ISO Check List

ISO 19011
Enter basic details
Audit programme manager details
Audit programme manager first name
Audit programme manager second name

Auditee details
Name of auditee
Auditee additional details

Audit details
Management system
ISO standard
Scheduled audit start date
Date will be set here
Additional comments
Managing the audit (programme preparation):
Establish competence of audit programme managers
Audit programme managers should have complete knowledge of:
 1
Audit processes, policies, and procedures
 2
Relevant management system standards
 3
All documented information about the auditee and its context
 4
Any additional regulatory requirements
Establish context of the audit programme
In order to understand the context of the auditee, the audit programme should take into account
the auditee’s:
 1
Organizational objectives
 2
Relevant external and internal issues
 3
The needs and expectations of relevant interested parties
 4
Information security and confidentiality requirements

The audit programme should include information about and identify resources to enable the
audits to be conducted effectively and efficiently within the specified time frames.
The information should include:
 1
Objectives for the audit programme
 2
Risks and opportunities associated with the audit programme (see 5.3) and the actions to
address them
 3
Scope (extent, boundaries, locations) of each audit within the audit programme
 4
Schedule (number/duration/frequency) of the audits
 5
Audit types, such as internal or external
 6
Audit criteria
 7
Audit methods to be employed
 8
Criteria for selecting audit team members
 9
Relevant documented information

Some of this information may not be available until more detailed audit planning is complete.
Record the context of the audit programme in the form field below.
Audit programme context

Establish objectives of the audit programme
The auditee must make sure that audit programme objectives are established to allow for
planning and conducting of the audit to take place.
These objectives should be consistent with the auditee's broader business goals and support their
primary management system strategies and objectives.
Audit programme objectives might be based on:
 1
Specific process and policy requirements
 2
Expectations and requirements of customers
 3
Specific management system requirements (e.g. ISO 9001)
 4
External stakeholder evaluation
 5
KPIs
 6
Conformities and nonconformities in the organization
 7
Risks and opportunities
 8
Results of previous audits

Some examples of how the final objectives might look:
 Gain evidence to assure confidence in an external provider/partner

 Conform to all outstanding regulatory requirements
 Evaluate the ability of the organization to determine relevant risks and opportunities
 Evaluate the organization's ability to understand its own context
 Identify opportunities for continuous improvement in the quality management system
Outline the audit programme objectives in the form field below.
Audit programme objectives

Determine risks and opportunities of the audit programme
Risks and opportunities relating to the context of the auditee can be effectively identified with an
audit programme.
Audit programme managers should identify the risks and opportunities present when
considering the full scope of the audit programme.
Risks and opportunities might be associated with:
 Planning
 Resources
 Selection of the audit team
 Internal communication and information security
 Audit implementation
 Control of documented information
 Monitoring and reviewing the audit programme
 Auditee cooperation
 Availability of evidence
Audit programme risks
Suggested actions for programme risks
Audit programme opportunities

Suggested actions for programme opportunities
Establish extent of the audit programme
This task will depend on information provided by the auditee regarding its context.
For the purpose of this checklist, "extent" of the audit programme refers to simply the number of
individual audits and additional audit activities that will need to be carried out.
Using the information provided to you by the auditee, establish the scope of the audit
programme using the form field below.
Extent of audit programme

Establish audit programme resources
Determine the resources to be allocated for the audit programme.
When determining resource allocation, consider the following:
 1
Audit methods at your disposal
 2
Time available
 3
Finances available
 4
Availability of competent auditors and other relevant technical experts
 5
Risks and opportunities of the audit programme
 6
Full accommodation of auditing needs, including travel costs, time, etc.
 7
Time zones
 8
Methods of communication between everyone involved
 9
Tools, tech, and equipment required
 10
Availability of required documented information
 11
On-site requirements e.g. clearances, special equipment, expert guidance, etc.

Prepare a resource allocation plan using the form field belw
Audit programme resources

Prepare all documented information so far
It's important to maintain clear communication with the auditee throughout the audit.
As such, the audit programme manager should prepare all documented information so far, in
preparation for sharing the complete audit programme planning with the auditee.
The documented information may not be complete at this point; further approvals will be needed
once more information has been documented.
Use the form fields in this task to record and/or upload documented information relevant to
the audit programme so far.
Audit programme documented information (incomplete)

File will be uploaded here
Audit programme documented information (incomplete - additional)

Communicate the audit programme so far with auditee
Using everything you've prepared so far, communicate the audit programme with the auditee.
That's as simple as sending an email using the email widget below. All of the relevant
information has already been attached using form fields you've already filled in.
Ensure relevant duties have been fulfilled so far

Audit programme managers should ensure the following responsibilities are properly
fulfilled:
 1
Establish the extent of the audit programme (in-line with programme objectives)
 2
Ensure audit teams are adequately selected
 3
Clarify all relevant processes
 4
Determine and provision resources
 5
Prepare all documented information
 6
Clearly communicate the audit programme objectives and documentation thus far to the
auditee
Finally, the audit programme manager should make sure that the audit programme so far is
approved by the auditee.
 1
Audit approved by auditee

Managing the audit (individual audit preparation):
Ensure individuals planning the audit are prepared
Now that the basis for the audit programme has been established, you need to make sure all
individuals involved with the planning of the audit are adequately informed and prepared.
This basically involves making sure the following information is clearly communicated and
easily available to all members of audit programme manageme
 1
 2
All documented information so far
 3
Scope, objectives, and individual audit criteria
 4
Selected audit methods
 5
Scheduling of all audit-related activities
 6
Audit team competence
 7
Individual and overall resources
 8
Documentation procedures for evidence collecting (and all audit activity)
 9
Operational controls for audit programme monitoring

Establish objectives of the individual audit
You've already established the criteria for the audit programme; you also need to establish
objectives of the individual audit.
Individual audit objectives will be consistent with the overall audit programme objectives,
including the following (as an example):
 1
Extent of the management system to be audited
 2
The management system's capacity to help the organization to meet relevant regulatory
requirements
 3
Effectiveness of the management system in producing its intended results
 4
Opportunities for management system improvements
 5
Suitability of the management system with respect to overall strategic context and
business objectives of the auditee
Individual audit objectives

Define scope of the individual audit
Audit scope, shall be consistent with the audit programme and audit objectives.
Consider the following factors, and define the audit scope in the form field below:
 1
Audit location
 2
Audit function
 3
Audit activities
 4
Processes to be audited
 5
Audit time-frame
Individual audit scope

Define criteria of the individual audit
For individual audits, criteria should be defined to be used as a reference against which
conformity will be determined.
Individual audit criteria might include:
 1
Relevant policies
 2
Processes and standard operating proceudures
 3
Performance objectives and KPIs
 4
Statutory and other relevant regulatory requirements
 5
Management system requirements (e.g. other ISO standards)
 6
Risks and opportunities as determined by the auditee
 7
Internal codes of conduct

Record individual audit criteria in the form field below:
Individual audit criteria

Determine individual audit methods
Audit program managers should select the specific methods to be used during the process of the
audit.
Methods will depend on the established audit objectives, scope, and criteria.
Record the audit methods in the drop-down field below.
Individual audit method
Audit method notes

Assign audit team members
Audit programme managers should assign audit team members.
When deciding on your audit team, consider the following:
 1
Overall competence required by the audit team
 2
Audit complexity
 3
Combined or joint audit?
 4
Audit methods
 5
Ability of the audit team to work and interact effectively with the auditee
 6
Relevant internal and external issues (e.g. auditee language barriers)
 7
Type and complexity of processes to be audited (do they require specialized knowledge?)
Use the members fields below to assign audit team members.
Audit team member #1 full name

Should you require fewer or more audit team members, edit this template to your requirements.
Assign audit team leader
Audit programme managers should be responsible for assigning the audit team leader.
This should be done well ahead of the scheduled date of the audit, to be sure that planning can
take place in a timely manner.
A dynamic due date has been set for this task, for one month before the scheduled start date of
the audit.
Use the form fields below to record the details of the lead auditor.
Lead auditor first name
Lead auditor second name
Additional lead auditor details

Ensure audit programme results are properly managed
Audit programme managers should make sure proper preparations are made and that tools are
in place for proper management of audit programme results.
That includes procedures for:
 1
Evaluating the achievement of objectives of individual audits within the audit programme
 2
Review and approval of audit reports
 3
Distribution of and access to audit reports
 4
Review of actions taken in response to audit findings
 5
Determining whether or not follow-up audits are necessary

Ensure audit programme records are properly maintained
Audit programme managers should make sure all audit information is properly documented.
This is to be sure that the implementation of the audit programme can be adequately
demonstrated.
That means processes for record maintenance will need to be established.
Records for the audit programme might include the following:
 1
Scheduling of audit activities
 2
Programme scope and objectives
 3
 4
Internal and external issues
 5
Effectiveness of the audit programme
Records for individual audits might include:
 1
Plans for the individual audit activities
 2
Evidence and findings
 3
Conformity and nonconformity reports
 4
Corrective action reports
 5
Follow-up reports
 6
Other relevant reports

Ensure audit programme monitoring is in place
Audit programme managers should also make sure that tools and systems are in place to
ensure adequate monitoring of the audit programme and all relevant activities.
Relevant activities to be monitored might include any of the following:
 1
Timeliness of the audit (whether deadlines and schedules are being met)
 2
Performance of the audit team members (including lead auditor)
 3
Successful implementation of audit plans
 4
Feedback from auditee and other relevant parties
 5
Documentation of audit activities

Managing the audit (programme review):
Review the audit programme so far
Both the auditee and the audit programme manager should be responsible for reviewing the
audit programme (including details of the individual audit(s) so far, to assess whether its
objectives have been achieved.
Audit programme
Basic information
Audit programme manager: {{form.Audit_programme_manager_first_name}}
{{form.Audit_programme_manager_second_name}}
Management system type: {{form.Management_system}}

ISO standard: {{form.ISO_standard}}
Audit programme context

{{form.Audit_programme_context}}
Objectives of the audit programme

{{form.Audit_programme_objectives}}
Risks and opportunities of the audit programme

Audit programme risks: {{form.Audit_programme_risks}}
Suggested actions for programme risks: {{form.Suggested_actions_for_programme_risks}}
Audit programme opportunities: {{form.Audit_programme_opportunities}}
Suggested actions for programme opportunities:

{{form.Suggested_actions_for_programme_opportunities}}
Extent of the audit programme

{{form.Extent_of_audit_programme}}
Audit programme resources

{{form.Audit_programme_resources}}
Documented information
Documented audit programme information so far:
{{form.Audit_programme_documented_information_(incomplete)}}
Additional documented information:

{{form.Audit_programme_documented_information_(incomplete_-_additional)}}
Individual audit
{{form.Individual_audit_objectives}}

{{form.Individual_audit_scope}}

{{form.Individual_audit_criteria}}
Individual audit methods

Method: {{form.Individual_audit_method}}
Method notes: {{form.Audit_method_notes}}
Individual audit team

Lead auditor: {{form.Lead_auditor_first_name}} {{form.Lead_auditor_second_name}}
Audit team member: {{form.Audit_team_member_#1_full_name}}
Using the information above, both audit programme manager and auditee should assess the
following:
 1
How both audit programme and individual audit have been implemented
 2
Opportunities for improvement
 3
Changes that might be required
 4
Competence of the audit team

Ultimately, an audit programme review should be written, with consideration of the
following:
 1
Results of audit programme monitoring
 2
How the programme conforms with documented processes and procedures
 3
The needs and expectations of the auditee and other relevant interested parties
 4
Alternative auditing methods
 5
Alternative auditor evaluation methods
 6
How risks and opportunities are being addressed
 7
Information security issues

Audit programme review
Audit process (initiating the audit):
Establish contact with the auditee
The lead auditor should make contact with the auditee and ensure the following:
 1
Basic introduction and clear outline of lead auditor roles and responsibilities
 2
Clarify the methods of communication
 3
Permission has been granted to proceed with the audit
 4
The auditee understands the audit programme so far
 5
Relevant information is accessible to all parties involved with the audit
 6
Request access to additional relevant information
 7
Determine if there are any additional regulatory requirements that will impact audit
activities
 8
Confirm information security policies
 9
Confirm audit scheduling
 10
Location-specific arrangements are made
 11
Auditee understands requirements for additional observers/guides etc.
 12
Risk areas of note are communicated
 13
Outstanding issues are resolved

Any scheduling of audit activities should be made well in advance.
For example, the dates of the opening and closing meetings should be provisionally declared for
planning purposes.
Date of opening meeting
Determine feasibility of individual audit objectives
The point of this task is to make sure there can be a reasonable determination that the individual
audit objectives can be successfully achieved.
Using information available so far, determine whether the following factors are true:
 1
The audit team has sufficient information to adequately plan for the individual audit
 2
There is adequate cooperation with the auditee
 3
There is adequate time to complete the audit objectives
 4
There is adequate resources to complete the audit objectives

Is the individual audit feasible?
(Conditional) Propose alternative audit approach
If the individual audit objectives cannot be feasibly achieved, a viable alternative should be
proposed.
This will need to be confirmed by the audit client
Alternative individual audit approach
 1
Alternative approach confirmed by auditee

Audit process (preparing to conduct the audit):
Review documented information
The lead auditor should obtain and review all documentation of the auditee's management
system.
This will help to prepare for individual audit activities, and will serve as a high-level overview
from which the lead auditor will be able to better identify and understand areas of concern or
nonconformity.
Documented information is an umbrella term that could refer to:
 Processes (either recorded on paper or with software)

 Management system documents and records
 Previous audit reports
The above list is by no means exhaustive. The lead auditor should also take into account
individual audit scope, objectives, and criteria.
Reference material, such as individual ISO standards, will be useful at this point.
Using the form-fields below, record any issues of nonconformities observed.
Issue(s) with documented information?

(Conditional) Resolve documented information issue(s)
Using the form field below, describe the issue(s) with documented information so far, and
the steps taken to resolve the issue(s).
Issue(s) with documented information
How were documented information issue(s) resolved?

Prepare an audit plan
The lead auditor should prepare an audit plan for the individual audit.
This plan should involve the following components and considerations:
 1
Roles and responsibilities of each audit team member
 2
Risk-based approach to audit planning
 3
Scheduling and coordination of audit activities
 4
Scope and complexity of the audit
 5
Sampling techniques for collecting evidence
 6
 7
Risks of inadequate planning
 8
Impact of the audit on auditee activities

Additional factors to consider include:
 1
Auditee language (and additional communication barriers)
 2
Logistics of the audit
 3
Actions taken in response to risk assessments
 4
Consideration of information security protocol
 5
Follow-up actions from previous audits
 6
Anticipated follow-up actions associated with this audit
 7
Requirements of a joint audit

Using the form field below, upload the plan for the individual audit.
Individual audit plan

Will guides and/or observers be required?
Necessary to establish a formal communication protocol?

