9.3q18
9.3q19

9.3q20

10.1q1

10.1q2

10.1q3

10.1q4

10.1q5

10.2q2

10.2q3a1

10.2q3b1

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10.2q3b3

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10.2q3d

10.2q3e

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10.2q3f

10.2q3g

10.2q14

10.2q15

10.2q16

10.3q17

10.3q18

10.3q19a

10.3q19b

10.3q19c

10.3q19d

10.3q19e

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This shape represents a table
slicer. Table slicers are not NC, CAPA & Action Plan
supported in this version of
Excel.

If the shape was modified in Audit Question

an earlier version of Excel, or
if the Has
workbook
yourwas saved in
organization determined external and internal issues relevant to its purpose and
Excel 2007 or earlier, the
slicer its
can'tstrategic
be used. direction that affect its ability to achieve the intended result(s) of its IMS?
Does your organization monitor and review information about these external and internal
issues?

Has your organization determined the interested parties and workers that are relevant to
the IMS?
Has your organization determined the needs and expectations of these interested parties
and workers that are relevant to the IMS?
Has your organization determined which of these needs and expectations could become
legal requirement and other requirement?
How do you monitor and review information about these interested parties and their
relevant needs and expectations?

Has the organization determined the boundaries and applicability of the IMS to establish its
scope?
When
When determining
determining this
this scope,
scope, has
has your
your organization
organization considered
considered the external and
its activities, internal
products,
issues referred
services to in 4.1? activities and related product lifecycles, such as:
and work-related
When determining this scope, has your organization considered the requirements of
1. Raw material
relevant acquisition;
interested parties referred to in 4.2?
2. Manufacture;
When determining this scope, has the organization taken into account all relevant products,
3. Packaging/Transport/Delivery;
services
4. Use; and work-related activities, functions and physical boundaries to the IMS?
5. End of life treatment;
6. Final disposal.
has your organization considered its activities, products and services over which it has the
authority and to exercise control and influence?
Has your organization applied all the requirements of ISO 9001:2015, ISO 14001:2015 and
ISO
Does45001:2018 if they
the scope state are
the applicable
types withinand
of products theservices
determined scopeand
covered, of the IMS?justification
provide
for any requirement of ISO 9001:2015 that your organization determines is not applicable to
the scope of its IMS?
When determining scope, has your organization considered and documented its ability and
authority to control and influence factors relating to external and internal issues?

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Is the scope of your organization’s IMS available and maintained as documented
information and available to interested parties and workers? (See 7.5.1a)

Has your organization established, implemented, maintained and continually improved its
IMS, including the processes needed and their interactions, in accordance with the
requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018?
Has your organization considered the knowledge and information obtained by 4.1 and 4.2
when implementing
Has your and
organization operating the
determined it IMS?
process required for the IMS, including their
interactions, in accordance with requirements and their application throughout the
organization?
Has your organization determined the inputs required and the outputs expected from these
processes?

Has
Has your
your organization
organization determined
determined the
and sequence and
applied the interaction
criteria of these(including
and methods processes?
monitoring, measurements and related performance indicators) needed to ensure the
effective operation and control of these processes?
Has your organization determined the resources needed for these processes and ensure
their availability?

Has your organization assigned responsibilities and authorities for these processes?
Has your organization addressed the risks and opportunities as determined in accordance
with the requirements of 6.1?
Has your organization evaluated these processes and implement any changes needed to
ensure that these processes achieve their intended results?

Does your organization improve the processes and the IMS?

Does Top Management demonstrated leadership and commitment to the IMS by taking
accountability for the effectiveness of your organization’s IMS?

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Does Top Management demonstrated leadership and commitment to the IMS by ensuring
that QHSE policies and objectives are established and documented, and are compatible
your organization’s goals (See 6.2) and its context (See 4.0)?
Does Top Management demonstrated leadership and commitment to the IMS by ensuring
that QEHS requirements are integrated into your organization’s processes?
Does Top management demonstrate leadership and commitment with respect to the IMS by
promoting the use of the process approach and risk-based thinking?

Does Top management ensure that the IMS achieves its intended results?

