The following checklist for IMS of quality, environment and OH&S can be used for both internal audits as well as Gap Analysis tools.
| IMS Checklist | |
| Clause 4: | Context of the organization |
| 4.1 | Understanding the organization and its context |
| 1 | Has the organization determined the external and internal issues relevant to the Purpose & strategic direction of its IMS and that can affect its ability to achieve the intended results? |
| 2 | Does the organization monitor and review information about these external and internal issues? |
| 3 | Does it includes environmental conditions that impact or are impacted by the organization? |
| 4 | Has the organization determined whether climate change is a relevant issue? |
| 4.2 | Understanding the needs and expectations of interested parties |
| 1 | Has the organization determined the interested parties that are relevant to the IMS? |
| 2 | Has the organization determined the requirements of these interested parties relevant to the IMS? |
| 3 | Has the organization determined which of these needs and expectations becomes its compliance obligation including legal and other requirements? |
| 4 | Does the organization monitor and review the information about these interested parties and their relevant requirement? |
| 4.3 | Determining the scope of the quality management system |
| 1 | Has the organization established the scope of its IMS? |
| 2 | Has the organization determined the boundaries and applicability of the IMS? |
| 3 | Does the scope consider planned or performed work-related activities and include activities, products, and services that impact OH&S performance? |
| 4 | While determining Applicability, does the organization determine if it affects its ability or responsibility to ensure the conformity of its products and services and the enhancement of customer satisfaction? |
| 5 | When determining the scope, how does the organization consider external and internal issues referred to in 4.1, the requirements of relevant interested parties referred to in 4.2 , and its products and services? |
| 6 | Does the scope includes organizational units, functions, physical boundaries, activities, products, services, and the organization’s control and influence, with all within-scope elements included in the system? |
| 7 | Is the scope documented and available to its interested parties |
| 4.4 | Integrated Management System related to Quality, Environmental and OH&S and its processes. |
| 1 | Has the organization established, implemented, maintained and continually improved its IMS including including the necessary processes and their interactions? |
| 4.4.1 | |
| 1 | Has the organization determined the processes needed for the IMS? |
| 2 | Has the organization addressed the risks and opportunities associated with these processes? |
| 3 | Has the organization considered the knowledge gained in 4.1 and 4.2 when establishing and maintaining the Integrated management system? |
| 4 | Has the organization determined the application of these processes throughout the organization? |
| 5 | Has the organization determined and applied the criteria and methods needed to ensure the effective operation and control of these processes? |
| 6 | Has the organization determined the sequence and the interaction of these processes? |
| 7 | Has the organization determined the resources needed for the organization? |
| 8 | Has the organization ensured the availability of the resources needed for these processes? |
| 9 | Has the organization assigned the responsibilities and authorities for these processes? |
| 10 | Has the organization evaluated these processes and implemented any changes needed to ensure that these processes achieve their intended results? |
| 11 | Has the organization improved in its processes and its IMS? |
| 12 | Does the scope give justification for any requirements that the organization determines and does not apply to the scope of its IMS? |
| 4.2.2 | |
| 1 | Has the organization maintained documented information to support the operation of its processes? |
| 2 | Do the organization retain documented information as evidence that the processes have been carried out as planned? |
| Clause 5 | Leadership and worker participation |
| 5.1 | Leadership and commitment |
| 5.1.1 | General |
| 1 | Does the top management demonstrate leadership and commitment by taking accountability for the effectiveness of its IMS? |
| 2 | How does the top management take accountability for their effectiveness including accountability for the prevention of work-related injury and ill health, as well as the provision of safe and healthy workplaces and activities? |
| 3 | Has the top management ensured that the Quality, Environmental and OH&S policy and Quality, Environmental and OH&S objective are established? |
| 4 | Is the Quality, Environmental and OH&S policy and Quality, Environmental and OH&S objective compatible with the context and strategic direction of the organization? |
| 5 | Has the organization integrated the requirements of IMS with the business processes? |
| 6 | How does the top management promote the use of the process approach and risk-based thinking? |