Assign work to audit team
The lead auditor should assign work to the audit team.
Work to be assigned should be outlined in the audit plan.
You can use Process Street's task assignment feature to assign specific tasks in this checklist to
individual members of your audit team.
Prepare documented information for audit
The audit team should collect and review relevant information for their individual audit task
assignmentsand prepare any documented information that will be required for conducting the
audit.
Such information might include (but shouldn't be limited to):
 1
Paper documents outlining policies and procedures
 2
Digital records of policies and procedures
 3
Digital checklists
 4
Details and instructions for audit sampling methods
 5
Supplementary audio-visual information

Documented information collected during the audit may include proprietary information, and as
such should be treated with due care and suitable safeguarding by all audit team members, at all
times.
Audit process (conducting the audit):
(Conditional) Assign audit guides and/or observers
It may be necessary for additional observers or guides of some sort to accompany the audit team.
This will of course depend on the context of the individual audit.
Whatever the case, they should not influence or interfere with the main audit process.
The lead auditor reserves the right to deny access to any observers and/or guides from audit
activities, if and when they deem appropriate.
Record details of audit guides/observers using the form fields of this task.
Audit guide first name
Audit guide second name
Audit guide notes
Audit observer first name
Audit observer second name
Audit observer notes

Conduct an opening meeting
An opening meeting between the auditee and all relevant parties should be held.
It's advised that the opening meeting should be led by the lead auditor.
The scheduling for this meeting should have already been determined earlier in the checklist.
During the opening meeting, confirm the following with all relevant parties:
 1
Audit programme plans
 2
 3
 4
 5
Individual audit plans
 6
Roles and responsibilities of the audit team
 7
That all planned activities can be performed, and proper authorization is acquired
 8
Language of the audit
 9
Information security protocol
 10
Relevant access and arrangements for the audit team
 11
Notable on-site activities that could impact audit process

Typically, such an opening meeting will involve the auditee's management, as well as crucial
actors or specialists in relation to processes and procedures to be audited.
This meeting is a great opportunity to ask any questions about the audit process and generally
clear the air of uncertainties or reservations.
Depending on the size and scope of the audit (and as such the organization being audited) the
opening meeting might be as simple as announcing that the audit is starting, with a simple
explanation of the nature of the audit.
Familiarity of the auditee with the audit process is also an important factor in determining how
extensive the opening meeting should be.
During the opening meeting, the following items should be clearly communicated:
 1
Methods for reporting and communicating audit progress
 2
Conditions of audit termination
 3
Procedures for dealing with audit findings during the audit
 4
Procedures for receiving feedback from the auditee in response to findings during the
audit
(Conditional) Establish formal communication protocol
It may be necessary to establish a formal communication protocol.
Such a protocol can be useful for communication within the audit team, as well as with the
auditee, and other relevant interested parties.
For example, certain language barriers may hinder communication, or specific channels of
communication may be required to facilitate seamless audit conduct.
As well, certain regulatory requirements may specify that a formal communication protocol be
followed.
Using the form field below, establish the formal communication protocol.
Formal communication protocol

Ensure relevant audit information is accessible
Where, when, and how information is accessible is a crucial factor during the audit.
It's important to make clear where all relevant interested parties can find important audit
information.
Make sure important information is readily accessible by recording the location in the form
fields of this task.
You may want to consider uploading important information to a secure central repository (URL)
that can be easily shared to relevant interested parties.
Audits can store important information both physically and/or virtually.
Location of relevant audit information

Collect and record audit evidence
Evidence should be collected that is relevant to the management system requirements,

audit objectives, audit scope, and audit criteria.
Appropriate sampling methods should be used when collecting audit evidence.
Audit evidence should be verifiable, and auditors should apply professional, rational judgement
to determine whether or not proposed audit evidence is in fact reliable.
Below is a useful diagram showing how a source of information can lead to an audit conclusion,
by way of evidence collection and evaluation against audit criteria.
Source:
https://www.sciencedirect.com/topics/computer-science/audit-standard
Methods of collecting information include, but are not limited to:
 Interviews with workers and other relevant interested parties

 Auditor observations
 Review of documented information
Record audit evidence using the form fields below.
You may wish to edit the form fields to suit your audit programme and/or audit compliance
requirements for collecting and recording evidence.
Audit evidence
Audit evidence (.PDF)
Evaluate audit evidence against audit criteria
Audit evidence should be evaluated against the audit criteria in order to determine audit findings.
Audit findings can indicate conformity or nonconformity with audit criteria. When specified by
the audit plan, individual audit findings should include conformity and good practices along with
their supporting evidence, opportunities for improvement, and any recommendations to the
auditee.
Nonconformities and their supporting audit evidence should be recorded.
Nonconformities can be graded depending on the context of the organization and its risks. This
grading can be quantitative (e.g. 1 to 5) and qualitative (e.g. minor, major).
They should be reviewed with the auditee in order to obtain acknowledgement that the audit
evidence is accurate and that the nonconformities are understood.
Every attempt should be made to resolve any diverging opinions concerning the audit evidence
or findings. Unresolved issues should be recorded in the audit report.
The audit team should meet as needed to review the audit findings at appropriate stages during
the audit.
NOTE 1 Additional guidance on the identification and evaluation of audit findings is given in
A.18.
NOTE 2 Conformity or nonconformity with audit criteria related to statutory or regulatory

requirements or other requirements, is sometimes referred to as compliance or non-compliance.
The form fields below are simple suggestions for how you might generate audit findings. You
may wish to edit them to better suit your individual audit requirements.
Conformities
Conformity #1
Conformity #1 supporting evidence
Conformity #2

Conformity #3
Nonconformities
Nonconformity #1
Nonconformity #1 supporting evidence
Quality of nonconformity #1
 1
Nonconformity #1 is communicated to and understood by the auditee
Nonconformity #2
 1
Nonconformity #3
 1
Additional recommendations
Unresolved issues
Audit process (concluding the audit):
Prepare audit report
Audit reports should be issued within 24 hours of the audit to ensure the auditee is given
opportunity to take corrective action in a timely, thorough fashion
If the report is issued several weeks after the audit, it will typically be lumped onto the "to-do"
pile, and much of the momentum of the audit, including discussions of findings and feedback
from the auditor, will have faded.
The lead auditor should prepare the audit report.
This task has been assigned a dynamic due date set to 24 hours after the audit evidence has been
evaluated against criteria.
The audit report is the final record of the audit; the high-level document that clearly outlines a
complete, concise, clear record of everything of note that happened during the audit.
Use the sub-checklist below to check off important items included within the audit report:
 1
 2
 3
 4
 5
An overview of the auditee & their context
 6
 7
Key dates and locations of the audit
 8
Complete audit findings and corresponding evidence
 9
Audit conclusions
 10
Assessment of audit criteria
 11
Unresolved conflicts of opinion between audit team and auditee

Use the form field below to upload the completed audit report.
Complete audit report

Need for follow-up action?

Distribute audit report
As stressed in the previous task, that the audit report is distributed in a timely manner is one of
the most important aspects of the entire audit process.
Use the email widget below to quickly and easily distribute the audit report to all relevant
interested parties.
By default, the widget will send the report to:
 The auditee main point of contact ({{form.Auditee_main_point_of_contact}})

 The audit programme manager ({{form.Audit_programme_manager_email}}
 The lead auditor ({{form.Lead_auditor_email}})
Should you want to distribute the report to additional interested parties, simply add their email
addresses to the email widget below:
(Conditional) Prepare for audit follow-up
Depending on the outcome of the audit, there may be a need for follow-up action.
Follow-up action might include:
 Corrective action in response to nonconformities

 Opportunities for improvement
 Actions to address risks and opportunities
A time-frame should be agreed upon between the audit team and auditee within which to carry
out follow-up action.
As part of the follow-up actions, the auditee will be responsible for keeping the audit team
informed of any relevant activities undertaken within the agreed time-frame. The completion and
effectiveness of these actions will need to be verified - this may be part of a subsequent audit.
In any case, recommendations for follow-up action should be prepared ahead of the closing
meeting and shared accordingly with relevant interested parties.
Use the form fields below to record follow-up action suggestions.
Follow-up actions
Prepare for closing meeting
Before the closing meeting, the audit team should make adequate preparations.
Make sure the following items are resolved ahead of the closing meeting:
 1
All audit findings are reviewed against audit objectives
 2
Audit conclusions are agreed upon
 3
Recommendations are prepared, if necessary
 4
Follow-up action has been discussed and agreed upon

Be sure to record the date of the closing meeting as well.
Date of closing meeting
Conduct closing meeting
Just like the opening meeting, it's a great idea to conduct a closing meeting to orient everyone
with the proceedings and outcome of the audit, and provide a firm resolution to the whole
process.
The main point of the closing meeting should be to present audit findings and conclusions.
Lead auditors should be responsible for presenting audit findings and conclusions.
You can use the sub-checklist below as a kind of attendance sheet to make sure all relevant
interested parties are in attendance at the closing meeting:
 1
Auditee management
 2
Audit programme manager
 3
Individuals responsible for the processes and procedures being audited
 4
The audit client
 5
All members of the audit team
 6
Other relevant interested parties, as determined by the auditee/audit programme

Once attendance has been taken, the lead auditor should go over the complete audit report,
with special attention placed on:
 1
If applicable, first addressing any special occurrences or situations that might have
impacted the reliability of audit conclusions
 2
Making sure all present are familiar with or have access to the complete audit report
 3
Making sure the auditee is familiar with the audit process
 4
Confirming the time-frame for audit follow-up actions
 5
Diverging opinions / disagreements in relation to audit findings between any relevant

interested parties
 6

Depending on the situation and context of the audit, formality of the closing meeting can vary.
For more formal audits, minutes and records of attendance can be kept.
For more informal (e.g. internal) audits, it can be sufficient to simply communicate audit
findings and audit conclusions.
In any case, during the course of the closing meeting, the following should be clearly
communicated to the auditee:
 1
That audit evidence is based on sample information, and therefore cannot be fully
representative of the overall effectiveness of the processes being audited
 2
The specific methods of audit reporting used
 3
Complete audit findings and conclusions
 4
Advice for how to proceed in light of audit findings
 5
Consequences if audit findings are not addressed
 6
Recommendations for post-audit follow-up activities
 7
The fact that recommendations are not binding

Complete the audit
The audit is to be considered formally complete when all planned activities and tasks have
been completed, and any recommendations or future actions have been agreed upon with
the audit client.
All information documented during the course of the audit should be retained or disposed of,
depending on:
 The nature of the information (sensitive, proprietary, etc.)

 Requirements for particular management system standards
 Any other agreements between relevant interested parties
It should be assumed that any information collected during the audit should not be disclosed to
external parties without written approval of the auditee/audit client.
However, it may sometimes be a legal requirement that certain information be disclosed. Should
that be the case, the auditee/audit client must be informed as soon as possible.
ISO 9001
There are four main objectives of an ISO 9001 audit:
 To verify opportunities to improve the QMS,

 To verify conformance to applicable standards,
 To verify conformance to documented processes and procedures,
 To verify effectiveness of business processes.
This checklist is not intended to be a script that the auditor follows verbatim. Rather, it should be
used as a tool to ensure that the basic requirements have been addressed and that adequate
evidence has been recorded.
"The most effective audits are those during which auditors simply talk with the auditees to learn
everything they can about the process being audited." - Ann W. Phillips, from ISO 9001:2015
Internal Audits Made Easy
This checklist is designed as a supplement, and is not intended to replace ISO 9001.
For best results, users are encouraged to edit the checklist and modify the contents to best suit
their use cases, as it cannot provide specific guidance on the particular risks and controls
applicable to every situation.
Typically, management system auditors will prepare custom checklists that reflect the specific
scope, scale, and objectives of the quality management system being audited.
Enter basic details
Before beginning preparations for the audit, enter some basic details using the form
fields below.
Audit programme manager information

Auditee information
Auditee
Additional auditee information

If this process involves multiple people, you can use the members form field to allow the person
running this checklist to select and assign additional individuals.
For example, if management is running this checklist, they may wish to assign the lead internal
auditor after completing the basic audit details.
Preparing for the audit:
Establish context of the audit
In order to understand the context of the audit, the audit programme manager should take into
account the auditee’s:
 1
Business goals and objectives
 2
 3
 4
Information security and confidentiality requirements of the quality management system

Record the context of the audit in the form field below.
Context of the audit

Establish objectives of the audit
The audit programme manager needs to establish objectives of the QMS audit.
Individual audit objectives need to be consistent with the context of the auditee, including the
following factors:
 1
Extent of the QMS to be audited
 2
Capacity of the QMS to help the organization to meet relevant regulatory requirements
 3
Effectiveness of the QMS in producing its intended results
 4
Opportunities for QMS improvements
 5
Suitability of the QMS with respect to overall strategic context and business objectives of
the auditee
Audit objectives
Establish scope of the audit
Audit scope should be consistent with the context of the auditee.
 1
Audit location
 2
Audit function
 3
Audit activities
 4
 5
Audit time-frame
Audit scope
Establish criteria of the audit
 1
Relevant policies
 2
 3
 4
 5
 6
 7

Record individual audit criteria in the form field below:
Audit criteria
Ensure audit monitoring systems are in place
ensure adequate monitoring of the audit and all relevant activities.
 1
 2
 3
 4
 5

Request documented information from auditee
Request all existing relevant QMS documentation from the auditee. You can use the form
field below to quickly and easily request this information
Assign audit roles and responsibilities:
Assign audit team
 1
 2
Audit complexity
 3
 4
Audit methods
 5
 6

 7
Use the members fields below to assign audit team members.

Assign audit team lead
the audit.

Reviewing documented information:
Review auditee's documented information
system.
nonconformity.

Using the form-fields below, record any issues of nonconformities observed.

Using the form field below, describe the issue(s) with documented information so far, and

 1
 2
 3
 4
 5
 6

 7
 8

Audit plan
Assign work to audit team
Initiating the audit:
Make arrangements with the auditee
 1
 2
 3
 4
 5
 6
 7
activities
 8
 9
 10
 11
 12
 13

planning purposes.

Conduct open meeting
 1
 2
 3
 4
 5
 6
 7
 8
 9
 10
 11

 1
 2
 3
 4
audit
information.