Does Top management demonstrate leadership and commitment with respect to the IMS by
promoting improvement?
Does Top management demonstrate leadership and commitment with respect to the IMS by
supporting other relevant management roles to demonstrate their leadership as it applies
to their areas of responsibility?
Does top management develop, lead, and promote a culture in the organization that
supports the intended outcomes of the IMS?
Does top management protect workers from reprisals when reporting incidents, hazards,
risks and opportunities?
Does top management ensure that the organization establishes and implements a
process(es) for consultation and participation of workers (see 5.4)?
Does top management support the establishment and functioning of health and safety
committees, [see 5.4 e) 1]?

Does Top management demonstrate leadership and commitment with respect to customer
focus by ensuring that customer and applicable statutory and regulatory requirements are
determined, understood and consistently met?

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Has top management established, implemented and maintained QEHS policy that is
appropriate to the purpose and organizational context and support its strategic direction;
including the nature, scale, and environmental impacts of its activitities, products or
services, including a commitment to provide safe and healthy working conditions to prevent
work-related injury and ill health and is appropriate to the purpose and specific to the
nature of our OH&S risks and OH&S opportunities
Has top management established, implemented and maintained quality, environmental and
health and safety policy that provides a framework for setting the QEHS objectives?
Has top management established, implemented and maintained a QEHS policy that
includes a commitment
Has top management to fulfil legal
established, requirements
implemented andand other requirements?
maintained a QEHS policy that
includes a commitment to protect the environment, prevent pollution, eliminate hazards
and reduce OH&S risks (see 8.1.2)?
Has top management established, implemented and maintained an QEHS policy that
includes a commitment
Has top management to continualimplemented
established, improvement of the
and IMS?
maintained an OH&S policy that
includes a commitment to consultation and participation of workers, and , where they exist
workers representative?

Is the QEHS policy available as documented information?

Is the QEHS policy communicated within the organization?

Is the QEHS policy available to interested parties, as appropriate?

Is the QEHS policy relevant and appropriate?

Does top management ensure that the responsibilities and authorities for relevant roles
within the IMS are assigned and communicated at all levels within the organization and
maintained as documented information?
Do workers at each level of the organization assume responsibility for those aspects of the
IMS over which they have control?
Does top management assign the responsibility and authority for ensuring that the IMS
conforms to the requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018?
Does Top management assigned the responsibility and authority for ensuring that the
processes are delivering their intended outputs?
Does top management assign the responsibility and authority for reporting on the
performance of the IMS to top management?
Does Top management assign the responsibility and authority for ensuring the promotion of
customer focus throughout your organization?
Does Top management assign the responsibility and authority for ensuring that the
integrity of the IMS is maintained when changes to it planned and implemented?

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Has your organization established, implemented and maintained a process(es) for
consultation and participation of workers at all applicable levels and functions, and, where
they exist, workers’ representatives, in the development, planning, implementation,
performance evaluation and actions for improvement of the IMS?
Has your organization provided mechanisms, time, training and resources necessary for
consultation and participation?
Has your organization provided timely access to clear, understandable and relevant
information about the IMS?
Has your organization determined and removed obstacles or barriers to participation and
minimize those that cannot be removed?
Has your organization emphasized the consultation of non-managerial workers on
determining the needs and expectations of interested parties? (see 4.2)
Has your organization emphasized the consultation of non-managerial workers on
establishing the QEHS policy? (see 5.2)
Has your organization emphasized the consultation of non-managerial workers on assigning
organizational roles, responsibilities and authorities, as applicable? (see 5.3)
Has your organization emphasized the consultation of non-managerial workers on
determining how to fulfil legal requirements and other requirements? (see 6.1.3)
Has your organization emphasized the consultation of non-managerial workers on
establishing QEHS objectives and planning to achieve them? (see 6.2)
Has your organization emphasized the consultation of non-managerial workers on
determining applicable controls for outsourcing, procurement and contractors? (see 8.1.4)
Has your organization emphasized the consultation of non-managerial workers on
determining what needs to be monitored, measured and evaluated? (see 9.1)
Has your organization emphasized the consultation of non-managerial workers on
establishing, implementing and maintaining an audit programme(s)? (see 9.2.2)
Has your organization emphasized the consultation of non-managerial workers on ensuring
continual improvement? (see 10.3)
Has your organization emphasized the participation non-managerial workers in determining
the mechanisms for their consultation and participation?
Has your organization emphasized the participation non-managerial workers in identifying
hazards and assessing risks and opportunities? (see 6.1.1 and 6.1.2)
Has your organization emphasized the participation non-managerial workers in determining
actions to eliminate hazards and reduce OH&S risks? (see 6.1.4)
Has your organization emphasized the participation non-managerial workers in determining
competence requirements, training needs, training and evaluating training? (see 7.2)
Has your organization emphasized the participation non-managerial workers in determining
what needs to be communicated and how this will be done? (see 7.4)
Has your organization emphasized the participation non-managerial workers in determining
control measures and their effective implementation and use? (see 8.1, 8.1.3 and 8.2)
Has your organization emphasized the participation non-managerial workers in
investigating incidents and nonconformities and determining corrective actions? (see 10.2)