| 7 | Are the risks and opportunities that can affect the conformity of products and services and the ability to enhance customer satisfaction determined and addressed? |
| 8 | How does the top management ensure that the resources needed to establish, implement, maintain and improve the quality, environmental, and OH&S management system are available? |
| 9 | Is the importance of the effectiveness of and conformity of IMS and meeting IMS requirements communicated? |
| 10 | Does the top management ensure that the QMS is achieving its Intended results? |
| 11 | Does Top Management engage, directs and supports the persons required to contribute to the effectiveness of the IMS requirements? |
| 12 | Is Top Management promoting improvements? |
| 13 | Is Top Management supporting other relevant management roles to demonstrate their leadership as it applies to their area of responsibilities? |
| 13 | How does the top management ensure the developing, leading and promoting a culture in the organization that supports the intended outcomes of the Integrated management system? |
| 14 | How does the organization ensure the protecting workers from reprisals when reporting incidents, hazards, risks and opportunities? |
| 15 | How does the organization establish and implement process for consultation and participation of workers? |
| 16 | Has the organization have established and have a functioning health and safety committees,? |
| 5.1.2 | Customer Focus |
| 1 | Does the Top Management demonstrate leadership and commitment by ensuring that customer and applicable statutory and regulatory requirements are determined, understood and are consistently meeting the requirements? |
| 2 | Is the focus on enhancing customer satisfaction maintained? |
| 3 | Is quality policy appropriate to the purpose and context of the organization and does it support its strategic directions? |
| 5.2 | Policy |
| 5.2.1 | Establishing the quality Environmental and OH&S policy |
| 1 | Has the Top Management established, implemented and maintained a Quality Environmental and OH&S policy? |
| 2 | Is the policy appropriate to its purpose and context, supporting its strategic direction? |
| 3 | Does the policy include the nature, scale, and environmental impacts of its activities, products, and services? |
| 4 | Does the policy include a commitment to providing safe and healthy working conditions for preventing work-related injury and ill health, considering the specific nature of its OH&S risks and opportunities? |
| 5 | Does the policy provide the framework for setting Quality, Environmental and OH&S objective? |
| 6 | Does the policy includes a commitment to the protection of the environment, including prevention of pollution and other specific commitment(s) relevant to the context of the organization? |
| 7 | Does the policy includes a commitment to satisfy applicable requirements? |
| 8 | Does the policy includes a commitment to fulfil its compliance obligations include legal and other requirement? |
| 9 | Does the policy includes a commitment to eliminate hazards and reduce OH&S risks ? |
| 10 | Does the policy includes includes a commitment to continual improvement of the quality, environmental and OH&S management system to enhance its quality , environmental and OH&S performance? |
| 11 | Does the policy includes includes a commitment to consultation and participation of workers, and, where they exist, workers’ representatives? |
| 5.2.2 | Communicating the quality policy |
| 1 | Is the policy relevant and appropriate? |
| 2 | Is policy is available and maintained as documented information? |
| 3 | Is policy communicated, understood and applied within the organization? |
| 4 | Is Quality policy appropriate and made available to the relevant interested parties? |
| 5.3 | Organizational roles, responsibilities and authorities |
| 1 | Has the Top management ensured that the responsibilities and authorities for relevant roles are assigned, communicated and understood within the organization? |
| 2 | Are the Organizational roles, responsibilities and authorities maintained as documented information within the organization? |
| 3 | How does the Workers at each level of the organization assume responsibility for those aspects of the management system over which they have control? |
| 4 | While assigning the responsibilities and authorities, do the top management ensure that the quality, environmental and OH&S management system conforms to the requirements of this Standard? |
| 5 | While assigning the responsibilities and authorities, does the top management ensure that the performance of its IMS and opportunities for improvement are reported to them? |
| 6 | While assigning the responsibilities and authorities, does the top management ensure that the processes are delivering their intended outputs? |
| 7 | While assigning the responsibilities and authorities, does the top management ensure that there is the promotion of customer focus throughout the organization? |