Collecting evidence (context of the organization):
Assess the organization and its context
Understanding the context of the organization is necessary when developing a quality

management system in order to identify, analyze, and understand the business environment in
which the organization conducts its business and realizes its product.
Record information pertaining to the organization and its context in the form fields below.
Internal issues information
External issues information
Relevant interested parties information

Nonconformity with organization and its context?
Record conformities for organization and its context
Record nonconformities for organization and its context
Suggestions for organization and its context

Assess needs and expectations of interested parties
Provide a record of evidence gathered relating to the needs and expectations of interested
parties in the form fields below.
Needs and expectations of interested parties information

Nonconformity with needs and expectations of interested
parties?
Record conformities for needs and expectations of interested parties

Record nonconformities for needs and expectations of interested parties
Suggestions for needs and expectations of interested parties

Assess scope of QMS
The scope of the QMS is basically a description of the processes, procedures, services, and
products that the QMS applies to.
Provide a record of evidence gathered relating to the QMS scope in the form fields below.
QMS scope information
Nonconformity with QMS scope?
Record conformities for QMS scope
Record nonconformities for QMS scope
Suggestions for QMS scope

Collecting evidence (leadership):
Assess leadership of the QMS
Provide a record of evidence gathered relating to the QMS leadership in the form fields
below.
QMS leadership information
Nonconformity with QMS leadership?
Record conformities for QMS leadership
Record nonconformities for QMS leadership
Suggestions for QMS leadership

Assess customer focus
Provide a record of evidence gathered relating to the QMS customer focus in the form fields
below.
QMS customer focus information
Nonconformity with QMS customer focus?
Record conformities for QMS customer focus
Record nonconformities for QMS customer focus
Suggestions for QMS customer focus

Assess quality policy
Provide a record of evidence gathered relating to the QMS quality policy in the form fields
below.
QMS quality policy information
Nonconformity with QMS quality policy?
Record conformities for QMS quality policy
Record nonconformities for QMS quality policy
Suggestions for QMS quality policy

Assess organizational roles and responsibilities
Provide a record of evidence gathered relating to the organizational roles, responsibilities,

and authorities of the QMS in the form fields below.
QMS roles and responsibilities information
Nonconformity with QMS roles and responsibilities?
Record conformities for QMS roles and responsibilities
Record nonconformities for QMS roles and responsibilities
Suggestions for QMS roles and responsibilities

Collecting evidence (QMS planning):
Assess documentation of risks and opportunities
Provide a record of evidence gathered relating to the documentation of risks and

opportunities in the QMS using the form fields below.
QMS risks information
Procedures for risk mitigation information
QMS opportunities information
Procedures for engaging opportunities information

Nonconformity with documentation of QMS risks and
opportunities?
Record conformities for QMS risks and opportunities

Record nonconformities for QMS risks and opportunities
Suggestions for QMS risks and opportunities

Assess quality objectives
Provide a record of evidence gathered relating to the QMS quality objectives in the form
fields below.
QMS quality objectives information
Nonconformity with QMS quality objectives?
Record conformities for QMS quality objectives
Record nonconformities for QMS quality objectives
Suggestions for QMS quality objectives

Assess procedures for changes to QMS
Provide a record of evidence gathered relating to the QMS procedures for implementing
changes in the form fields below.
Procedures for change information
Nonconformity with procedures for change?
Record conformities for procedures for change

Record nonconformities for procedures for change
Suggestions for procedures for change

Collecting evidence (support):
Assess organization and allocation of QMS resources
Provide a record of evidence gathered relating to the QMS organization and allocation of
resources in the form fields below.
Organization and allocation of resources information

Nonconformity for organization and allocation of
resources?
Record conformities for organization and allocation of resources
Record nonconformities for organization and allocation of resources
Suggestions for organization and allocation of resources

Assess HR integration with QMS
Provide a record of evidence gathered relating to the integration of HR within the

QMS using the form fields below.
HR integration information
Nonconformity with HR integration?
Record conformities for HR integration

Record nonconformities for HR integration
Suggestions for HR integration

Assess QMS infrastructure
Provide a record of evidence gathered relating to the QMS infrastructure in the form fields
below.
QMS infrastructure information
Nonconformity with QMS infrastructure?
Record conformities for QMS infrastructure
Record nonconformities for QMS infrastructure
Suggestions for QMS infrastructure

Assess QMS work environment
Provide a record of evidence gathered relating to the QMS work environment in the form
fields below.
QMS work environment information
Nonconformity with QMS work environment?
Record conformities for QMS work environment

Record nonconformities for QMS work environment
Suggestions for QMS work environment

Assess systems for monitoring and measurement of resources
Provide a record of evidence gathered relating to the QMS systems for monitoring and
measuring resources using the form fields below.
Systems for monitoring and measuring resources information

Nonconformity with systems for monitoring and measuring
resources?
Record conformities for systems for monitoring and measuring resources
Record nonconformities for systems for monitoring and measuring resources
Suggestions for monitoring and measuring resources

Assess organizational knowledge of the QMS
Provide a record of evidence gathered relating to the QMS organizational knowledge in the
form fields below.
Organizational knowledge of QMS information

Nonconformity with organizational knowledge of QMS
informaiton?
Record conformities for organizational knowledge of QMS information
Record nonconformities for organizational knowledge of QMS information
Suggestions for organizational knowledge of QMS information

Assess QMS competence
Provide a record of evidence gathered relating to the QMS competence in the form fields
below.
QMS competence information
Nonconformity with QMS competence?
Record conformities for QMS competence
Record nonconformities for QMS competence
Suggestions for QMS competence

Assess QMS awareness
Provide a record of evidence gathered relating to the QMS awareness in the form fields
below.
QMS awareness information
Nonconformity with QMS awareness?

Record conformities for QMS awareness
Record nonconformities for QMS awareness
Suggestions for QMS awareness

Assess communication of QMS within the organization
Provide a record of evidence gathered relating to the communication of the QMS within
the organization using the form fields below.
Communication of QMS information
Nonconformity with communication of QMS?
Record conformities for communication of QMS
Record nonconformities for communication of QMS
Suggestions for communication of QMS

Assess documented information
Provide a record of evidence gathered relating to the documented information of the

QMS in the form fields below.
Documented information notes
Nonconformity with documented information?

Record conformities for documented information
Record nonconformities for documented information
Suggestions for documented information

Collecting evidence (operation):
Assess process control
Provide a record of evidence gathered relating to the QMS process control in the form fields
below.
Process control information
Nonconformity with process control?
Record conformities for process control
Record nonconformities for process control
Suggestions for process control

Assess determination of requirements for products and services
Provide a record of evidence gathered relating to the determination of specific

requirements for products and services within the QMS in the form fields below.
Determination of requirements for products and services information

Nonconformity with determination of requirements for products and
services?
Record conformities for determination of requirements for product and services
Record nonconformities for determination of requirements for product and services
Suggestions for determination of requirements for product and services
Assess design and development of products and services
Provide a record of evidence gathered relating to the development and design of products
and services within the QMS in the form fields below.
Design and development of products and services information

Nonconformity with design and development of products and
services?
Record conformities for design and development of products and services
Record nonconformities for design and development of products and services
Suggestions for design and development of products and services

Assess design and development inputs
Provide a record of evidence gathered relating to the design and development inputs of the
QMS in the form fields below.
Design and development inputs information

Nonconformity with design and development inputs?
Record conformities for design and development inputs
Record nonconformities for design and development inputs
Suggestions for design and development inputs

Assess design and development controls
Provide a record of evidence gathered relating to the design and development controls of
the QMS in the form fields below.
Design and development controls information
Nonconformity with design and development controls?
Record conformities for design and development controls
Record nonconformities for design and development controls
Suggestions for design and development controls

Assess design and development outputs
Provide a record of evidence gathered relating to the design and development outputs of
Design and development outputs information
Nonconformity with design and development outputs?

Record conformities for design and development outputs
Record nonconformities for design and development outputs
Suggestions for design and development outputs

Assess design and development changes
Provide a record of evidence gathered relating to the design and development changes of
Design and development changes information
Nonconformity with design and development changes?
Record conformities for design and development changes
Record nonconformities for design and development changes
Suggestions for design and development changes

Assess control of externally provided products and services
Provide a record of evidence gathered relating to externally provided products and services
within the QMS using the form fields below.
Control of externally provided products and services information

Nonconformity with control of externally provided products and
services?
Record conformities for control of externally provided products and services
Record nonconformities for control of externally provided products and services
Suggestions for control of externally provided products and services

Assess type and extent of control
Provide a record of evidence gathered relating to type and extent of control in the
QMS using the form fields below.
Type and extent of control information
Nonconformity with type and extent of control?
Record conformities for type and extent of control
Record nonconformities for type and extent of control
Suggestions for type and extent of control

Assess information for external providers
Provide a record of evidence gathered relating to the information for external providers of
the QMS using the form fields below.
Information for external providers information
Nonconformity with information for external providers?

Record conformities for information for external providers
Record nonconformities for information for external providers
Suggestions for information for external providers

Assess control of production and service provision
Provide a record of evidence gathered relating to the control of production and services
provision of the QMS using the form fields below.
Control of production and service provision information

Nonconformity with control of production and service
provision?
Record conformities for control of production and service provision

Record nonconformities for control of production and service provision
Suggestions for control of production and service provision

Assess identification and traceability of production control
Provide a record of evidence gathered relating to the identification and traceability of

production control of the QMS using the form fields below.
Identification and traceability of production control information

Nonconformity with identification and traceability of production
control?
Record conformities for identification and traceability of production control
Record nonconformities for identification and traceability of production control
Suggestions for identification and traceability of production control

Assess control of external provider/customer property
Provide a record of evidence gathered relating to the control of external provider (or
customer) property in the QMS using the form fields below.
Control of external provider/customer property information

Nonconformity with control of external provider/customer
property?
Record conformities for control of external provider/customer property
Record nonconformities for control of external provider/customer property
Suggestions for control of external provider/customer property

Assess preservation procedures
Provide a record of evidence gathered relating to the preservation procedures documented

and implemented by the QMS using the form fields below.
Preservation procedures information

Nonconformity with preservation procedures?
Record conformities for preservation procedures
Record nonconformities for preservation procedures
Suggestions for preservation procedures

Assess post-delivery activities
Provide a record of evidence gathered relating to the post-delivery activities documented

and implemented by the QMS using the form fields below.
Post-delivery activities information
Nonconformity with post-delivery activities?
Record conformities for post-delivery activities
Record nonconformities for post-delivery activities
Suggestions for post-delivery activities

Assess control of changes
Provide a record of evidence gathered relating to the documentation and implementation of

control of changes in the QMS using the form fields below.
Control of changes information
Nonconformity with control of changes?

Record conformities for control of changes
Record nonconformities for control of changes
Suggestions for control of changes

Assess release of products and services

release of products and services in the QMS using the form fields below.
Release of products and services information
Nonconformity with release of products and services?
Record conformities for release of products and services
Record nonconformities for release of products and services
Suggestions for release of products and services

Assess control of nonconforming outputs

control of nonconforming outputs in the QMS using the form fields below.
Control of nonconforming outputs information
Nonconformity with control of nonconforming outputs?

Record conformities for control of nonconforming outputs
Record nonconformities for control of nonconforming outputs
Suggestions for control of nonconforming outputs

Collecting evidence (performance evaluation):
Assess QMS performance evaluation

performance evaluation in the QMS using the form fields below.
QMS performance evaluation information
Nonconformity with QMS performance evaluation?
Record conformities for QMS performance evaluation
Record nonconformities for QMS performance evaluation
Suggestions for QMS performance evaluation

Assess customer satisfaction

customer satisfaction in the QMS using the form fields below.
Customer satisfaction information
Nonconformity with customer satisfaction?

Record conformities for customer satisfaction
Record nonconformities for customer satisfaction
Suggestions for customer satisfaction

Assess performance analysis and evaluation procedures

performance analysis and evaluation procedures in the QMS using the form fields below.
Performance analysis and evaluation procedures information

Nonconformity with performance analysis and evaluation of
procedures?
Record conformities for performance analysis and evaluation of procedures
Record nonconformities for performance analysis and evaluation of procedures
Suggestions for performance analysis and evaluation of procedures

Assess internal audit procedures

internal audit procedures in the QMS using the form fields below.
Internal audit procedures information
Nonconformity with internal audit procedures?

Record conformities for internal audit procedures
Record nonconformities for internal audit procedures
Suggestions for internal audit procedures

Assess management review procedures

management review procedures in the QMS using the form fields below.
Management review procedures information
Nonconformity with management review procedures?
Record conformities for management review procedures
Record nonconformities for management review procedures
Suggestions for management review procedures

Collecting evidence (improvement):
Assess procedures for nonconformity and corrective action

procedures for nonconformity and corrective action in the QMS using the form fields below.
Procedures for nonconformity and corrective action information

Nonconformity with procedures for nonconformity and corrective
action?
Record conformities for procedures for nonconformity and corrective action
Record nonconformities for procedures for nonconformity and corrective action
Suggestions for procedures for nonconformity and corrective action

Assess procedures for continuous improvement

procedures for continuous improvement in the QMS using the form fields below.
Procedures for continuous improvement information

Nonconformity with procedures for continuous
improvement?
Record conformities for continuous improvement procedures
Record nonconformities for continuous improvement procedures
Suggestions for continuous improvement procedures

Audit findings:
Review audit evidence and findings
So far, you'll have made records of the auditee's documentation and implementation of QMS
policies and procedures using the form fields in the completed tasks so far (audit evidence).
You should also have made notes on both conformities and nonconformities alongside relevant
suggestions for corrective action or opportunities for improvement (audit findings).
Below is an overview of the audit so far.

Context of the organization
Organization and its context

Internal issues: {{form.Internal_issues_information}}
External issues: {{form.External_issues_information}}
Relevant interested parties: {{form.Relevant_interested_parties_information}}
Any nonconformities?: {{form.Nonconformity_with_organization_and_its_context?}}
Recorded conformities: {{form.Record_conformities_for_organization_and_its_context}}
Recorded nonconformities:
{{form.Record_nonconformities_for_organization_and_its_context_2}}
Suggestions: {{form.Suggestions_for_organization_and_its_context}}
Needs and expectations of interested parties

Information: {{form.Needs_and_expectations_of_interested_parties_information}}
Any nonconformities?:
{{form.Nonconformity_with_needs_and_expectations_of_interested_parties?}}
Recorded conformities:
{{form.Record_conformities_for_needs_and_expectations_of_interested_parties}}
{{form.Record_nonconformities_for_needs_and_expectations_of_interested_parties_2}}
Suggestions: {{form.Suggestions_for_needs_and_expectations_of_interested_parties}}
QMS scope
Information: {{form.QMS_scope_information}}
Any nonconformities?: {{form.Nonconformity_with_QMS_scope?}}
Recorded conformities: {{form.Record_conformities_for_QMS_scope}}
Recorded nonconformities: {{form.Record_nonconformities_for_QMS_scope_2}}
Suggestions: {{form.Suggestions_for_QMS_scope}}
Leadership
QMS leadership
Information: {{form.QMS_leadership_information}}
Any nonconformities?: {{form.Nonconformity_with_QMS_leadership?}}
Recorded conformities: {{form.Record_conformities_for_QMS_leadership}}
Recorded nonconformities: {{form.Record_nonconformities_for_QMS_leadership_2}}
Suggestions: {{form.Suggestions_for_QMS_leadership}}
Customer focus
Information: {{form.QMS_customer_focus_information}}
Any nonconformities?: {{form.Nonconformity_with_QMS_customer_focus?}}
Recorded conformities: {{form.Record_conformities_for_QMS_customer_focus}}
Recorded nonconformities: {{form.Record_nonconformities_for_QMS_customer_focus_2}}
Suggestions: {{form.Suggestions_for_QMS_customer_focus}}
Quality policy
Information: {{form.QMS_quality_policy_information}}
Any nonconformities?: {{form.Nonconformity_with_QMS_quality_policy?}}
Recorded conformities: {{form.Record_conformities_for_QMS_quality_policy}}
Recorded nonconformities: {{form.Record_nonconformities_for_QMS_quality_policy_2}}
Suggestions: {{form.Suggestions_for_QMS_quality_policy}}
Organizational roles and responsibilities

Information: {{form.QMS_roles_and_responsibilities_information}}
Any nonconformities?: {{form.Nonconformity_with_QMS_roles_and_responsibilities?}}

Recorded conformities: {{form.Record_conformities_for_QMS_roles_and_responsibilities}}
{{form.Record_nonconformities_for_QMS_roles_and_responsibilities_2}}
Suggestions: {{form.Suggestions_for_QMS_roles_and_responsibilities}}
QMS planning
Documentation of risks and opportunities

Risks information: {{form.QMS_risks_information}}
Procedures for risk mitigation information:

{{form.Procedures_for_risk_mitigation_information}}
Opportunities information: {{form.QMS_opportunities_information}}
Procedures for engaging opportunities information:

{{form.Procedures_for_engaging_opportunities_information}}
{{form.Nonconformity_with_documentation_of_QMS_risks_and_opportunities?}}
Recorded conformities: {{form.Record_conformities_for_QMS_risks_and_opportunities}}
{{form.Record_nonconformities_for_QMS_risks_and_opportunities_2}}
Suggestions: {{form.Suggestions_for_QMS_risks_and_opportunities}}
Quality objectives
Information: {{form.QMS_quality_objectives_information}}
Any nonconformities?: {{form.Nonconformity_with_QMS_quality_objectives?}}
Recorded conformities: {{form.Record_conformities_for_QMS_quality_objectives}}
Recorded nonconformities: {{form.Record_nonconformities_for_QMS_quality_objectives}}
Suggestions: {{form.Suggestions_for_QMS_quality_objectives}}
Procedures for change to QMS

Information: {{form.Procedures_for_change_information}}
Any nonconformities?: {{form.Nonconformity_with_procedures_for_change?}}
Recorded conformities: {{form.Record_conformities_for_procedures_for_change}}
Recorded nonconformities: {{form.Record_nonconformities_for_procedures_for_change_2}}
Suggestions: {{form.Suggestions_for_procedures_for_change}}
Support
Organization and allocation of QMS resources