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When planning for the scope of the IMS, has your organization determined the
environmental aspects of the activities, products and services that it controls and can
influence, and their associated environmental impacts when considering the product
lifecycle?
When determining applicable environmental aspects, has your organization taken into
account potential change, including planned or new developments, and new or modified
activities, products and services?
When determining applicable environmental aspects, has your organization taken into
account potential abnormal conditions and reasonably foreseeable emergency situations?

Has your organization communicated those aspects that may/pose a significant

environmental impact throughout the various levels and functions of our organization?
Does your organization maintain documented information regarding its environmental
aspects and associated impacts?
Does your organization maintain documented information regarding its significant
environmental aspects?

Has the organization established, implemented and maintained a process(es) for hazard
identification that is ongoing and proactive?

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Has your organization established, implemented and maintained a process(es) to
determine, and have access to up-to-date relevant compliance obligations related to its
environmental aspects and OHS hazards, risks and the IMS?
Has your organization determined how these compliance obligations and legal
requirements apply to your organization?
Has your organization take its compliance obligations, legal and other requirements into
account when establishing, implementing, maintaining and continually improving its IMS?
Does the organization maintain and retain documented information on its legal
requirements and other requirements and ensure that it is updated to reflect any changes?

Does your organization plan to take actions to address its compliance obligations and legal
requirements?

When planning its actions, does the organization consider best practices, technological
options and financial, operational and business requirements?

Has the organization established QEHS objectives at relevant functions and levels in order
to maintain and continually improve the IMS and QEHS performance (see 10.3)?

Are your organization’s QEHS objectives consistent with the QEHS policy (See 5.2)?

Are your organization’s QEHS objectives measurable (SMART), where practicable?

Do your organization's objectives take into account account applicable requirements?

Do your organization's objectives take into the results of the assessment of risks and
opportunities (see [Link] and [Link])?

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Do your organization's objectives take into the results of consultation with workers (see 5.4)
and, where they exist, workers’ representatives?

Are your organization’s QEHS objectives monitored?

Are your organization’s QEHS objectives communicated?

Are your organization’s QEHS objectives update as appropriate?

Are your organization’s QEHS objectives maintained as documented information (See 7.5)?

When planning how to achieve its QEHS objectives, has your organization determined what
will be done?
When planning how to achieve its QEHS objectives, has your organization determined what
resources will be required?
When planning how to achieve its objectives, Has your organization determine who will be
responsible?
When planning how to achieve its objectives, Has your organization determine when it will
be completed?
When planning how to achieve its objectives, Has your organization determine how the
results will be evaluated, including indicators for monitoring the progress of achievement of
objectives?
When planning how to achieve its objectives, Has your organization determine how the
actions to achieve QEHS objectives is integrated into the organization’s business
processes?
Has your organization maintain and retain documented information on the QEHS objectives
and plans to achieve them?

When your organization determines the need for changes to the IMS, are the changes
carried out in a planned manner (see 4.4).
Does your organization consider the purpose of the changes and their potential
consequences?
Does your organization consider and maintain the integrity of the IMS during the change
process?

Does your organization consider the availability of resources during the change process?
Does your organization consider the allocation or reallocation of responsibilities and
authorities during the change process?

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Does your organization consider the capabilities of, and constraints on existing internal
resources?

Does your organization determine and provide the staff necessary resources for the
effective implementation of its IMS and for the operation and control of its processes?