| 8 | While assigning the responsibilities and authorities, does the top management ensure that the integrity of the integrated management system is maintained when changes to the integrated management system are planned and implemented? |
| 5.4 | Consultation and Participation of workers |
| 1 | Has the organization implemented , established and maintained processes for the consultation and participation of workers at all applicable levels and functions and where they exit the workers representative in the development, planning , implementation, performance evaluation and action for improvement of the OH&S management system? |
| 2 | Does the organization provide mechanisms, time, training and resources necessary for consultation and participation? |
| 3 | Does the organization provide timely access to clear, understandable and relevant information about the OH&S management system? |
| 4 | Does the organization determine and remove obstacles or barriers to participation and minimize those that cannot be removed? |
| 5 | Does the consultation of non-managerial workers emphasize on determining the needs and expectations of interested parties? |
| 6 | Does the consultation of non-managerial workers emphasize on establishing the OH&S policy? |
| 7 | Does the consultation of non-managerial workers emphasize on assigning organizational roles, responsibilities and authorities, as applicable? |
| 8 | Does the consultation of non-managerial workers emphasize on determining how to fulfill legal requirements and other requirements? |
| 9 | Does the consultation of non-managerial workers emphasize on establishing OH&S objectives and planning to achieve them? |
| 10 | Does the consultation of non-managerial workers emphasize on determining applicable controls for outsourcing, procurement and contractors? |
| 11 | Does the consultation of non-managerial workers emphasize on determining what needs to be monitored, measured and evaluated? |
| 12 | Does the consultation of non-managerial workers emphasize on planning, establishing, implementing and maintaining an audit program? |
| 13 | Does the consultation of non-managerial workers emphasize on ensuring continual improvement? |
| 14 | Does the participation of non-managerial workers determine the mechanisms for their consultation and participation? |
| 15 | Does the participation of non-managerial workers identify hazards and assessing risks and opportunities? |
| 16 | Does the participation of non-managerial workers determine actions to eliminate hazards and reduce OH&S risks? |
| 17 | Does the participation of non-managerial workers determine competence requirements, training needs, training and evaluating training? |
| 18 | Does the participation of non-managerial workers determine what needs to be communicated and how this will be done? |
| 19 | Does the participation of non-managerial workers determine control measures and their effective implementation and use? |
| 20 | Does the participation of non-managerial workers emphasize on investigating incidents and nonconformities and determining corrective actions? |
| Clause 6 | Planning |
| 6.1 | Actions to address risks and opportunities |
| 6.1.1 | |
| 1 | Have the organization established, implemented and maintained the process needed to meet the requirements in 6.1.1 to 6.1.4? |
| 2 | While determining risk and opportunities does the organization consider the issues referred to in 4.1 (context), the requirements referred to in 4.2 (interested parties) and 4.3 (the scope of its Integrated management system)? |
| 3 | Does the organization’s risk and opportunities process assure that the Integrated management system can achieve its intended outcome? |
| 4 | Does the organization’s risk and opportunities process achieve continual improvement? |
| 5 | Does the organization’s risk and opportunities process prevent, or reduce, undesired effects? |
| 6 | Does the organization’s risk and opportunities process enhance desirable effects? |
| 7 | When determining the risks and opportunities, does the organization take into account environmental aspects? |
| 8 | When determining the risks and opportunities, does the organization take into account hazards? |
| 9 | When determining the risks and opportunities, does the organization take into account OH&S risks and other risks? |
| 10 | When determining the risks and opportunities, does the organization take into account OH&S opportunities and other opportunities ? |
| 11 | When determining the risks and opportunities, does the organization take into account compliance obligations including legal requirements and other requirements ? |
| 12 | When determining the risks and opportunities, does the organization shall determine potential emergency situations, including those that can have an environmental impact and safety hazards. |
| 13 | Do the organization s maintain documented information of its risks and opportunities that need to be addressed and the processes needed in 6.1.1 to 6.1.4, to the extent necessary to have confidence they are carried out as planned? |
| 6.1.2 | Environmental aspects, Hazard identification and assessment of risks and opportunities |
| 6.1.2.1 | Hazard identification |