Information: {{form.Organization_and_allocation_of_resources_information}}
{{form.Nonconformity_for_organization_and_allocation_of_resources?}}
{{form.Record_conformities_for_organization_and_allocation_of_resources}}
{{form.Record_nonconformities_for_organization_and_allocation_of_resources_2}}
Suggestions: {{form.Suggestions_for_organization_and_allocation_of_resources}}
HR integration
Information: {{form.HR_integration_information}}
Any nonconformities?: {{form.Nonconformity_with_HR_integration?}}
Recorded conformities: {{form.Record_conformities_for_HR_integration}}
Recorded nonconformities: {{form.Record_nonconformities_for_HR_integration_2}}
Suggestions: {{form.Suggestions_for_HR_integration}}
QMS infrastructure
Information: {{form.QMS_infrastructure_information}}
Any nonconformities?: {{form.Nonconformity_with_QMS_infrastructure?}}

Recorded conformities: {{form.Record_conformities_for_QMS_infrastructure}}
Recorded nonconformities: {{form.Record_nonconformities_for_QMS_infrastructure_2}}
Suggestions: {{form.Suggestions_for_QMS_infrastructure}}
QMS work environment

Information: {{form.QMS_work_environment_information}}
Any nonconformities?: {{form.Nonconformity_with_QMS_work_environment?}}
Recorded conformities: {{form.Record_conformities_for_QMS_work_environment}}
Recorded nonconformities: {{form.Record_nonconformities_for_QMS_work_environment_2}}
Suggestions: {{form.Suggestions_for_QMS_work_environment}}
Systems for monitoring and measurement of resources

Information: {{form.Systems_for_monitoring_and_measuring_resources_information}}
{{form.Nonconformity_with_systems_for_monitoring_and_measuring_resources?}}
{{form.Record_conformities_for_systems_for_monitoring_and_measuring_resources}}
{{form.Record_nonconformities_for_systems_for_monitoring_and_measuring_resources_2}}
Suggestions: {{form.Suggestions_for_monitoring_and_measuring_resources}}
Organizational knowledge of the QMS

Information: {{form.Organizational_knowledge_of_QMS_information}}
{{form.Nonconformity_with_organizational_knowledge_of_QMS_informaiton?}}
{{form.Record_conformities_for_organizational_knowledge_of_QMS_information}}
{{form.Record_nonconformities_for_organizational_knowledge_of_QMS_information_2}}
Suggestions: {{form.Suggestions_for_organizational_knowledge_of_QMS_information}}
QMS competence
Information: {{form.QMS_competence_information}}
Any nonconformities?: {{form.Nonconformity_with_QMS_competence?}}
Recorded conformities: {{form.Record_conformities_for_QMS_competence}}
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Suggestions: {{form.Suggestions_for_QMS_competence}}
QMS awareness
Information: {{form.QMS_awareness_information}}
Any nonconformities?: {{form.Nonconformity_with_QMS_awareness?}}
Recorded conformities: {{form.Record_conformities_for_QMS_awareness}}
Recorded nonconformities: {{form.Record_nonconformities_for_QMS_awareness_2}}
Suggestions: {{form.Suggestions_for_QMS_awareness}}
Communication of QMS within the organization

Information: {{form.Communication_of_QMS_information}}
Any nonconformities?: {{form.Nonconformity_with_communication_of_QMS?}}
Recorded conformities: {{form.Record_conformities_for_communication_of_QMS}}
Recorded nonconformities: {{form.Record_nonconformities_for_communication_of_QMS_2}}
Suggestions: {{form.Suggestions_for_communication_of_QMS}}
Documented information
Information: {{form.Documented_information_notes}}
Any nonconformities?: {{form.Nonconformity_with_documented_information?}}
Recorded conformities: {{form.Record_conformities_for_documented_information}}
Recorded nonconformities: {{form.Record_nonconformities_for_documented_information_2}}
Suggestions: {{form.Suggestions_for_documented_information}}
Operation
Process control
Information: {{form.Process_control_information}}
Any nonconformities?: {{form.Nonconformity_with_process_control?}}
Recorded conformities: {{form.Record_conformities_for_process_control}}
Recorded nonconformities: {{form.Record_nonconformities_for_process_control_2}}
Suggestions: {{form.Suggestions_for_process_control}}
Determination of requirements for products and services

Information: {{form.Determination_of_requirements_for_products_and_services_information}}
{{form.Nonconformity_with_determination_of_requirements_for_products_and_services?}}
{{form.Record_conformities_for_determination_of_requirements_for_product_and_services}}
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Suggestions:
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Design and development of products and services

Information: {{form.Design_and_development_of_products_and_services_information}}
{{form.Nonconformity_with_design_and_development_of_products_and_services?}}
{{form.Record_conformities_for_design_and_development_of_products_and_services}}
{{form.Record_nonconformities_for_design_and_development_of_products_and_services_2}}
Suggestions: {{form.Suggestions_for_design_and_development_of_products_and_services}}
Design and development inputs

Information: {{form.Design_and_development_inputs_information}}
Any nonconformities?: {{form.Nonconformity_with_design_and_development_inputs?}}
Recorded conformities: {{form.Record_conformities_for_design_and_development_inputs}}
{{form.Record_nonconformities_for_design_and_development_inputs_2}}
Suggestions: {{form.Suggestions_for_design_and_development_inputs}}
Design and development controls

Information: {{form.Design_and_development_controls_information}}
Any nonconformities?: {{form.Nonconformity_with_design_and_development_controls?}}
Recorded conformities: {{form.Record_conformities_for_design_and_development_controls}}
{{form.Record_nonconformities_for_design_and_development_controls_2}}
Suggestions: {{form.Suggestions_for_design_and_development_controls}}
Design and development outputs

Information: {{form.Design_and_development_outputs_information}}
Any nonconformities?: {{form.Nonconformity_with_design_and_development_outputs?}}
Recorded conformities: {{form.Record_conformities_for_design_and_development_outputs}}
{{form.Record_nonconformities_for_design_and_development_outputs_2}}
Suggestions: {{form.Suggestions_for_design_and_development_outputs}}
Design and development changes

Information: {{form.Design_and_development_changes_information}}
Any nonconformities?: {{form.Nonconformity_with_design_and_development_changes?}}
Recorded conformities: {{form.Record_conformities_for_design_and_development_changes}}
{{form.Record_nonconformities_for_design_and_development_changes_2}}
Suggestions: {{form.Suggestions_for_design_and_development_changes}}
Control of externally provided products and services

Information: {{form.Control_of_externally_provided_products_and_services_information}}
{{form.Nonconformity_with_control_of_externally_provided_products_and_services?}}
{{form.Record_conformities_for_control_of_externally_provided_products_and_services}}
{{form.Record_nonconformities_for_control_of_externally_provided_products_and_services_2
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Suggestions: {{form.Suggestions_for_control_of_externally_provided_products_and_services}}
Type and extent of control

Information: {{form.Type_and_extent_of_control_information}}
Any nonconformities?: {{form.Nonconformity_with_type_and_extent_of_control?}}
Recorded conformities: {{form.Record_conformities_for_type_and_extent_of_control}}
{{form.Record_nonconformities_for_type_and_extent_of_control_2}}
Suggestions: {{form.Suggestions_for_type_and_extent_of_control}}
Information for external providers

Information: {{form.Information_for_external_providers_information}}
Any nonconformities?: {{form.Nonconformity_with_information_for_external_providers?}}
Recorded conformities: {{form.Record_conformities_for_information_for_external_providers}}
{{form.Record_nonconformities_for_information_for_external_providers_2}}
Suggestions: {{form.Suggestions_for_information_for_external_providers}}
Control of production and service provision

Information: {{form.Control_of_production_and_service_provision_information}}
{{form.Nonconformity_with_control_of_production_and_service_provision?}}
{{form.Record_conformities_for_control_of_production_and_service_provision}}
{{form.Record_nonconformities_for_control_of_production_and_service_provision_2}}
Suggestions: {{form.Suggestions_for_control_of_production_and_service_provision}}
Type and extent of control

Information: {{form.Type_and_extent_of_control_information}}
Any nonconformities?: {{form.Nonconformity_with_type_and_extent_of_control?}}
Recorded conformities: {{form.Record_conformities_for_type_and_extent_of_control}}
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Suggestions: {{form.Suggestions_for_type_and_extent_of_control}}
Information for external providers

Information: {{form.Information_for_external_providers_information}}
Any nonconformities?: {{form.Nonconformity_with_information_for_external_providers?}}
Recorded conformities: {{form.Record_conformities_for_information_for_external_providers}}
{{form.Record_nonconformities_for_information_for_external_providers_2}}
Suggestions: {{form.Suggestions_for_information_for_external_providers}}
Control of production and service provision

Information: {{form.Control_of_production_and_service_provision_information}}
{{form.Nonconformity_with_control_of_production_and_service_provision?}}
{{form.Record_conformities_for_control_of_production_and_service_provision}}
{{form.Record_nonconformities_for_control_of_production_and_service_provision_2}}
Suggestions: {{form.Suggestions_for_control_of_production_and_service_provision}}
Identification and traceability of production control

Information: {{form.Identification_and_traceability_of_production_control_information}}
{{form.Nonconformity_with_identification_and_traceability_of_production_control?}}
{{form.Record_conformities_for_identification_and_traceability_of_production_control}}
{{form.Record_nonconformities_for_identification_and_traceability_of_production_control_2}}
Suggestions: {{form.Suggestions_for_identification_and_traceability_of_production_control}}
Control of external provider/customer property

Information: {{form.Control_of_external_provider/customer_property_information}}
{{form.Nonconformity_with_control_of_external_provider/customer_property?}}
{{form.Record_conformities_for_control_of_external_provider/customer_property}}
{{form.Record_nonconformities_for_control_of_external_provider/customer_property_2}}
Suggestions: {{form.Suggestions_for_control_of_external_provider/customer_property}}
Preservation procedures
Information: {{form.Preservation_procedures_information}}
Any nonconformities?: {{form.Nonconformity_with_preservation_procedures?}}
Recorded conformities: {{form.Record_conformities_for_preservation_procedures}}
Recorded nonconformities: {{form.Record_nonconformities_for_preservation_procedures_2}}
Suggestions: {{form.Suggestions_for_preservation_procedures}}
Post-delivery activities
Information: {{form.Post-delivery_activities_information}}
Any nonconformities?: {{form.Nonconformity_with_post-delivery_activities?}}
Recorded conformities: {{form.Record_conformities_for_post-delivery_activities}}
Recorded nonconformities: {{form.Record_nonconformities_for_post-delivery_activities_2}}
Suggestions: {{form.Suggestions_for_post-delivery_activities}}
Control of changes
Information: {{form.Control_of_changes_information}}
Any nonconformities?: {{form.Nonconformity_with_control_of_changes?}}
Recorded conformities: {{form.Record_conformities_for_control_of_changes}}
Recorded nonconformities: {{form.Record_nonconformities_for_control_of_changes_2}}
Suggestions: {{form.Suggestions_for_control_of_changes}}
Release of products and services

Information: {{form.Release_of_products_and_services_information}}
Any nonconformities?: {{form.Nonconformity_with_release_of_products_and_services?}}
Recorded conformities: {{form.Record_conformities_for_release_of_products_and_services}}
{{form.Record_nonconformities_for_release_of_products_and_services_2}}
Suggestions: {{form.Suggestions_for_release_of_products_and_services}}
Control of nonconforming outputs

Information: {{form.Control_of_nonconforming_outputs_information}}
Any nonconformities?: {{form.Nonconformity_with_control_of_nonconforming_outputs?}}
Recorded conformities: {{form.Record_conformities_for_control_of_nonconforming_outputs}}
{{form.Record_nonconformities_for_control_of_nonconforming_outputs_2}}
Suggestions: {{form.Suggestions_for_control_of_nonconforming_outputs}}
Performance evaluation
QMS performance evaluation

Information: {{form.QMS_performance_evaluation_information}}
Any nonconformities?: {{form.Nonconformity_with_QMS_performance_evaluation?}}

Recorded conformities: {{form.Record_conformities_for_QMS_performance_evaluation}}
{{form.Record_nonconformities_for_QMS_performance_evaluation_2}}
Suggestions: {{form.Suggestions_for_QMS_performance_evaluation}}
Customer satisfaction
Information: {{form.Customer_satisfaction_information}}
Any nonconformities?: {{form.Nonconformity_with_customer_satisfaction?}}
Recorded conformities: {{form.Record_conformities_for_customer_satisfaction}}
Recorded nonconformities: {{form.Record_nonconformities_for_customer_satisfaction_2}}
Suggestions: {{form.Suggestions_for_customer_satisfaction}}
Performance analysis and evaluation procedures

Information: {{form.Performance_analysis_and_evaluation_procedures_information}}
{{form.Nonconformity_with_performance_analysis_and_evaluation_of_procedures?}}
{{form.Record_conformities_for_performance_analysis_and_evaluation_of_procedures}}
{{form.Record_nonconformities_for_performance_analysis_and_evaluation_of_procedures_2}}
Suggestions: {{form.Suggestions_for_performance_analysis_and_evaluation_of_procedures}}
Internal audit procedures

Information: {{form.Internal_audit_procedures_information}}
Any nonconformities?: {{form.Nonconformity_with_internal_audit_procedures?}}
Recorded conformities: {{form.Record_conformities_for_internal_audit_procedures}}
Recorded nonconformities: {{form.Record_nonconformities_for_internal_audit_procedures_2}}
Suggestions: {{form.Suggestions_for_internal_audit_procedures}}
Management review procedures

Information: {{form.Management_review_procedures_information}}
Any nonconformities?: {{form.Nonconformity_with_management_review_procedures?}}
Recorded conformities: {{form.Record_conformities_for_management_review_procedures}}
{{form.Record_nonconformities_for_management_review_procedures_2}}
Suggestions: {{form.Suggestions_for_management_review_procedures}}
Improvement
Procedures for nonconformity and corrective action

Information: {{form.Procedures_for_nonconformity_and_corrective_action_information}}
{{form.Nonconformity_with_procedures_for_nonconformity_and_corrective_action?}}
{{form.Record_conformities_for_procedures_for_nonconformity_and_corrective_action}}
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Suggestions: {{form.Suggestions_for_procedures_for_nonconformity_and_corrective_action}}
Procedures for continuous improvement

Information: {{form.Procedures_for_continuous_improvement_information}}
{{form.Nonconformity_with_procedures_for_continuous_improvement?}}
{{form.Record_conformities_for_continuous_improvement_procedures}}
{{form.Record_nonconformities_for_continuous_improvement_procedures_2}}
Suggestions: {{form.Suggestions_for_continuous_improvement_procedures}}
Additional recommendations
Unresolved issues
Closing the audit:
Prepare audit report
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 5
 6
 7

 8
 9
Audit conclusions
 10
 11



Issue audit report
interested parties.
 The auditee main point of contact (Auditee main point of contact)

 The audit programme manager (Audit programme manager email
 The lead auditor (Lead auditor email)

meetingand shared accordingly with relevant interested parties.
Follow-up actions
 1
 2
 3
 4

Date of closing meeting
process.
 1
Auditee management
 2
 3
 4
The audit client
 5
 6

 1
 2
 3
 4
 5

interested parties
 6

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 2
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 6
 7

Complete the audit
the audit client.
depending on:

Introduction:
ISO 45001 defines the requirements for an occupational health and safety (OHS)
management system.
The purpose of the standard is to enable organizations to implement a management system that
facilitates continuous improvement of OHS performance, in the interest of preventing injury and
ill-health.
Organizations of all sizes and types can use ISO 45001; the standard will enable improvement
of performance by:
 Developing and implementing clear policy and objectives

 Understanding and considering risks and opportunities
 Determining the hazards of the OHS system and implementing controls
 Clearly communicating risks throughout the organization
 Evaluating performance of the OHS and seeking to continuously improve it
 Making sure workers are actively involved in and understand the OHS management
system
By utilizing this checklist to implement an operational health and safety (OHS) management
system, organizations will stand to gain the following:
 Improved regulatory and compliance issues response time

 Reduced frequency of workplace incidents
 Reduced workplace downtime and fewer operational distruptions
 Reduced insurance costs
 Reduced employee absence and turnover
 Recognition of having successfully implemented ISO 45001 (informally, based on
internal audit reports)
This checklist is designed to streamline the process for implementing an operational health and
safety (OHS) management system in line with the requirements set out in the ISO 45001:2018
standard.
This checklist is designed as a supplement, and is not intended to replace ISO 45001.
For best results, users are encouraged to edit the checklist and modify the contents to best suit
their use cases, as it cannot provide specific guidance on the particular risks and controls
applicable to every situation.
Typically, management system auditors will prepare custom checklists that reflect the specific
scope, scale, and objectives of the operational health and safety management system being
audited.
Enter basic details
Before beginning preparations for the audit, enter some basic details about the operational
health and safety management system (OHSMS) audit using the form fields below.
Audit programme manager information

Auditee information
Auditee
Notes on previous audit (if applicable)
Reason for audit

Audit start date
If this process involves multiple people, you can use the members form field to allow the person
running this checklist to select and assign additional individuals.
For example, if management is running this checklist, they may wish to assign the lead internal
auditor after completing the basic audit details.
Preparing for the audit:
Establish context of the OHSMS audit
In order to understand the context of the audit, the audit programme manager should take into
account the auditee’s:
 1
 2
 3
 4
Information security and confidentiality requirements of the OHSMS

Record the context of the audit in the form field below.
Context of the audit

Establish objectives of the OHSMS audit
The audit programme manager needs to establish objectives of the OHSMS audit.
Individual audit objectives need to be consistent with the context of the auditee, including the
following factors:
 1
Extent of the OHSMS to be audited
 2
Capacity of the OHSMS to help the organization to meet relevant regulatory

requirements
 3
Effectiveness of the OHSMS in producing its intended results
 4
Opportunities for OHSMS improvements

 5
Suitability of the OHSMS with respect to overall strategic context and business
objectives of the auditee
Audit objectives
Establish scope of the OHSMS audit
Audit scope should be consistent with the context of the auditee.
 1
Audit location
 2
Audit function
 3
Audit activities
 4
 5
Audit time-frame
Audit scope
Establish criteria of the OHSMS audit
 1
Relevant policies
 2

 3
 4
 5
 6
 7
Audit criteria
Ensure OHSMS audit monitoring systems are in place
ensure adequate monitoring of the audit and all relevant activities.
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 2
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 4
 5

Request documented information from auditee
Request all existing relevant OHSMS documentation from the auditee. You can use the form
field below to quickly and easily request this information
Assign audit roles and responsibilities:
Assign audit team
 1
 2
Audit complexity
 3
 4
Audit methods
 5
 6
 7
Use the various fields below to assign audit team members.

Assign audit team lead
the audit.

Reviewing documented information:
Review auditee's documented information
system.
nonconformity.

Using the form fields below, record any issues of nonconformities observed.

Using the form fields below, describe the issue(s) with documented information so far, and

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 2
 3
 4
 5
 6
 7
 8

Audit plan
Assign work to the audit team
Initiating the audit:
Make arrangements with the auditee
 1
 2
 3
 4
 5
 6
 7
activities
 8
 9
 10
 11
 12
 13

planning purposes.

Conduct open meeting
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 2
 3
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 6
 7
 8
 9
 10
 11

 1
 2
 3
 4
audit
information.

Collecting evidence (context of the organization):
Assess understanding of the organization and its context
Understanding the context of the organization is necessary when developing a OHSMS in order
to identify, analyze, and understand the business environment in which the organization conducts
its business and realizes its product.
Record information pertaining to the organization and its context in the form fields below.
Internal issues information
External issues information
Relevant interested parties information
Nonconformity with organization and its context?
Record conformities for organization and its context
Record nonconformities for organization and its context
Suggestions for organization and its context

Assess the needs and expectations of relevant interested parties
Provide a record of evidence gathered relating to the needs and expectations of interested
parties in the form fields below.
Needs and expectations of interested parties information

Nonconformity with needs and expectations of interested
parties?
Record conformities for needs and expectations of interested parties

Record nonconformities for needs and expectations of interested parties
Suggestions for needs and expectations of interested parties

Assess the scope of the OHSMS
The scope of the operational health and safety management system is basically a description of
the processes, procedures, services, and products that the OHSMS applies to.
Provide a record of evidence gathered relating to the OHS management system scope in the
form fields below.
OHSMS scope information
Nonconformity with OHSMS scope?
Record conformities for OHSMS scope
Record nonconformities for OHSMS scope
Suggestions for OHSMS scope

Collecting evidence (leadership):
Assess leadership of the OHSMS
Provide a record of evidence gathered relating to the OHS management system

leadership in the form fields below.
OHSMS leadership information
Nonconformity with OHSMS leadership?
Record conformities for OHSMS leadership
Record nonconformities for OHSMS leadership
Suggestions for OHSMS leadership

Assess OHSMS policies
Provide a record of evidence gathered relating to the OHSMS policy in the form fields
below.
OHSMS policy information
Nonconformity with OHSMS policy?
Record conformities for OHSMS policy
Record nonconformities for OHSMSpolicy
Suggestions for OHSMS policy

Assess OHSMS roles, responsibilities, and authorities
Provide a record of evidence gathered relating to the organizational roles, responsibilities,

and authorities of the OHSMS in the form fields below.
OHSMS roles and responsibilities information
Nonconformity with OHSMS roles and responsibilities?
Record conformities for OHSMS roles and responsibilities
Record nonconformities for OHSMS roles and responsibilities
Suggestions for OHSMS roles and responsibilities

Assess consultation and participation of workers
Provide a record of evidence gathered relating to the consultation and participation of the
workers of the OHSMS using the form fields below.
Consultation and participation of workers information

Nonconformity with consultation and participation of
workers?
Record conformities for consultation and participation of workers

Record nonconformities for consultation and participation of workers
Suggestions for consultation and participation of workers

Collecting evidence (planning):
Assess actions to address risks and opportunities
Provide a record of evidence gathered relating to the documentation of risks and

opportunities in the OHSMS using the form fields below.
OHSMS risks information
Procedures for OHSMS risk mitigation information
OHSMS opportunities information
Procedures for engaging OHSMS opportunities information

Nonconformity with documentation of OHSMS risks and
opportunities?
Record conformities for OHSMS risks and opportunities
Record nonconformities for OHSMS risks and opportunities
Suggestions for OHSMS risks and opportunities

Assess actions to address and identify hazards
Provide a record of evidence gathered relating to the documentation of actions to address

and identify hazards in the OHSMS using the form fields below.
Actions to address and identify OHSMS hazards information

Nonconformity with actions to address and identify OHSMS hazards
information?
Record conformities for actions to address and identify OHSMS hazards information
Record nonconformities for actions to address and identify OHSMS hazards information
Suggestions for actions to address and identify OHSMS hazards information
Assess determination of legal and other requirements
Provide a record of evidence gathered relating to the determination of legal and other
requirements in the OHSMS using the form fields below.
Determination of OHSMS legal/other requirements information

Nonconformity with determination of OHSMS legal/other
requirements?
Record conformities for determination of OHSMS legal/other requirements
Record nonconformities for determination of OHSMS legal/other requirements
Suggestions for determination of OHSMS legal/other requirements

Assess OHSMS planning action
Provide a record of evidence gathered relating to the OHSMS planning action using the
form fields below.
OHSMS planning action information

Nonconformity with OHSMS planning action?
Record conformities for OHSMS planning action
Record nonconformities for OHSMS planning action
Suggestions for OHSMS planning action

Assess OHSMS objectives
Provide a record of evidence gathered relating to the OHSMS objectives using the form
fields below.
OHSMS objectives information
Nonconformity with OHSMS objectives?
Record conformities for OHSMS objectives
Record nonconformities for OHSMS objectives
Suggestions for OHSMS objectives

Collecting evidence (support):
Assess OHSMS resources
Provide a record of evidence gathered relating to the OHSMS resources in the form fields
below.
OHSMS resources information

Nonconformity with OHSMS resources?
Record conformities for OHSMS resources
Record nonconformities for OHSMS resources
Suggestions for OHSMS resources

Assess OHSMS competence
Provide a record of evidence gathered relating to the OHSMS competence in the form fields
below.
OHSMS competence information
Nonconformity with OHSMS competence?
Record conformities for OHSMS competence
Record nonconformities for OHSMS competence
Suggestions for OHSMS competence

Assess OHSMS awareness
Provide a record of evidence gathered relating to the OHSMS awareness in the form fields
below.
OHSMS awareness information
Nonconformity with OHSMS awareness?

Record conformities for OHSMS awareness
Record nonconformities for OHSMS awareness
Suggestions for OHSMS awareness

Assess communication procedures
Provide a record of evidence gathered relating to the OHSMS communication

procedures in the form fields below.
OHSMS communication procedures information
Nonconformity with OHSMS communication procedures?
Record conformities for OHSMS communication procedures
Record nonconformities for OHSMS communication procedures
Suggestions for OHSMS communication procedures

Assess documented information
Provide a record of evidence gathered relating to the documented information of the

OHSMS in the form fields below.
OHSMS documented information notes
Nonconformity with OHSMS documented information?

Record conformities for OHSMS documented information
Record nonconformities for OHSMS documented information
Suggestions for OHSMS documented information

Collecting evidence (operation):
Assess operational planning and control
Provide a record of evidence gathered relating to operational planning and control of the
OHSMS in the form fields below.
OHSMS planning and control information
Nonconformity with OHSMS planning and control?
Record conformities for OHSMS planning and control
Record nonconformities for OHSMS planning and control
Suggestions for OHSMS planning and control

Assess procedures for eliminating hazards and risks
Provide a record of evidence gathered relating to procedures for eliminating hazards and
risks in the OHSMS using the form fields below.
Procedures for eliminating OHSMS hazards and risks information

Nonconformity with procedures for eliminating OHSMS hazards and
risks?
Record conformities for procedures for eliminating OHSMS hazards and risks
Record nonconformities for procedures for eliminating OHSMS hazards and risks
Suggestions for procedures for eliminating OHSMS hazards and risks
Assess procedures for management of change
Provide a record of evidence gathered relating to the procedures for management of

change in the OHSMS using the form fields below.
Procedures for management of OHSMS change information

Nonconformity with procedures for management of OHSMS
change?
Record conformities for procedures for management of OHSMS change
Record nonconformities for procedures for management of OHSMS change
Suggestions for procedures for management of OHSMS change

Assess procurement
Provide a record of evidence gathered relating to procurement in the OHSMS using the
form fields below.
OHSMS procurement information

Nonconformity with OHSMS procurement?
Record conformities for OHSMS procurement
Record nonconformities for OHSMS procurement
Suggestions for OHSMS procurement

Assess emergency preparation and response
Provide a record of evidence gathered relating to emergency preparation and response in

the OHSMS using the form fields below.
OHSMS emergency preparation and response information

Nonconformity with OHSMS emergency preparedness and
response?
Record conformities for OHSMS emergency preparation and response
Record nonconformities for OHSMS emergency preparation and response
Suggestions for OHSMS emergency preparation and response

Collecting evidence (performance evaluation):
Assess systems for monitoring and measuring performance
Provide a record of evidence gathered relating to systems for monitoring and measuring
performance in the OHSMS using the form fields below.
Systems for monitoring and measuring OHSMS performance information
Nonconformity with systems for monitoring and measuring OHSMS

performance?
Record conformities for systems for monitoring and measuring OHSMS performance
Record nonconformities for systems for monitoring and measuring OHSMS performance
Suggestions for systems for monitoring and measuring OHSMS performance
Assess evaluation of compliance
Provide a record of evidence gathered relating to evaluation of compliance in the

OHSMS using the form fields below.
Evaluation of OHSMS compliance information
Nonconformity with evaluation of OHSMS compliance?
Record conformities for evaluation of OHSMS compliance
Record nonconformities for evaluation of OHSMS compliance
Suggestions for evaluation of OHSMS compliance

Assess internal audit procedures
Provide a record of evidence gathered relating to internal audit procedures in the

OHSMS internal audit procedures information
Nonconformity with OHSMS internal audit procedures?
Record conformities for OHSMS internal audit procedures
Record nonconformities for OHSMS internal audit procedures
Suggestions for OHSMS internal audit procedures

Assess OHSMS management review procedures
Provide a record of evidence gathered relating to management review procedures in the

OHSMS management review procedures information

Nonconformity with OHSMS management review
procedures?
Record conformities for OHSMS management review procedures

Record nonconformities for OHSMS management review procedures
Suggestions for OHSMS management review procedures

Collecting evidence (improvement):
Assess incident, nonconformity, and corrective action procedures
Provide a record of evidence gathered relating to incident, nonconformity, and corrective

action procedures in the OHSMS using the form fields below.
OHSMS incident, nonconformity, and corrective action procedures information
Nonconformity with OHSMS incident, nonconformity, and corrective action

procedures?
Record conformities for OHSMS incident, nonconformity, and corrective action procedures
Record nonconformities for OHSMS incident, nonconformity, and corrective action procedures
Suggestions for OHSMS incident, nonconformity, and corrective action procedures
Assess continuous improvement procedures
Provide a record of evidence gathered relating to continuous improvement procedures in

the OHSMS using the form fields below.
OHSMS continuous improvement procedures information

Nonconformity with OHSMS continuous improvement
procedures?
Record conformities for OHSMS continuous improvement procedures
Record nonconformities for OHSMS continuous improvement procedures
Suggestions for OHSMS continuous improvement procedures

Audit findings:
Review audit evidence and findings
Understanding of the OHSMS and its context

Internal issues: {{form.Internal_issues_information}}
External issues: {{form.External_issues_information}}
Relevant interested parties: {{form.Relevant_interested_parties_information}}
Any nonconformities?: {{form.Nonconformity_with_organization_and_its_context?}}
Conformities: {{form.Record_conformities_for_organization_and_its_context}}
Nonconformities: {{form.Record_nonconformities_for_organization_and_its_context}}
Suggestions: {{form.Suggestions_for_organization_and_its_context}}
Needs and expectations of relevant interested parties

Information: {{form.Needs_and_expectations_of_interested_parties_information}}
{{form.Nonconformity_with_needs_and_expectations_of_interested_parties?}}
Conformities:
{{form.Record_conformities_for_needs_and_expectations_of_interested_parties}}
Nonconformities:
{{form.Record_nonconformities_for_needs_and_expectations_of_interested_parties}}
Suggestions: {{form.Suggestions_for_needs_and_expectations_of_interested_parties}}
OHSMS scope
Information: {{form.OHSMS_scope_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_scope?}}
Conformities: {{form.Record_conformities_for_OHSMS_scope}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_scope}}
Suggestions: {{form.Suggestions_for_OHSMS_scope}}
Leadership
OHSMS leadership
Information: {{form.OHSMS_leadership_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_leadership?}}
Conformities: {{form.Record_conformities_for_OHSMS_leadership}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_leadership}}
Suggestions: {{form.Suggestions_for_OHSMS_leadership}}
OHSMS policy
Information: {{form.OHSMS_policy_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_policy?}}
Conformities: {{form.Record_conformities_for_OHSMS_policy}}
Nonconformities: {{form.Record_nonconformities_for_OHSMSpolicy}}
Suggestions: {{form.Suggestions_for_OHSMS_policy}}
OHSMS roles, responsibilities, and authorities