Does your organization plan, implement and control the processes (see 4.4) needed to
meet the requirements for the provision of products and services, and to implement the
actions determined in Clause 6 by determining, maintaining and retaining documented
information to the extent necessary to have confidence that the processes have been
carried out as planned?
Does your organization plan, implement and control the processes (see 4.4) needed to
meet the requirements for the provision of products and services, and to implement the
actions determined in Clause 6 by determining, maintaining and retaining documented
information to the extent necessary to demonstrate the conformity of products and services
to their requirements?

Does your organization control planned changes and review the consequences of
unintended changes, taking action to mitigate any adverse effects, as necessary?
Does your organization ensure that outsourced processes are controlled (see 8.4)?

Has the organization established, implemented, controlled and maintained the processes
needed to meet IMS requirements, and to implement the actions identified in Section 6.1?

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establishedcontrol
Has the organization implement operating criteria
of the for each
processes process?
in accordance with the operating
criteria?
Does the organization control planned changes and review the consequences of unintended
changes, and taking action to mitigate any adverse effects?

#
When non-conformities occur, including any arising from complaints, does your organization
makes changes to the IMS as necessary?

Does your organization ensure that corrective actions are appropriate to the effects of the
incident or nonconformity encountered?
Does your organization retain documented information as evidence of the nature of the
incident or nonconformity and any subsequent actions taken? (See 7.5.1b)
Does your organization retain documented information as evidence of the nature of the
results of any corrective action? (See 7.5.1b)

Does your organization communicate this documented information to relevant workers,

and, where they exist, workers’ representatives, and other relevant interested parties?
Does your organization continually improve the suitability, adequacy and effectiveness of
the IMS?
Does your organization consider the results of analysis and evaluation, and the outputs
from management review, to determine if there are needs or opportunities that can be
addressed as part of continual improvement?

Does your organization continually improve the suitability, adequacy and effectiveness of
the management system, by enhancing QEHS performance?

Does your organization continually improve the suitability, adequacy and effectiveness of
the management system, by promoting a culture that supports an IMS?
Does your organization continually improve the suitability, adequacy and effectiveness of
the management system, by promoting the participation of workers in implementing
actions for the continual improvement of the IMS?
Does your organization continually improve the suitability, adequacy and effectiveness of
the management system, by communicating the relevant results of continual improvement
to workers,
Does and, where they
your organization exist, workers’
continually improve representatives?
the suitability, adequacy and effectiveness of
the management system, by maintaining and retaining documented information as
evidence of continual improvement?

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Type of Non-
Main Clause Sub-clause
compliance

Minor NC
4. Context
Management Review MOM Minor NC
4. Context Strategic Action Plan
Stakeholders Engagement and
interface Management Plan
(Interested
Stakeholdersparties can be and
Engagement
documented in the
interface Management formPlan
of a Minor NC
4. Context map)
(Interested parties can be and
Stakeholders Engagement
documented in the formPlan
interface Management of a Minor NC
4. Context map)
(Interested parties can be
documented in the form of a Minor NC
4. Context map)

Minor NC
4. Context Stakeholder Table

Minor NC
4. Context

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Minor NC
4. Context

Minor NC
4. Context

Major NC
4. Context

Minor NC
4. Context

Major NC
4. Context

Major NC
5. Leadership

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Minor NC
5. Leadership

Major NC
5. Leadership

Minor NC
5. Leadership

Major NC
5. Leadership

Minor NC
5. Leadership

Major NC
5. Leadership

Minor NC
5. Leadership

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Minor NC
5. Leadership

#
Major NC
6. Planning

Major NC
6. Planning

Minor NC
6. Planning

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Minor NC
7. Support

Minor NC
7. Support

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Minor NC
7. Support

Minor NC
7. Support

Major NC
7. Support

Minor NC
7. Support

Major NC
7. Support

Major NC
7. Support
1- Employees Apraisal Minor NC
7. Support 2- Environmental Training Plan

Minor NC
7. Support
1- Jobs Descriptions Minor NC
7. Support 2- Training Records

Minor NC
7. Support

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Minor NC
7. Support

Minor NC
7. Support

8. Operation Emergancy Analysis reports Major NC

8. Operation Emergency Scenarios Drills Minor NC

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Firefighting Performance
Mangement Procedure
8. Operation Emergency Response Drills Major NC