| 1 | Has organisation established, implemented and maintained a processes for hazard identification that is ongoing and proactive.? |
| 2 | While determining the hazards, has the organization taken into account how work is organized, social factors (including workload, work hours, victimization, harassment and bullying), leadership and the culture in the organization? |
| 3 | While determining the hazards, has the organization taken into account routine and non-routine activities and situations like infrastructure, equipment, materials, substances and the physical conditions of the workplace? |
| 4 | While determining the hazards, has the organization taken into account routine and non-routine activities and situations like product and service design, research, development, testing, production, assembly, construction, service delivery, maintenance and disposal; |
| 5 | While determining the hazards, has the organization taken into account human factors and how the work is performed? |
| 6 | While determining the hazards, has the organization taken into account past relevant incidents, internal or external to the organization, including emergencies, and their causes? |
| 7 | While determining the hazards, has the organization taken into account potential emergency situations? |
| 8 | While determining the hazards, has the organization taken into account of those people with access to the workplace and their activities, including workers, contractors, visitors and other persons? |
| 9 | While determining the hazards, has the organization taken into account those people in the vicinity of the workplace who can be affected by the activities of the organization? |
| 10 | While determining the hazards, has the organization taken into account those workers at a location not under the direct control of the organization? |
| 11 | While determining the hazards, has the organization taken into account the design of work areas, processes, installations, machinery/ equipment, operating procedures and work organization, including their adaptation to the needs and capabilities of the workers involved? |
| 12 | While determining the hazards, has the organization taken into account situations occurring in the vicinity of the workplace caused by work-related activities under the control of the organization? |
| 13 | While determining the hazards, has the organization taken into account situations not controlled by the organization and occurring in the vicinity of the workplace that can cause injury and ill health to persons in the workplace? |
| 14 | While determining the hazards, has the organization taken into account actual or proposed changes in organization, operations, processes, activities and the OH&S management system? |
| 15 | While determining the hazards, has the organization taken into account changes in knowledge of, and information about, hazards? |
| 6.1.2.2 | Assessment of OH&S risks and other risks to the OH&S management system |
| 1 | Has organisation established, implemented and maintained processes to assess OH&S risks from the identified hazards, while taking into account the effectiveness of existing controls? |
| 2 | Has organisation established, implemented and maintained a processes to determine and assess the other risks related to the establishment, implementation, operation and maintenance of the OH&S management system? |
| 3 | Are the organization’s methodologies and criteria for the assessment of OH&S risks defined with respect to their scope, nature and timing to ensure they are proactive rather than reactive and are used in a systematic way? |
| 4 | Does the organization maintain documented information on the methodologies and criteria? |
| 6.1.2.3 | Assessment of OH&S opportunities and other opportunities for the OH&S management system |
| 1 | Has organisation established, implemented and maintained processes to assess OH&S opportunities to enhance OH&S performance, while taking into account planned changes to the organization, its policies, its processes or its activities ? |
| 2 | Has organisation established, implemented and maintained processes to assess opportunities to adapt work, work organization and work environment to workers? |
| 3 | Has organisation established, implemented and maintained processes to assess opportunities to eliminate hazards and reduce OH&S risks? |
| 4 | Has organisation established, implemented and maintained processes to assess other opportunities for improving the OH&S management system? |
| 6.1.2.4 | Environmental Aspects |
| 1 | Has the organisation determined the environmental aspects of its activities, products, and services that it can control and influence and their associated impacts considering the life cycle perspective? |
| 2 | While determining the environmental aspects, has the organization taken into account change including planned or new developments and new or modified activities, products and services? |
| 3 | While determining the environmental aspects, has the organization taken into account abnormal conditions and reasonably foreseeable emergency situations? |