Information: {{form.OHSMS_roles_and_responsibilities_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_roles_and_responsibilities?}}
Conformities: {{form.Record_conformities_for_OHSMS_roles_and_responsibilities}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_roles_and_responsibilities}}
Suggestions: {{form.Suggestions_for_OHSMS_roles_and_responsibilities}}
OHSMS consultation and participation of workers

Information: {{form.Consultation_and_participation_of_workers_information}}
{{form.Nonconformity_with_consultation_and_participation_of_workers?}}
Conformities: {{form.Record_conformities_for_consultation_and_participation_of_workers}}
Nonconformities:
{{form.Record_nonconformities_for_consultation_and_participation_of_workers}}
Suggestions: {{form.Suggestions_for_consultation_and_participation_of_workers}}
Planning
OHSMS actions to address risks and opportunities

OHSMS risks information: {{form.OHSMS_risks_information}}
Procedures for OHSMS risk mitigation:

{{form.Procedures_for_OHSMS_risk_mitigation_information}}
OHSMS opportunities information:: {{form.OHSMS_opportunities_information}}
Procedures for engating OHSMS opportunities information:

{{form.Procedures_for_engaging_OHSMS_opportunities_information}}
{{form.Nonconformity_with_documentation_of_OHSMS_risks_and_opportunities?}}
Conformities: {{form.Record_conformities_for_OHSMS_risks_and_opportunities}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_risks_and_opportunities}}
Suggestions: {{form.Suggestions_for_OHSMS_risks_and_opportunities}}
OHSMS actions to address and identify hazards

Information: {{form.Actions_to_address_and_identify_OHSMS_hazards_information}}
{{form.Nonconformity_with_actions_to_address_and_identify_OHSMS_hazards_information?}
}
Conformities:
{{form.Record_conformities_for_actions_to_address_and_identify_OHSMS_hazards_informati
on}}
Nonconformities:
{{form.Record_nonconformities_for_actions_to_address_and_identify_OHSMS_hazards_infor
mation}}
Suggestions:
{{form.Suggestions_for_actions_to_address_and_identify_OHSMS_hazards_information}}
OHSMS determination of legal and other requirements

Information: {{form.Determination_of_OHSMS_legal/other_requirements_information}}
{{form.Nonconformity_with_determination_of_OHSMS_legal/other_requirements?}}
Conformities:
{{form.Record_conformities_for_determination_of_OHSMS_legal/other_requirements}}
Nonconformities:
{{form.Record_nonconformities_for_determination_of_OHSMS_legal/other_requirements}}
Suggestions: {{form.Suggestions_for_determination_of_OHSMS_legal/other_requirements}}
OHSMS planning action

Information: {{form.OHSMS_planning_action_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_planning_action?}}
Conformities: {{form.Record_conformities_for_OHSMS_planning_action}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_planning_action}}
Suggestions: {{form.Suggestions_for_OHSMS_planning_action}}
OHSMS objectives
Information: {{form.OHSMS_objectives_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_objectives?}}
Conformities: {{form.Record_conformities_for_OHSMS_objectives}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_objectives}}
Suggestions: {{form.Suggestions_for_OHSMS_objectives}}
Support
OHSMS resources
Information: {{form.OHSMS_resources_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_resources?}}
Conformities: {{form.Record_conformities_for_OHSMS_resources}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_resources}}
Suggestions: {{form.Suggestions_for_OHSMS_resources}}
OHSMS competence
Information: {{form.OHSMS_competence_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_competence?}}
Conformities: {{form.Record_conformities_for_OHSMS_competence}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_competence}}
Suggestions: {{form.Suggestions_for_OHSMS_competence}}
OHSMS awareness
Information: {{form.OHSMS_awareness_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_awareness?}}
Conformities: {{form.Record_conformities_for_OHSMS_awareness}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_awareness}}
Suggestions: {{form.Suggestions_for_OHSMS_awareness}}
OHSMS communication procedures

Information: {{form.OHSMS_communication_procedures_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_communication_procedures?}}
Conformities: {{form.Record_conformities_for_OHSMS_communication_procedures}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_communication_procedures}}
Suggestions: {{form.Suggestions_for_OHSMS_communication_procedures}}
OHSMS documented information
Information: {{form.OHSMS_documented_information_notes}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_documented_information?}}
Conformities: {{form.Record_conformities_for_OHSMS_documented_information}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_documented_information}}
Suggestions: {{form.Suggestions_for_OHSMS_documented_information}}
Operation
OHSMS operational planning and control

Information: {{form.OHSMS_planning_and_control_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_planning_and_control?}}
Conformities: {{form.Record_conformities_for_OHSMS_planning_and_control}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_planning_and_control}}
Suggestions: {{form.Suggestions_for_OHSMS_planning_and_control}}
OHSMS procedures for eliminating hazards and risks

Information: {{form.Procedures_for_eliminating_OHSMS_hazards_and_risks_information}}
{{form.Nonconformity_with_procedures_for_eliminating_OHSMS_hazards_and_risks?}}
Conformities:
{{form.Record_conformities_for_procedures_for_eliminating_OHSMS_hazards_and_risks}}
Nonconformities:
{{form.Record_nonconformities_for_procedures_for_eliminating_OHSMS_hazards_and_risks}
}
Suggestions:
{{form.Suggestions_for_procedures_for_eliminating_OHSMS_hazards_and_risks}}
Procedures for management of OHSMS change

Information: {{form.Procedures_for_management_of_OHSMS_change_information}}
{{form.Nonconformity_with_procedures_for_management_of_OHSMS_change?}}
Conformities:
{{form.Record_conformities_for_procedures_for_management_of_OHSMS_change}}
Nonconformities:
{{form.Record_nonconformities_for_procedures_for_management_of_OHSMS_change}}
Suggestions: {{form.Suggestions_for_procedures_for_management_of_OHSMS_change}}
OHSMS procurement
Information: {{form.OHSMS_procurement_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_procurement?}}
Conformities: {{form.Record_conformities_for_OHSMS_procurement}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_procurement}}
Suggestions: {{form.Suggestions_for_OHSMS_procurement}}
OHSMS emergency preparation and response

Information: {{form.OHSMS_emergency_preparation_and_response_information}}
{{form.Nonconformity_with_OHSMS_emergency_preparedness_and_response?}}
Conformities:
{{form.Record_conformities_for_OHSMS_emergency_preparation_and_response}}
Nonconformities:
{{form.Record_nonconformities_for_OHSMS_emergency_preparation_and_response}}
Suggestions: {{form.Suggestions_for_OHSMS_emergency_preparation_and_response}}
Performance evaluation
Systems for monitoring and measuring OHSMS performance

Information:
{{form.Systems_for_monitoring_and_measuring_OHSMS_performance_information}}
{{form.Nonconformity_with_systems_for_monitoring_and_measuring_OHSMS_performance?}
}
Conformities:
{{form.Record_conformities_for_systems_for_monitoring_and_measuring_OHSMS_performan
ce}}
Nonconformities:
{{form.Record_nonconformities_for_systems_for_monitoring_and_measuring_OHSMS_perfor
mance}}
Suggestions:
{{form.Suggestions_for_systems_for_monitoring_and_measuring_OHSMS_performance}}
Evaluation of OHSMS compliance

Information: {{form.Evaluation_of_OHSMS_compliance_information}}
Any nonconformities?: {{form.Nonconformity_with_evaluation_of_OHSMS_compliance?}}
Conformities: {{form.Record_conformities_for_evaluation_of_OHSMS_compliance}}
Nonconformities: {{form.Record_nonconformities_for_evaluation_of_OHSMS_compliance}}
Suggestions: {{form.Suggestions_for_evaluation_of_OHSMS_compliance}}
OHSMS internal audit procedures

Information: {{form.OHSMS_internal_audit_procedures_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_internal_audit_procedures?}}
Conformities: {{form.Record_conformities_for_OHSMS_internal_audit_procedures}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_internal_audit_procedures}}
Suggestions: {{form.Suggestions_for_OHSMS_internal_audit_procedures}}
OHSMS management review procedures

Information: {{form.OHSMS_management_review_procedures_information}}
{{form.Nonconformity_with_OHSMS_management_review_procedures?}}
Conformities: {{form.Record_conformities_for_OHSMS_management_review_procedures}}
Nonconformities:
{{form.Record_nonconformities_for_OHSMS_management_review_procedures}}
Suggestions: {{form.Suggestions_for_OHSMS_management_review_procedures}}
Improvement
OHSMS incident, nonconformity, and corrective action

procedures
Information:
{{form.OHSMS_incident,_nonconformity,_and_corrective_action_procedures_information}}
{{form.Nonconformity_with_OHSMS_incident,_nonconformity,_and_corrective_action_proced
ures?}}
Conformities:
{{form.Record_conformities_for_OHSMS_incident,_nonconformity,_and_corrective_action_pr
ocedures}}
Nonconformities:
{{form.Record_nonconformities_for_OHSMS_incident,_nonconformity,_and_corrective_action
_procedures}}
Suggestions:
{{form.Suggestions_for_OHSMS_incident,_nonconformity,_and_corrective_action_procedures
}}
OHSMS continuous improvement procedures

Information: {{form.OHSMS_continuous_improvement_procedures_information}}
{{form.Nonconformity_with_OHSMS_continuous_improvement_procedures?}}
Conformities:
{{form.Record_conformities_for_OHSMS_continuous_improvement_procedures}}
Nonconformities:
{{form.Record_nonconformities_for_OHSMS_continuous_improvement_procedures}}
Suggestions: {{form.Suggestions_for_OHSMS_continuous_improvement_procedures}}
Closing the audit:
Prepare OHSMS audit report
 1
 2
 3
 4
 5
 6
 7
 8

 9
Audit conclusions
 10
 11



Issue OHSMS audit report
interested parties.
 The auditee main point of contact (Auditee main point of contact)

 The audit programme manager (Audit programme manager email
 The lead auditor (Lead auditor email)

meetingand shared accordingly with relevant interested parties.
Follow-up actions
 1
 2
 3
 4

process.
 1
Auditee management
 2

 3
 4
The audit client
 5
 6

 1
 2
 3
 4
 5

interested parties
 6

 1
 2
 3
 4
 5
 6
 7

Complete the audit
the audit client.
depending on:

Introduction:
This template is designed to be used to perform a self-audit in accordance with requirements
of ISO 14001:2015 for environmental management systems (EMS).
Requirements are presented in the form of tasks with form fields to record various information
about the status of each of the 10 high level clauses as outlined in the Annex SL standard for
management systems:
1. Scope
2. Normative references
3. Terms and definitions
4. Context of the organisation
5. Leadership
6. Planning
7. Support
8. Operation
9. Performance evaluation
10. Improvement
These clauses are then further broken down into the Plan, Do, Check, or Act segments of
the PDCA cycle.
This checklist can be used as an effective tool for implementing the environmental management
system and for self-assessment of the system.
Self-auditing can help to define a high-level overview of an organization's performance, and
determine the effectiveness (or not) of its various management systems.
What's more, it can help to identify problem areas and successfully apply principles of
continuous improvement.
Self-auditing is best used as a tool to discover the potential opportunities for innovation and
continuous improvement; it is not a replacement for a 3rd party CB (Certified Body) audit and
will not necessarily result in an ISO certification.
This checklist was designed to factor in repeat audits, so that continuous improvement principles
could be applied over the course of multiple audits, with each successive audit contributing to the
inputs of the next.
The framework outlined in this checklist can be used as is, or edited and customized to suit your
specific needs.
Guidelines for success
In order to maximise the success of the organization, consider the following audit guidelines:
 Prioritizing and fulfilling the needs and expectations of interested parties

 Establishing and maintaining beneficial relationships with relevant interested parties
where possible, and constantly seeking to develop new beneficial relationships.
 Utilizing policies, strategies, and objectives to further business goals
 Effectively and efficiently managing resources with regard to business processes
 Adequately collecting and assessing metrics of performance within the organization
 Constantly seeking to identify and implement improvements across the organization
 Enforcing a company culture based on trust, transparency, and worker empowerment
Performance can be reviewed against the criteria outlined here and in this checklist, ultimately
identifying current "maturity" levels with the goal of outlining strengths, weaknesses, risks, and
opportunities.
Additional resources
For more ISO-related templates for various management systems (quality management,
environmental management, etc.) we have the following resources available for you to use:
 ISO 9000 Structure Template

 ISO 9000 Marketing Procedures
 ISO 14001 EMS Structure Template
 ISO 14001 EMS Mini-Manual Procedures
How Process Street works

Process Street is a tool for managing and running processes in an organization.
With Process Street, you can quickly and easily create, edit and deploy your processes.
Enter checklist details
Using the form fields below, record some basic details about the audit, including details of
who is to perform the audit, reasoning for the audit, audit start date, and any additional notes.
Auditor first name
Auditor second name
Reason for audit
Notes on previous audit - if applicable

Start date
Scope:
Assess EMS scope
Using the form fields below, record your assessment of the EMS scope.
Scope of EMS
Scope being assessed

Scope includes environmental aspects out of company's
control?
Scope adequately defined within EMS documentation?
Additional processes excluded from scope

Reasons for exclusion
Comments on EMS scope

Environmental policy:
Assess if environmental policy is adequately defined
Using the form fields below, record your assessment of the environmental policy.
Policy consistent with EMS scope?
Policy appropriate to the nature of company activities?
How is policy committed to continuous improvement?
How is policy committed to prevention of pollution?

How is policy committed to comply with relevant environmental legislation?
How are environmental objectives and targets set and reviewed?
How is the policy documented?
How is policy available to the relevant interested parties?

Plan:
Assess environmental aspects of planning
Using the form fields below, record your assessment of the environmental aspects of
planning.
Consider whether the organization has established, implemented and maintained a procedure to
identify the environmental aspects of activities, products or services that are within the scope of
its EMS.
This will include environmental aspects that:
 1
The organization has direct control over
 2
The organization has a limited degree of influence

Consider whether or not this includes planned or new developments, or new or modified
activities, products and services.
Inclusive of planned or new developments?

Consider how the procedure determines those aspects that have or can have significant
impacts on the environment (ie. are details of assessment methodology included?).
How is the extent of environmental impact assessed?
Assessments of environmental impacts documented?
How are environmental impacts documented?
Procedure for assessing environmental aspects maintained?

For each of the procedures included in the EMS, ensure the following has been adequately
considered:
 1
Documentation
 2
Communication
 3
Emergency response procedures
 4
Internal audit procedures

Assess legal and regulatory requirements
Using the form fields below, record your assessment of legal and regulatory requirements.
Consider whether a procedure been established and implemented to identify and have access to
applicable legal and other requirements (eg. National Packaging Covenant, Greenhouse
Challenge) which the organization subscribes to that are directly applicable to the identified
environmental aspects.
Process exists for identifying and implementing regulatory

requirements?
Outline procedure for identifying/implementing regulatory requirements
How is regulatory identification/implementation process maintained?
Environmental aspects considered when identifying regulatory

requirements?
Regulatory requirements considered when designing, implementing, and maintaining
EMS?
Person responsible for identifying and determining impact of regulatory requirements
competent?
Assess objectives, targets, and strategies
Using the form fields below, record your assessment of environmental objectives, targets,
and strategies.
Consider whether the organization has established, implemented and maintained documented
environmental objectives and targets.
Environmental objectives and targets established?
Environmental objectives and targets implemented?
Environmental objectives and targets maintained?