8. Operation Minor NC

8. Operation Minor NC
8. Operation Major NC

8. Operation Major NC

8. Operation Minor NC

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#REF!
Err:508
#REF!
Err:508

Err:508
Err:508
Err:508
Err:508
Err:508
Err:508
Err:508
Err:508

Err:508
#REF!
Err:508

Err:508
Err:508
Err:508
Err:508
Err:508

Err:508
Err:508
Err:508
#REF!
Err:508
Err:508

Err:508
Err:508
Err:508

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Err:508
#REF!
Err:508

Err:508
Err:508
Err:508
Err:508
#REF!
Err:508
Err:508

8. Operation Minor NC
8. Operation Minor NC
8. Operation Minor NC

8. Operation Minor NC

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8. Operation Minor NC
8. Operation Minor NC
8. Operation Major NC
8. Operation Minor NC
8. Operation Minor NC

8. Operation Minor NC

8. Operation Minor NC
8. Operation Minor NC

8. Operation Minor NC

8. Operation Major NC

8. Operation Minor NC

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8. Operation Minor NC

8. Operation Minor NC

8. Operation Minor NC
8. Operation Minor NC

8. Operation Minor NC

9. Evaluation Minor NC
9. Evaluation Minor NC

9. Evaluation Minor NC

9. Evaluation Minor NC
9. Evaluation Minor NC

9. Evaluation Minor NC

9. Evaluation Minor NC
9. Evaluation Minor NC

9. Evaluation Minor NC

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9. Evaluation Major NC
9. Evaluation Major NC
9. Evaluation Major NC
9. Evaluation Major NC
9. Evaluation Major NC

9. Evaluation Minor NC

9. Evaluation Major NC

9. Evaluation Minor NC

9. Evaluation Major NC

9. Evaluation Major NC
9. Evaluation Major NC
9. Evaluation Major NC

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9. Evaluation Major NC

9. Evaluation Major NC

9. Evaluation Major NC
9. Evaluation Major NC

9. Evaluation Major NC

9. Evaluation Major NC
9. Evaluation Major NC

9. Evaluation Major NC

9. Evaluation Major NC
9. Evaluation Major NC

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9. Evaluation Major NC
9. Evaluation Major NC

9. Evaluation Major NC

10. Improvement Major NC

10. Improvement Minor NC

10. Improvement Major NC

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10. Improvement Major NC

10. Improvement Major NC

10. Improvement Minor NC

10. Improvement Major NC

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Root Cause

Inadequate
Organizational Context

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Inadequate
Organizational Context

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Inadequate Planning

Inadequate Planning

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Inadequate Planning

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Inadequate Support

Inadequate Support

Inadequate Quality
Planning and Control

Inadequate Quality
Planning and Control
Inadequate Quality
Planning and Control

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Inadequate
Environmental Planning
and Control

Inadequate
Environmental Planning
and Control

Inadequate Operational
Planning and Control

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Inadequate Emergency
Preparedness and
Response
Inadequate Emergency
Preparedness and
Response

Inadequately
Determined Product
and Services
Requirements

Inadequate Review of
Product and Services
Requirements

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Inadequate Review of
Product and Services
Requirements

Inadequate Control of
Production and Service
Provision

Inadequate Design and

Development Review

Inadequate
Documented
Information

Inadequate Design and

Development Input

Inadequate Design and

Lack of Documented
Information

Inadequate Evaluation

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Inadequate Evaluation
Inadequate Evaluation
Inadequate Evaluation

Inadequate Evaluation

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Inadequate Evaluation

Inadequate Evaluation

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Lack of Continual
Improvement of QEHS
System

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Lack of Continual
Improvement of QEHS
System

Lack of Continual
Improvement of QEHS
System

Lack of Continual
Improvement of QEHS
System
Lack of Continual
Improvement of QEHS
System

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Corrective Action and Preventive Action

Organization must monitor and review information about these external and internal
issues?