| 4 | What criteria has the organization used to determine those aspects that can have a significant environmental impact and how are these communicated at the various levels within the organization? |
| 5 | Are aspects and impacts maintained as documented information, significant aspects including the criteria used to determine its significance? |
| 6.1.3 | Determination of Compliance obligations, including the legal and other requirements. |
| How does the organization determine and have access to the compliance obligations related to its environmental aspects and up-to-date legal requirements and other requirements that are applicable to its hazards, OH&S risks and integrated management system? | |
| how does the organization apply these compliance obligations including legal requirements and other requirements to the organization and determine what needs to be communicated? | |
| Has the organization taken these compliance obligations including legal requirements and other requirements into account when establishing, implementing, maintaining and continually improving its Integrated management system? | |
| Has the organization maintained and retained documented information on its legal requirements and other requirements and how does the organization ensure that it is updated to reflect any changes? | |
| 6.1.4 | Planning action |
| What action have the organization planned to address these risks and opportunities? | |
| What action have the organization planned to address significant environmental aspects and safety hazards? | |
| 1 | What action have the organization planned to address legal requirements and other requirements? |
| What action have the organization planned to prepare for and respond to emergency situations? | |
| How does the organization integrate and implement the actions into its Quality, environment and OH&S management system processes or other business processes? | |
| Has the organization evaluated the effectiveness of these actions? | |
| 2 | Is the action proportionate to the potential impact on the conformity of products and services? |
| 3 | Has the organization taken into account the hierarchy of controls and outputs from the Integrated management system when planning to take action? |
| 4 | When planning these actions, has the organization considered its best practices, technological options and its financial, operational and business requirements? |
| 6.2 | Quality, Environmental and OH&S objectives and planning to achieve them |
| 6.2.1 | Quality, Environmental and OH&S objectives |
| 1 | Has the organization shall establish Quality, Environment and OH&S objectives at relevant functions and levels in order to maintain and continually improve the Integrated management system and Quality, Environment and OH&S performance? |
| 2 | Are the Quality, Environmental and OH&S objectives consistent with the Quality, Environmental and OH&S policy? |
| 3 | Are the Quality, Environmental and OH&S objectives measurable or capable of performance evaluation? |
| 4 | Are the objectives relevant to conformity of products and services and to enhancement of customer satisfaction? |
| 5 | Does establishing policy take into account the applicable requirements? |
| 6 | Does it considers its risks and opportunities? |
| 7 | Does it considers its significant environmental aspects and safety hazards |
| 8 | Does it considers its associated compliance obligations including legal requirement and other requirement? |
| 9 | Does it considers the results of consultation with workers and, where they exist, workers’ representatives; |
| 10 | Are the objectives monitored, communicated and updated as required? |
| 6.2.2 | Planning to achieve Quality, Environmental and OH&S objectives |
| For achieving the objectives does the organization determine what will be done, what resources will be required, who will be responsible and when it will be completed? | |
| how the results are evaluated, including indicators for monitoring progress toward achievement of its measurable Quality, Environmental and OH&S objectives? | |
| how the actions to achieve Quality, Environmental and OH&S objectives integrated into the organization’s business processes? | |
| Does the organization maintain and retain documented information on the objectives and plan to achieve them? | |
| 6.3 | Planning for change |
| 1 | While determining changes for the IMS, are changes carried out in a planned manner? |
| 2 | While planning for change, does the organization consider the purpose of the change and their potential consequence; the integrity of the IMS; the availability of resources; and the allocation and reallocation of responsibilities and authorities? |
| Clause 7 | Support |
| 7.1 | Resources |
| 7.1.1 | General |
| 1 | Has the organization determined and provided the resources needed for the establishment, implementing, maintaining and continually improvement of the IMS? |
| 2 | Has the organization considered the capabilities and constraints of existing internal resources? |
| 3 | Has the organization considered what needs to be obtained from external providers? |
| 7.1.2 | People |