Have these been established at relevant functions and levels within the
organization?
Consider whether the organization established, implemented & maintained a strategy for
achieving its objectives and targets.
Strategy established for reaching objectives?
Comments on strategic establishment
Strategy implemented for reaching objectives?
Strategy maintained for reaching objectives?
Comments on strategic maintenance

Ensure that objectives and targets are measurable (where practical) and that they are they
consistent with the following:
 1
Environmental policy
 2
Legal and other requirements
 3
Prevention of pollution
 4
Continuous improvement
Also assess the following:
How are legal and other requirements considered?
How are significant environmental aspects considered?
How are technological options considered?

How are financial, operational, and business requiremnets options considered?
How are the views of interested parties considered?
Who is responsible for implementing which strategies?
What are the means of achieving different objectives?
What are the timeframes of achieving different objectives?

How does the organization ensure that strategies are updated as a result of new developments?
Do:
Assess resources, roles, responsibility, and authority
Using the form fields below, record your assessment of resources, roles, responsibility, and
authority.
How are roles, responsibility and authorities defined, documented and communicated?
How does management determine allocation of resources?

When assessing resources, be sure to consider the following:
 1
Human resources
 2
Specialised skills?
 3
Organizational infrastructure
 4
Technology
 5
Financial resources
Has a specific management representative for the EMS been
assigned?
Assess whether the roles of the EMS representative include the defined roles, responsibilities and
authority for:
 1
Ensuring that environmental management system requirements are established,

implemented and maintained in accordance with ISO 14001:2004
 2
Reporting on the performance of the environmental management system to top

management including recommendations for improvement
Comments on EMS representative

Assess competence, training, and awareness
Using the form fields below, record details of your assessment of employee competence,
training, and awareness.
How is worker competence assessed?
Has the organization retained competency records?

How does the organization identify training requirements for the EMS?
Has training been delivered, and associated records

retained?
Consider whether or not a procedure has been established, implemented and maintained to
ensure that the people working for, or on behalf of your organization are aware of:
 1
The importance of conformity with the environmental policy and procedures and with the
requirements of the environmental management system
 2
The significant environmental aspects and related actual or potential impacts associated
with their work activities and the environmental benefits of improved personal
performance
 3
Their roles and responsibilities in achieving conformity with the requirements of the
environmental management
 4
The potential consequences of departure from specified operating procedures
Comments on worker awareness

Assess communication
Using the form fields below, record your assessment of communication of and within the
context of the EMS.
Firstly, as relevant to the EMS, has the organization established, implemented and maintained
procedure(s) for:
 1
Internal communication between the various levels and functions of your organization
 2
Receiving, documenting and responding to relevant communication from external

interested parties
Are environmental aspects communicated externally?
Has this decision been documented?

Has the method of communication of environmental aspects been
standardized?
Comments on EMS communication

Assess documentation systems
Using the form fields below, record your assessment of documentation systems.
To begin with, consider how the organization’s environmental management system documents
the following:
 1
Environmental policy, objectives and targets
 2
Description of the scope of the environmental management system
 3
Description of the main elements of the environmental management system, their

interaction and reference to related documents
 4
Documents and records required by the Standard
 5
Documents, including records, necessary for the effective planning, operation and control
of processes related to its significant aspects
How is the documentation system maintained?
Comments on the documentation system(s)

Assess control of documents
Using the form fields below, record your assessment of control of documents in the EMS.
Is there a standardized procedure for controlling all documents in the

EMS?
Consider how SOPs for control of documents account for:
 1
Who approves the documents for adequacy before they are issued
 2
How they are periodically reviewed, updated and re-approved as necessary
 3
How changes and the current revision status are identified

 4
How current versions of relevant documents are made available at points of use
 5
How the legibility and identification of the documents is ensured
 6
How external documents, as determined by the organization for effective planning and
operation of the environmental management system are identified and controlled
 7
How to prevent obsolete documents against unintended use, and apply suitable
identification to them if they are retained for any purpose
Comments on control of documents

Assess operational control
Using the form fields below, record your assessment of operational control.
How are operations identified and planned in the context of the EMS?
Consider how operational activities are planned in order to ensure that they are carried out under
specified conditions such as:
 1
Establishing, implementing and maintaining documented procedures to cover situations

where their absence could lead to deviations from the environmental policy and the
objectives and targets
 2
Stipulating operating criteria in the procedures
 3
Establishing, implementing and maintaining procedures related to the identified

significant environmental aspects of goods and services used by the organization and
communicating applicable procedures and requirements to suppliers and contractors
Comments on operational control

Assess emergency preparedness and response
Using the form fields below, record your assessment of emergency preparedness and
response.
Consider how the organization has established, implemented and maintained a procedure(s) to
identify the potential emergency situations and potential accidents that can have an impact on the
environment
Does a procedure exist for identifying potential emergency

situations?
Are environmental aspects considered in the emergency preparedness and response
procedure(s)?
Does the procedure(s) cover how the organization will respond to these
situations?
How do these procedures account for adverse environmental impacts of emergency situations?
How are emergency preparedness and response procedures reviewed?
Are these procedures periodically tested?
Comments on emergency preparedness and response

Check/Study:
Assess monitoring and measurements
Using the form fields below, record your assessment of monitoring and measurements.
Is there a procedure(s) to monitor and measure environmental

impacts?
Consider how this procedure monitors the following:
 1
Performance
 2
Relevant operational controls
 3
Conformity with the organization’s environmental objectives and targets

How is monitoring and measuring equipment calibrated, verified, and maintained?
Are calibration or verification records retained?
Comments on monitoring and measurements

Assess compliance
Using the form fields below, record your assessment of compliance.
Does the organization have a procedure(s) for compliance

evaluation?
Are the records of the results of these periodic evaluations
maintained?
Comments on compliance
Assess non-conformity, corrective, and preventative action
Using the form fields below, record your assessment of non-conformity, corrective, and
preventative action.
Consider whether the organization has established, implemented and maintained a procedure(s)
for the following:
 1
Dealing with actual and potential nonconformities
 2
Corrective and preventive action

Consider whether the procedures define requirements for:
 1
Identifying and correcting non-conformities and taking action to mitigate the resulting
environmental impacts
 2
Investigating the non-conformities, determining their causes and take action to avoid their
recurrence
 3
Evaluating the need for actions to be taken to prevent non-conformities, and

implementing appropriate actions
 4
Recording the results of corrective and preventive actions taken
 5
Reviewing the effectiveness of corrective and preventive actions

Are the responsibilities and authorities for this process
defined?
How is the procedure updated?

How are decisions made regarding action taken to eliminate causes of non-conformity, etc?
How are changes such as corrective and preventative action documented in the EMS?
Comments on non-conformity, corrective, and preventative action

Assess control of records
Using the form fields below, record your assessment of control of records.
Is there a standardized process for updating environmental

records?
How are environmental records updated and disposed of?

Consider whether or not these records include those that are necessary to demonstrate conformity
to the requirements of the standard and include (for example), records of:
 1
Competence, training & awareness
 2
Communication
 3
Evaluation of compliance with legal and other requirements
 4
Monitoring and measurement
 5
Corrective & preventive action
 6
Internal audits
 7
Management review
Are the records legible, identifiable and traceable?
How are environmental records stored?
Comments on control of records

Assess procedures for internal audit
Using the form fields below, record your assessment of the procedure for conducting an
internal audit.
Is there a standardized process for internal audits?

Consider if these internal audits determine whether or not the environmental management
system:
 1
Conforms to planned arrangements for environmental management including the
requirements of this standard
 2
Has been properly implemented and maintained
How are previous audits integrated into current strategies?

How does the organization provide information on the results of audits to management?
Does the audit procedure cover:
 1
(a) the responsibilities and requirements for planning and conducting audits, reporting
results and retention of associated records?
 2
(b) The determination of audit criteria, scope, frequency and methods?
How are auditors selected in an objective and impartial manner?
How is auditor competency determined?
Comments on internal audit procedures

Act:
Assess management review
Using the form fields below, record your assessment of management review.
Is the EMS regularly reviewed by management?

Does the review include assessing opportunities for
improvement?
Consider whether the inputs to management review include:
 1
Results from internal audits and evaluations of compliance with legal and other
requirements
 2
Communication from external parties, including complaints
 3
The environmental performance of the organization
 4
The extent to which the objectives and targets have been met
 5
The status of corrective and preventive action
 6
Follow-up actions from previous management reviews(g) Changing circumstances,

including developments in legal and other requirements related to its environmental
aspects
 7
Recommendations for improvement

Are the records of the management reviews retained?
Comments on management review

Provide an overview of the audit
Use this section to summarize recommendations for improvement of the organization's

operations based on the understanding of the maturity levels across different areas of the
organization.
Use the file upload or website link form field below to attach or link to a more comprehensive set
of recommendations, if applicable.
Describe the maturity level of the organization
Identify the strengths of the organization

Identify the areas for improvement based on maturity scores
Recommendations summary
Full recommendations file upload
See results of the audit
Audit completed by: {{form.Auditor_first_name}} {{form.Auditor_second_name}}
Commencing: {{form.Start_date}}
Scope
EMS scope:
Scope of EMS: {{form.Scope_of_EMS}}
Scope being assessed for certification: {{form.Scope_being_assessed_for_certification}}
Scope includes environmental aspects out of company's control:

{{form.Scope_includes_environmental_aspects_out_of_company's_control?}}
Scope adequately defined within EMS documentation:

{{form.Scope_adequately_defined_within_EMS_documentation?}}
Additional processes excluded from scope:

{{form.Additional_processes_excluded_from_scope}}
Reasons for exclusion: {{form.Reasons_for_exclusion}}
Comments on EMS scope: {{form.Comments_on_EMS_scope}}
Environmental policy
Definition of environmental policy:
Policy consistent with EMS scope: {{form.Policy_consistent_with_EMS_scope?}}
Policy appropriate to the nature of company activities:

{{form.Policy_appropriate_to_the_nature_of_company_activities?}}
How is policy committed to continuous improvement:
{{form.How_is_policy_committed_to_continuous_improvement?}}
How is policy committed to prevention of pollution:

{{form.How_is_policy_committed_to_prevention_of_pollution?}}
How is policy committed to comply with relevant environmental legislation:

{{form.How_is_policy_committed_to_comply_with_relevant_environmental_legislation?}}
How are environmental objectives and targets set and reviewed:

{{form.How_are_environmental_objectives_and_targets_set_and_reviewed?}}
How is the policy documented: {{form.How_is_the_policy_documented?}}
How is policy available to the relevant interested parties:

{{form.How_is_policy_available_to_the_relevant_interested_parties?}}
Plan
Environmental aspects of planning:
Inclusive of planned or new developments:
{{form.Inclusive_of_planned_or_new_developments?}}
How is the extent of environmental impact assessed:

{{form.How_is_the_extent_of_environmental_impact_assessed?}}
Assessments of environmental impacts documented:

{{form.Assessments_of_environmental_impacts_documented?}}
How are environmental impacts documented:

{{form.How_are_environmental_impacts_documented?}}
Procedure for assessing environmental aspects maintained:

{{form.Procedure_for_assessing_environmental_aspects_maintained?}}
Legal and regulatory requirements:

Process exists for identifying and implementing regulatory requirements:
{{form.Process_exists_for_identifying_and_implementing_regulatory_requirements?}}
Outline procedure for identifying/implementing regulatory requirements:

{{form.Outline_procedure_for_identifying/implementing_regulatory_requirements}}
How is regulatory identification/implementation process maintained:

{{form.How_is_regulatory_identification/implementation_process_maintained?}}
Environmental aspects considered when identifying regulatory requirements:

{{form.Environmental_aspects_considered_when_identifying_regulatory_requirements?}}
{{form.Regulatory_requirements_considered_when_designing,_implementing,_and_maintaining
_EMS?}}:
Person responsible for identifying and determining impact of regulatory requirements competent:
{{form.Person_responsible_for_identifying_and_determining_impact_of_regulatory_requiremen
ts_competent?}}
Objectives, targets, and strategies:

Environmental objectives and targets established:
{{form.Environmental_objectives_and_targets_established?}}
Environmental objectives and targets implemented:

{{form.Environmental_objectives_and_targets_implemented?}}
Environmental objectives and targets maintained:

{{form.Environmental_objectives_and_targets_maintained?}}
Have these been established at relevant functions and levels within the organization:
{{form.Have_these_been_established_at_relevant_functions_and_levels_within_the_organizatio
n?}}
Strategy established for reaching objectives:

{{form.Strategy_established_for_reaching_objectives?}}
Comments on strategic establishment: {{form.Comments_on_strategic_establishment}}
Strategy implemented for reaching objectives:

{{form.Strategy_implemented_for_reaching_objectives?}}
Strategy maintained for reaching objectives:

{{form.Strategy_maintained_for_reaching_objectives?}}
Comments on strategic maintenance: {{form.Comments_on_strategic_maintenance}}
How are legal and other requirements considered:

{{form.How_are_legal_and_other_requirements_considered?}}
How are significant environmental aspects considered:

{{form.How_are_significant_environmental_aspects_considered?}}
How are technological options considered:

{{form.How_are_technological_options_considered?}}
How are financial, operational, and business requiremnets options considered:

{{form.How_are_financial,_operational,_and_business_requiremnets_options_considered?}}
How are the views of interested parties considered:

{{form.How_are_the_views_of_interested_parties_considered?}}
Who is responsible for implementing which strategies:
{{form.Who_is_responsible_for_implementing_which_strategies?}}
What are the means of achieving different objectives:

{{form.What_are_the_means_of_achieving_different_objectives?}}
What are the timeframes of achieving different objectives:

{{form.What_are_the_timeframes_of_achieving_different_objectives?}}
How does the organization ensure that strategies are updated as a result of new developments:
{{form.How_does_the_organization_ensure_that_strategies_are_updated_as_a_result_of_new_d
evelopments?}}
Do
Resources, roles, responsibility, and authority:
How are roles, responsibility and authorities defined, documented and communicated:
{{form.How_are_roles,_responsibility_and_authorities_defined,_documented_and_communicat
ed?}}
How does management determine allocation of resources:

{{form.How_does_management_determine_allocation_of_resources?}}
Has a specific management representative for the EMS been assigned:

{{form.Has_a_specific_management_representative_for_the_EMS_been_assigned?}}
Comments on EMS representative: {{form.Comments_on_EMS_representative}}
Competence, training, and awareness:

How is worker competence assessed: {{form.How_is_worker_competence_assessed?}}
Has the organization retained competency records:

{{form.Has_the_organization_retained_competency_records?}}
How does the organization identify training requirements for the EMS:
{{form.How_does_the_organization_identify_training_requirements_for_the_EMS?}}
Has training been delivered, and associated records retained:

{{form.Has_training_been_delivered,_and_associated_records_retained?}}
Comments on worker competency, training, and awareness:

{{form.Comments_on_worker_awareness}}
Communication:
Are environmental aspects communicated externally:
{{form.Are_environmental_aspects_communicated_externally?}}
Has this decision been documented: {{form.Has_this_decision_been_documented?}}
Has the method of communication of environmental aspects been standardized:

{{form.Has_the_method_of_communication_of_environmental_aspects_been_standardized?}}
Comments on EMS communication: {{form.Comments_on_EMS_communication}}
Documentation systems:
How is the documentation system maintained:
{{form.How_is_the_documentation_system_maintained?}}
Comments on the documentation system(s):

{{form.Comments_on_the_documentation_system(s)}}
Control of documents:
Is there a standardized procedure for controlling all documents in the EMS:
{{form.Is_there_a_standardized_procedure_for_controlling_all_documents_in_the_EMS?}}
Comments on control of documents: {{form.Comments_on_control_of_documents}}
Operational control:
How are operations identified and planned in the context of the EMS:
{{form.How_are_operations_identified_and_planned_in_the_context_of_the_EMS?}}
Comments on operational control: {{form.Comments_on_operational_control}}
Emergency preparedness and response:

Does a procedure exist for identifying potential emergency situations:
{{form.Does_a_procedure_exist_for_identifying_potential_emergency_situations?}}
Are environmental aspects considered in the emergency preparedness and response procedure(s):
{{form.Are_environmental_aspects_considered_in_the_emergency_preparedness_and_response
_procedure(s)?}}
Does the procedure(s) cover how the organization will respond to these situations:
{{form.Does_the_procedure(s)_cover_how_the_organization_will_respond_to_these_situations?
}}
How do these procedures account for adverse environmental impacts of emergency situations:
{{form.How_do_these_procedures_account_for_adverse_environmental_impacts_of_emergency
_situations?}}
How are emergency preparedness and response procedures reviewed:
{{form.How_are_emergency_preparedness_and_response_procedures_reviewed?}}
Are these procedures periodically tested: {{form.Are_these_procedures_periodically_tested?}}
Comments on emergency preparedness and response:

{{form.Comments_on_emergency_preparedness_and_response}}
Check/Study
Monitoring and measurements:
Is there a procedure(s) to monitor and measure environmental impacts:
{{form.Is_there_a_procedure(s)_to_monitor_and_measure_environmental_impacts?}}
How is monitoring and measuring equipment calibrated, verified, and maintained:

{{form.How_is_monitoring_and_measuring_equipment_calibrated,_verified,_and_maintained?}
}
Are calibration or verification records retained:

{{form.Are_calibration_or_verification_records_retained?}}
Comments on monitoring and measurements:

{{form.Comments_on_monitoring_and_measurements}}
Compliance:
Does the organization have a procedure(s) for compliance evaluation:
{{form.Does_the_organization_have_a_procedure(s)_for_compliance_evaluation?}}
Are the records of the results of these periodic evaluations maintained:

{{form.Are_the_records_of_the_results_of_these_periodic_evaluations_maintained?}}
Comments on compliance: {{form.Comments_on_compliance}}
Non-conformity, corrective, and preventative action:

Are the responsibilities and authorities for this process defined:
{{form.Are_the_responsibilities_and_authorities_for_this_process_defined?}}
How is the procedure updated: {{form.How_is_the_procedure_updated?}}
How are decisions made regarding action taken to eliminate causes of non-conformity, etc:
{{form.How_are_decisions_made_regarding_action_taken_to_eliminate_causes_of_non-
conformity,_etc?}}
How are changes such as corrective and preventative action documented in the EMS:
{{form.How_are_changes_such_as_corrective_and_preventative_action_documented_in_the_E
MS?}}
Comments on non-conformity, corrective, and preventative action: {{form.Comments_on_non-

conformity,_corrective,_and_preventative_action}}
Control of records:
Is there a standardized process for updating environmental records:
{{form.Is_there_a_standardized_process_for_updating_environmental_records?}}
How are environmental records updated and disposed of:

{{form.How_are_environmental_records_updated_and_disposed_of?}}
Are the records legible, identifiable and traceable:

{{form.Are_the_records_legible,_identifiable_and_traceable?}}
How are environmental records stored: {{form.How_are_environmental_records_stored?}}
Comments on control of records: {{form.Comments_on_control_of_records}}
Procedures for internal audit:

Is there a standardized process for internal audits:
{{form.Is_there_a_standardized_process_for_internal_audits?}}
How are previous audits integrated into current strategies:

{{form.How_are_previous_audits_integrated_into_current_strategies?}}
How does the organization provide information on the results of audits to management:
{{form.How_does_the_organization_provide_information_on_the_results_of_audits_to_manage
ment?}}
How are auditors selected in an objective and impartial manner:

{{form.How_are_auditors_selected_in_an_objective_and_impartial_manner?}}
How is auditor competency determined: {{form.How_is_auditor_competency_determined?}}
Comments on internal audit procedures: {{form.Comments_on_internal_audit_procedures}}
Act
Management review:
Is the EMS regularly reviewed by management:
{{form.Is_the_EMS_regularly_reviewed_by_management?}}
Does the review include assessing opportunities for improvement:
{{form.Does_the_review_include_assessing_opportunities_for_improvement?}}
Are the records of the management reviews retained:

{{form.Are_the_records_of_the_management_reviews_retained?}}
Comments on management review: {{form.Comments_on_management_review}}
Audit overview:
Describe the maturity level of the organization:
{{form.Describe_the_maturity_level_of_the_organization}}
Identify the strengths of the organization: {{form.Identify_the_strengths_of_the_organization}}
Identify the areas for improvement based on maturity scores:

{{form.Identify_the_areas_for_improvement_based_on_maturity_scores}}
Recommendations summary: {{form.Recommendations_summary}}
Introduction:
As competition increases and alongside higher environmental awareness, more and more
organizations are choosing to implement both ISO 9001 and ISO 14001 standards together in
a single, unified integrated management system.
It should come as no surprise, as both standards share many similarities, both being based on
the Annex SL management system standard.
Both quality management systems and environmental management systems are highly
synergistic with one another.
The need for implementing both an EMS and QMS together in a single IMS has existed for a
long time, and the trend is only growing. The best solution for this is to take them both on in one
fell swoop, in the form of an integrated management system.
This checklist is designed to help you integrate your existing EMS and QMS policies and
procedures, and consolidate two separate manuals into one.
By implementing both standards together into a single reference point, you will save yourself
time and money by not having to do twice the work to update two separate management
systems.
It will also allow you to align the environmental objectives with quality policies, and achieve
further synergy between the two systems in service of your overarching business goals.
How and where to start implementing a singular integrated management system will be different
for each company, but this checklist should offer you a firm starting point and get the ball
rolling, providing you with actionable steps towards a complete IMS.
Let's get started with the checklist.
Gather basic details
First of all, record some basic details about the checklist, and who's running it.
This will be useful as part of the documentation of your EMS in the future.
Environmental manager first name
Environmental manager last name

Integration start date
ISO standards already implemented

Plan:
Develop a project plan

Making such a complex system should not be done ad-hoc. For a successful implementation and
later maintenance of your IMS, it is crucial to approach it systematically and develop a project
plan.
This plan needs to include precisely defined activities, resources, responsibilities and deadlines.
Doing this enables the company to clearly identify what needs to be done, how long it will take,
what resources are needed, and who will do it in the best way.
A good plan will facilitate the integration and allow some of the tasks to be
performed simultaneously, decreasing the time needed for the implementation project.
Using the form fields below, record the project plan outline, and upload a full project plan
document if applicable.
Project plan outline

Project plan full document upload
Define the scope of the IMS
To set a firm foundation for the system, the company must first determine the scope of the
management system by defining what locations and processes the system applies to.
Having separate systems for ISO 9001, ISO 14001 and ISO 45001 allows having separate
scopes, which can be convenient in some cases but, for most companies, the scope will be the
same.
The scope is usually the entire company, or it could be only some of the processes and locations.
All standards require the scope to be documented (see here for a free preview of Scope of the
Integrated Management System); the only difference is that ISO 9001 allows organizations to
determine what requirements of the standard are not applicable to the organization, and can
therefore be excluded from the scope of the IMS.
This is only applicable if the exclusion does not affect the company’s ability to ensure
conformity of products and services, or the enhancement of customer satisfaction, and
justification must
be given for any exclusions.
This will essentially require you to establish and compare the scope of both EMS and QMS, and
determine where overlap exists.
Using the form fields in this task, record the scope of both EMS and QMS separately.
EMS scope
QMS scope
Determine common ground
The next step is to identify all of the common requirements from the three standards, and this is
not a short list.
Basically, clauses 4, 5, 7, 9 and 10 are almost the same, with some small differences.
There are quite a lot of common requirements that, with minor adaptations, can be met through a
single process or document.
Use the sub-checklist below to run through each of the clauses, and detail how the integrated
requirements for each will be met in the form fields of this task.
 1
 2
Relevant interested parties
 3
Leadership
 4
Policies
 5
Risks
 6
Opportunities
 7
Environmental aspects
 8
Compliance
 9
Integrated requirements for context of the organization
Integrated requirements for relevant interested parties
Integrated requirements for leadership
Integrated requirements for policies
Integrated requirements for risks
Integrated requirements for opportunities
Integrated requirements for environmental aspects
Integrated requirements for compliance
Integrated requirements for business goals and objectives

Do:
Ensure SOPs do not conflict with environmental aspects
This is the core of the standard, the Do phase, and here the integration brings the highest
benefits.
If the company has integrated ISO 9001 and ISO 14001 systems, operational planning and
control will not be conducted separately and will not double the use of resources in some phases.
This facilitates establishment of the systems, but it brings difficulties when performing the
activities.
The people who will be conducting the operational controls for ISO 9001 or ISO 14001 are the
same ones in charge of the processes, and will get instructions from different sources.
For ISO 9001 the instructions will come from process procedures, while ISO 14001 instructions
will come from the procedure for operational controls of the environmental aspects.
This can be confusing, and may lead to contradiction in the instructions to the employees. And,
by coordinating the employees from different sources, it may lead to unnecessary activities or
doubled activities just because the two procedures refer to the same process.
That is why it is important to include the requirements of both standards when developing a
procedure for a single process.
When fulfilling the following requirements for ISO 9001 operational control, it is vital
to include requirements for operational controls of significant environmental aspects within
the processes:
 1
Defining the requirements for the products and services
 2
Establishing criteria for processes
 3
Defining resources
 4
Fulfilling other requirements for ISO 9001 operational control

If significant environmental aspects emerge from the process, operational controls regarding the
aspects must be included in the procedure that defines how the process is conducted.
This will result in having one workflow for the process without risk that something is left out or
the sequence of activities is jeopardized.
Determine whether or not all procedures contain requirements for both ISO 9001 and ISO
14001 with the form field below.
All procedures contain requirements for both ISO 9001 and ISO
14001?
Integrate resource management processes
Resource management can be done in the same way for both ISO 9001 and ISO 14001 and be
compliant with the requirements of both standards, except for one small difference.
ISO 9001 defines additional resource requirements and separates them into several sub-clauses.
Using the sub-checklist below, make sure your resource management procedures have the
following sub-clauses:
 1
People
 2
Infrastructure
 3
Environment for the operation of processes
 4
Monitoring and measuring resources
 5
Organizational knowledge
Integrate requirements for competence and awareness
Similarly, requirements for employee competence, training, and awareness are the same, with
one small difference.
The difference is that the EMS refers to environmental requirements, and the QMS to quality
requirements, but they can both be met with the same process.
Considering both quality and environmental requirements can help to improve process
optimization, coordinating employees with an overview of all resources needed and providing
improved coordination of business outputs.
Using the form fields below, record the various quality and environmental competence
requirements.
Outline quality competence requirements
Outline environmental competence requirements

Integrate requirements for internal communication
The requirements are the same for internal communication, with the exception that ISO 14001
additionally requires external communication of the environmental policies and such.
This also means both internal and external communication procedures will need to be
extensively documented.
Using the form fields below, define what will be communicated, when, to whom, and how.
What: What is being communicated?
When: Describe communication schedule
Whom: Who is receiving communication?
How: Outline the SOP(s) for communicating new information

Integrate requirements for documenting information
This one is easy; requirements for documenting information is identical in both ISO 9001 and
ISO 14001.
The singular integrated process, then, should define the following aspects of documented
information:
 1
Creation
 2
Update
 3
Distribution
 4
Withdrawal
 5
Retention
Study/Check:
Define monitoring and measurement requirements
Both ISO 9001 and ISO 14001 require the organization to define what will be monitored and
measured, how, how often, and how the results will be analyzed.
Besides the different perspectives of the standards, the difference is that ISO 9001 has a separate
sub-clause with requirements regarding monitoring and measuring customer satisfaction, while
ISO 14001 has additional requirements for the evaluation of compliance
 1
QMS: Requirements for customer satisfaction met
 2
EMS: Compliance requirements met

Indicate the shared monitoring and measurement requirements with the form field below:
Shared monitoring and measurement requirements

Integrate scope of internal audit process
The internal audit is the same in terms of how it is conducted for both standards; the difference is
in the clauses and requirements to be audited.
Having one process for internal audits of both standards will facilitate coordination and planning
of the audits; the fact that they are part of the same system doesn’t mean that the ISO 9001 and
ISO 14001 requirements must be audited at the same time, but having one internal audit program
(here you can find the free preview of Internal Audit Program) for both standards will help the
organization to plan the audits better and avoid overlapping of resources
If you don't already have a clearly defined audit process, then check out these checklist
templates for self-auditing both ISO 9001 for quality management, and ISO 14001 for
environmental management:
 Quality Management System Self-Audit Checklist

 Environmental Management System Self-Audit Checklist
Integrate management review scope
The appeal of an integrated management system is clear to top management: they will only have
to hold one meeting instead of two.
Management reviews should be performed only once all reports and input elements for both the
QMS and EMS have been gathered in one place.
This way, it will be far easier to make decisions informed by a singular perspective of the IMS
and its performance.
Outline the integrated scope of the management review in the form field below.
Scope of integrated management review

Act:
Integrate the process for continuous improvement
There are no specific standards pertaining to the implementation of continuous improvement,

and both QMS and EMS standards rely heavily on methodologies of CI such as the Plan-Do-
Check-Act cycle.
Whether quality or environmental, problems like these can be resolved in much the same ways.
Consider this fact when developing the singular integrated procedure for managing
nonconformities and corrective actions for both quality and environmental management systems.
Outline the primary strategies for continuous improvement with the form field below.
Outline primary strategies for continuous improvement

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ISO 19011

Enter basic details

Audit programme manager details

Audit programme manager first name

Audit programme manager second name

Auditee additional details

Establish competence of audit programme managers

Audit programme managers should have complete knowledge of:

Audit processes, policies, and procedures

Relevant management system standards

All documented information about the auditee and its context

Relevant external and internal issues

The needs and expectations of relevant interested parties

Information security and confidentiality requirements

The information should include:

Objectives for the audit programme

Schedule (number/duration/frequency) of the audits

Audit types, such as internal or external

Criteria for selecting audit team members

Relevant documented information

Audit programme context

Audit programme objectives might be based on:

Specific process and policy requirements

Expectations and requirements of customers

Specific management system requirements (e.g. ISO 9001)

External stakeholder evaluation

Conformities and nonconformities in the organization

Results of previous audits

 Gain evidence to assure confidence in an external provider/partner

Audit programme objectives

Risks and opportunities might be associated with:

Audit programme risks

Suggested actions for programme risks

Audit programme opportunities

Extent of audit programme

Determine the resources to be allocated for the audit programme.

When determining resource allocation, consider the following:

Audit methods at your disposal

Availability of competent auditors and other relevant technical experts

Risks and opportunities of the audit programme

Full accommodation of auditing needs, including travel costs, time, etc.

Methods of communication between everyone involved

Tools, tech, and equipment required

Availability of required documented information

On-site requirements e.g. clearances, special equipment, expert guidance, etc.

Audit programme resources

Audit programme documented information (incomplete)

Audit programme documented information (incomplete - additional)

Ensure relevant duties have been fulfilled so far

Ensure audit teams are adequately selected

Clarify all relevant processes

Determine and provision resources

Prepare all documented information

Audit approved by auditee

Ensure individuals planning the audit are prepared

Risks and opportunities

All documented information so far

Selected audit methods

Scheduling of all audit-related activities

Audit team competence

Individual and overall resources

Documentation procedures for evidence collecting (and all audit activity)

Operational controls for audit programme monitoring

Extent of the management system to be audited