Organization must determined the interested parties and workers that are relevant to
the QEHS management system

#
When determining the risks and opportunities for the QEHS management system and
its intended outcomes that need to be addressed, the organization must take into
account legal requirements and other requirements (see 6.1.3)

providers and contractors

Organization must plan, implement, control and maintain the processes needed to
meet requirements of the QEHS management system, and to implement the actions
determined in Clause 6, by establishing criteria for the processes

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Organization must establish a planned response to emergency situations, including the
provision of first aid
Organization must provide training for the planned response

When determining the requirements for the products and services to be offered to
customers, the organization must ensure that the requirements for the products and
services are defined, including those considered necessary by your organization

Organization must conduct a review before committing to supply products and services
to a customer, including requirements specified by the customer, including the
requirements for delivery and post-delivery activities

Organization must conduct a review before committing to supply products and services
to a customer, including requirements specified by your organization

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Customer’s requirements must be confirmed by your organization before acceptance,
when the customer does not provide a documented statement of their requirements

Organization must ensure that the relevant documented information is amended and
the relevant persons are made aware of the changed requirements, when the
requirements for the products and services are changed

In determining the stages and controls for design and development, the organization
must take into consideration the required process stages including design and
development reviews

In determining the stages and controls for design and development, the organization
must take into consideration the documented information needed to demonstrate that
design and development requirement have been met

The organization must consider functional and performance requirements

The organization must ensure that the inputs are adequate for design and development
purpose, complete and unambiguous

The organization must conduct the verification to ensure that design and development
meet input requirements

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The organization must ensure that design and development outputs are adequate for
the subsequent processes for provision of product and services

The organization must ensure that the externally provided process remain within the
control
The of its QMS must define the controls to be applied to external provider and its
organization
resulting outputs

The organization must communicate to the external providers its requirements for the
approval of the product and services; methods, processes and equipment; the release
of product and services

The organization must communicate to the external providers its requirements for
control and monitoring of the external providers’ performance to be applied by the
organization

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Ensure suitable monitoring and measuring resources available and are used

The organization must implemented any release, delivery and post-delivery activities

Ensure the status of outputs with respect to monitoring and measuring requirements
throughout the production and service provision being identified by the organization

The organization must retain the documented information necessary to enable

traceability, when traceability is a requirement

The organization must ensure that the release of product and service proceed only
after the planned arrangement is satisfactorily completed or approved by relevant
authority and as applicable by the customer

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The organization must also consider nonconforming product and services detected
after delivery of products, during and after provision of services

The organization must retain documented information that describes the

nonconformity; describes the actions taken; describes any concession obtained;
identifies the authority deciding the action in respect of the nonconformity

The organization must determine what needs to be monitored and measured

The organization must determine the criteria against which the organization evaluates
its environmental performance and appropriate indicators and the criteria against
which the organization will evaluate its OH&S performance

The organization must ensure that calibrated or verified monitoring and measurement
equipment is used and maintained as required

Organization must monitor customers’ perceptions of the degree to which their needs
and expectations have been fulfilled

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Organization must establish, implement and maintain processes to evaluate the
fulfilment of its compliance obligations and to establish compliance with legal and other
requirements
Organization must determine the frequency that compliance is evaluated
Organization must evaluate compliance and take action where required

Does your organization ensure that the results of analysis are used to evaluate the
degree of customer satisfaction?

Does your organization ensure that the results of analysis are used to evaluate the
need for improvements to the QEHS management system?

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Does Top management review your organization’s QEHS management system, at
planned intervals, to ensure its continuing suitability, adequacy, effectiveness and
alignment with the strategic direction of your organization?
Ensure management review is planned and carried out taking into consideration the
status of actions from previous management reviews
Ensure management review is planned and carried out taking into consideration
changes in external and internal issues that are relevant to the QEHS management
system? Including:

1. Changes in external and internal issues;

2. Changes in the needs and expectation of interested parties, compliance with
obligations and legal requirements;
3. Changes in its significant environmental aspects;
4. The effectiveness of actions taken to address risks and opportunities.