| 1 | Has the organization determined and provided the persons required for effective implementation of IMS and for operation and control of its processes? |
| 7.1.3 | Infrastructure |
| 1 | Has the organization determined and maintained the infrastructure needed for the operation of its processes and to achieve conformity of product and services? |
| 7.1.4 | Environment for the operation of processes |
| 1 | Has the organization determined, provided and maintain the environment necessary for the operation of its processes and to achieve conformity of products and services? |
| 7.1.5 | Monitoring and measuring resources |
| 7.1.5.1 | General |
| 1 | Has the organization determined and provided the necessary resources needed when monitoring and measuring are used to verify conformity to product and service requirement? |
| 2 | Are resources suitable for the type of monitoring and measurement activities undertaken? |
| 3 | Are resources maintained to ensure their continuing fitness? |
| 4 | Does the organization retain appropriate documented information as evidence of fitness for the purpose of the monitoring and measurement resources? |
| 7.1.5.2 | Measurement traceability |
| 1 | Is there a requirement for measurement traceability? |
| 2 | Where measurement traceability is a requirement, is measurement equipment calibrated or verified at a specified interval or prior to use? |
| 3 | Is the calibration done against measurement standards traceable to national or international standards? |
| 4 | Where no such standard exists, are documented information retained for the basis used for calibration or verification? |
| 5 | While addressing changing needs and trends, does the organization consider its current knowledge and determine how to acquire or access any necessary additional knowledge and required updates? |
| 6 | Are the measuring equipment identified in order to determine their status? |
| 7 | Is the measuring equipment safeguarded from adjustments, damage or deterioration that would invalidate the calibration and subsequent measurement results? |
| 8 | Are the measuring equipment safeguarded from adjustments, damage or deterioration that would invalidate the calibration and subsequent measurement results? |
| 7.1.6 | Organizational knowledge |
| 1 | Does the organization determine the knowledge necessary for the operation of its processes and to achieve conformity of products and services? |
| 2 | Does the organization maintain this knowledge and make it available to the extent necessary? |
| 3 | Does the organization determine and take appropriate action if the validity of previous measurement results has been adversely affected when measuring equipment is found to be unfit for its intended purpose? |
| 7.2 | Competence |
| 1 | How does the organization determine the necessary competence of person(s) doing work including workers under its control that affects or can affect the quality, environmental and OH&S performance, its ability to fulfil its compliance obligations and effectiveness of the quality management system? |
| 2 | How does the organization ensure that these persons also workers are competent (including the ability to identify hazards) on the basis of appropriate education, training, or experience? |
| 3 | How does the organization determine training needs associated with its environmental aspects and its environmental management system? |
| 4 | Where applicable, what actions are taken to acquire and maintain the necessary competence, and how do you evaluate the effectiveness of the actions taken? |
| 5 | Does the organization retain the appropriate documented information as evidence of competence? |
| 7.3 | Awareness |
| 1 | How does the organization ensure that the persons doing work under the organization’s control are aware of the quality, environmental, OH&S policy and relevant quality, environmental, OH&S objectives? |
| 2 | How does the organization ensure that the persons doing work under the organization’s control are aware of their contribution to the effectiveness of the quality, environmental, OH&S management system, including the benefits of improved quality, environmental and OH&S performance? |
| 3 | How does the organization ensure that the persons doing work under the organization’s control are aware of the implications and potential consequences of not conforming to the quality, environmental, OH&S management system requirements including the benefits of enhanced quality, environmental, OH&S performance and not fulfilling the organization’s compliance obligations? |
| 4 | How does the organization ensure that the persons doing work under the organization’s control are aware of the significant environmental aspects and related actual or potential environmental impacts associated with their work? |
| 5 | How does the organization ensure that the persons doing work under the organization’s control are aware of incidents and the outcomes of investigations that are relevant to them? |
| 6 | How does the organization ensure that the persons doing work under the organization’s control are aware of hazards, OH&S risks and actions determined that are relevant to them? |