#
High
HSE Manager 31-May -1568 Open

High
HSE Manager 31-May -1568 Open

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High
HSE Manager 31-May Closed

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#
High
HSE Manager 31-May Closed

High
HSE Manager 31-May -1568 Open

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#
High
HSE Manager 31-May -1568 Open

High
HSE Manager 31-May -1568 Open

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#
High
HSE Manager 31-May -1568 Open

#
High
HSE Manager 31-May -1568 Open

High
HSE Manager 31-May -1568 Open

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#
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High
HSE Manager 31-May -1568 Open
High
HSE Manager 31-May -1568 Open

High
HSE Manager 31-May -1568 Open

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#
High
HSE Manager 31-May -1568 Open

High
HSE Manager 31-May -1568 Open

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#
High
HSE Manager 31-May -1568 Open

HSE Manager 31-May -1568 High Open

High
HSE Manager 31-May -1568 Open

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#
High
HSE Manager 31-May -1568 Open

High
HSE Manager 31-May -1568 Open

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I S O I M S AU D

No. Audit Questions ISO IMS Compliance

433
55% 58% 74%
45%
No. Compliant t t
se ex ip g
or

155 sh in
lau t r n p
C on e lan up
n C ad .P
S
ai 4 .
L e
6 7.
M
5.

No. Major NC

115
Data Column C

ISO IMS Compliance, NC a

163
No. Minor NC
0
22
0
4 13 0
8
0 22
7 45 49
20 28
2 5
se t p g t
ex sh
i in or
au
0
l t r n p
No. OFI C on e la
n up
n C ad .P
S
ai 4 .
L e
6 7.
M
5.

Data Column C Column D

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I S O I M S AU D I T & C O M P L I A N C E D A S H B O A R D

ISO IMS Compliance

55% 58% 74% 65% 43%

6%
p ng rt n n t
hi ni po io tio en
rs at a
la
n up r
al
u em
P S pe ov
6 . 7. . O Ev p r
8 9. m
.I
10

Data Column C

ISO IMS Compliance, NC and OFIs

0
22
0 42
22
0
4 13 0
8 0
22 64 30
45 49 0
28 17 22
5 7 4
0
p g t n n t
h i in or tio tio en
rs n p a a
la
n up r
al
u em
S pe ov
6 .P 7. . O Ev r
p
8 9. Im
.
10

Data Column C Column D Column E

D A S H B O A R D

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S H B O A R D

This shape represents a slicer.

Audit Score Slicers are supported in Excel 2010
or later. Total High Priority

If the shape was modified in an

earlier version of Excel, or if the
workbook was saved in Excel 2003
or earlier, the slicer cannot be used.

59%

Summary of Non Conformities Raised

Summary of Observations Raised

Summary of OFI Raised

Noteworthy Efforts

Comments of Auditee:

The attached NCR’s and observations are all noted and their content, basic cause and corrective/preventative action agreed with.

Signed__________________________________________ Auditee

(Signature confirms acceptance of findings raised and that results of the audits have been brought to the attention of all personnel having
responsibility in the area involved)

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# C
COMPANY LOGO AUDIT REPORT REV:

Signed :_________________________________________ Auditor

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# C
COMPANY LOGO AUDIT REPORT REV:

Audit Number:

Department

nce, etc)

ause and corrective/preventative action agreed with.

udits have been brought to the attention of all personnel having

ea involved)

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# C
COMPANY LOGO AUDIT REPORT REV:

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# C
Data
Main Clause Sum of CompSum of MinoSum of MajoSum of OFI 140
4. Context 2 20 7 0
5. Leadership 5 45 4 0
120
6. Planning 49 13 22 0
7. Support 28 22 8 0
8. Operation 64 42 22 0 100

9. Evaluation 7 17 30 0
10. Improvement 0 4 22 0 80
Total Result 155 163 115 0
60

0
7
20
20

0 2
Main Clause 4. Context

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ISO IMS Compliance Status

0 42

13 0
0
4 8 0

22 30
64
0 45
7 49 0

28 17 22
20

2 5 7 4
0
lause 4. Context 5. Leadership 6. Planning 7. Support 8. Operation 9. Evaluation 10. Improvement

Data Column C Column D Column E

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#
This shape represents a slicer. Slicers
are supported in Excel 2010 or later.

If the shape was modified in an

earlier version of Excel, or if the
workbook was saved in Excel 2003
or earlier, the slicer cannot be used.

4
0
10. Improvement

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Thematic Area
4.1 Organizational Context
4.2 Relevant Interested Parties
4.3 Management System Scope
6.2.2 Objectives & Planning to Achieve Them
7.2 Competence
7.3 Awareness
7.4.2 Internal communication
7.4.3 External communication
7.5.3 Documented Information - Control
[Link] Procurement - General
9.1.1 Monitoring, Measurement, Analysis and Evaluation - General
5.1.1 General
5.1.2 Customer Focus
5.2.1 Developing the Policy
5.2.2 Communicating the Policy
5.3 Roles, Responsibilities and Authority
5.4. Consultation and Participation
6.1.1 Action to Address Risk and Opportunities
6.1.2a Environmental Aspects
6.1.2b.1 Hazard Identification
6.1.2b.2 Assessment of OH&S risks and Other Risks
6.1.2b.3 Assessment of OH&S Opportunities and Other Opportunities
6.1.3 Determining Legal Requirements
6.1.4 Planning Actions
6.2.1 QEHS Objectives
6.2.2 Planning for Change
7.1.1 General
7.1.2 People
7.1.3 Infrastructure
7.1.4 Environment for the Operation of Processes
[Link] General
[Link] Measurement Traceability
7.1.6 Organizational knowledge
7.4.1 Communcation - General
7.5.2 Creating and Updating
8.1a Quality Planning & Control
8.1b Environmental Planning & Control
8.1.2 Operation - Eliminating Hazards and Reducing OH&S Risks
8.1.3 Operation - Management of Change
[Link] Procurement - Contractors
[Link] Procurement - Outsourcing
8.2a Emergency Preparedness & Response
8.2b.1 Customer communication

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8.2b.2 Determining the requirements for products and services
8.2b.3 Review of the requirements for products and services
8.2b.4 Changes to requirements for products and services
8.3.1 General
8.3.2 Design and development planning
8.3.3 Design and Development inputs
8.3.4 Design and development controls
8.3.5 Design and Development outputs
8.3.6 Design and Development changes
8.4.1 General
8.4.2 Type and extent of control
8.4.3 Information for external providers
8.5.1 Control of production and service provision
8.5.2 Identification and traceability
8.5.3 Property belonging to customers or external providers
8.5.4 Preservation
8.5.5 Post-delivery activities
8.5.6 Control of change
8.6 Release of products and services
8.7 Control of nonconforming outputs
9.1.2a Customer Satisfaction
9.1.2b Monitoring, Measurement, Analysis and Evaluation - Evaluation of Complian
9.1.3 Analysis & Evaluation
9.2.1 Performance Evaluation - Internal Audit - General
9.2.2 Performance Evaluation - Internal Audit Programme
9.3 Performance Evaluation - Management Review
10.1 Improvement - General
10.2 Improvement - Incident, Nonconformity and Corrective Action
10.3 Continual Improvement
4.4 QEHS Management System
7.5.1 Documented Information
8.1.1 OH&S Operational Planning & Control
Total Result

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#
Average of % Compliance This shape represents a slicer.
50% Slicers are supported in Excel
50% 2010 or later.
50%
If the shape was modified in an
0% earlier version of Excel, or if the
30% workbook was saved in Excel
44% 2003 or earlier, the slicer cannot
50% be used.
100%
94%
0%
50%
46%
83%
50%
50%
50%
50%
100%
57%
97%
100%
100%
0%
79%
0%
50%
83%
50%
100%
50%
88%
64%
100%
50%
100%
65%
38%
0%
0%
100%
67%
53%
100%

_x000D_ LIMITED SHARING

#
100%
100%
100%

100%
50%
100%
61%
50%
100%
0%
100%
67%
100%
50%
100%
0%
19%
100%
33%
0%
0%
11%
7%
31%
100%
58%
59%

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#
Action Status Count of Action Status
Closed 4
Open 85
(empty)
Total Result 89

4
Closed

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#
Action Open vs Closed

89
85

4
Closed Open (empty) Total Result

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#
This shape represents a slicer.
Slicers are supported in Excel
2010 or later.

If the shape was modified in an

earlier version of Excel, or if the
workbook was saved in Excel
2003 or earlier, the slicer cannot
be used.

_x000D_ LIMITED SHARING

IMS ISO Auditing Tool
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