| 7 | How does the organization ensure that the persons doing work under the organization’s control are aware of the ability to remove themselves from work situations that they consider present an imminent and serious danger to their life or health, as well as the arrangements for protecting them from undue consequences for doing so? |
| 7.4 | Communication |
| 7.4.1 | General |
| 1 | Has the organization established, implemented and maintained the processes needed for the internal and external communications relevant to the quality, environmental, OH&S management system? |
| 2 | Does the process includes on what it will communicate, when to communicate, how to communicate, and who communicates? |
| 3 | Does the process includes with whom to communicate internally among the various levels and functions of the organization, among contractors and visitors to the workplace and among other interested parties? |
| 4 | Has the organization taken into account diversity aspects e.g. gender, language, culture, literacy, disability when considering its communication needs? |
| 5 | Has the organization taken the views of external interested parties are considered in establishing its communication processes? |
| 6 | When establishing its communication processes, has the organization taken into account its Compliance obligation including legal requirements and other requirements? |
| 7 | How does the organization ensures that quality , environmental and OH&S information to be communicated is consistent with information generated within Integrated management system, and is reliable? |
| 8 | How does the organization responds to relevant communications on its Integrated management system? |
| 9 | How does the organization retains documented information as evidence of its communications, as appropriate? |
| 7.4.2 | Internal communication |
| 1 | How does the internally communicate information relevant to the Integrated management system among the various levels and functions of the organization, including changes to the Integrated management system, as appropriate? |
| 2 | How does the organization ensure its communication processes enables persons doing work includes workers to contribute to continual improvement? |
| 7.4.3 | External communication |
| 1 | How does the organization externally communicate information relevant to the Integrated management system, as established by the organization’s communication processes and taking into account its Compliance obligations included legal requirements and other requirements? |
| 7.5 | Documented Information |
| 7.5.1 | General |
| 1 | Does the organization’s IMS include documents required by this standards and documents determined by the organization necessary for the effectiveness of the IMS? |
| 7.5.2 | Creating and updating |
| 1 | While creating and updating documented information, does the organization ensure it is appropriate in terms of identification and descriptions? |
| 2 | While creating and updating documented information does the organization ensure that it is in proper format and in the correct media? |
| 3 | While creating and updating documented information, does the organization ensure that there are appropriate review and approval for suitability and adequacy? |
| 7.5.3 | Control of documented information |
| 1 | Does the organization control its documented information to ensure that it is available and suitable for use, whenever it is needed? |
| 2 | Is the documented information adequately protected? |
| 1 | Is the distribution, access, retrieval and use of documented information adequately controlled? |
| 2 | Is the documented properly stored and adequately preserved and it is legible? |
| 3 | Is there control of changes (e.g. version control)? |
| 4 | Are their adequate control in place for retention and disposition? |
| 5 | Is external origin documented information necessary for planning and operation of IMS appropriately identified and controlled? |
| 6 | Are records protected for unintended alterations? |
| Clause 8 | Operations |
| 8.1 | Operation planning and control |
| 8.1.1 | General |
| 1 | Does the organization plan, implement and control the processes needed to meet the requirement for the provision of product and services and to implement the action determined in clause 6? |
| 2 | Does the organization determine the requirements for the products and services? |
| 3 | Has the organization established criteria for the processes and acceptance of products and services? |
| 4 | Does the organization adapt work to workers? |
| 5 | Does the organization determine the resources needed to achieve conformity to the product and service requirements? |
| 6 | Does the organization implement controls of the processes in according with the criteria? |
| 7 | Does the organization determine, maintain and retain necessary documented information to have confidence that the processes have been carried out as planned and to demonstrate the conformity of products and services? |
| 8 | Does the organization control its planned changes and review the consequences of unintended changes? |
| 9 | Does the organization take action to mitigate any adverse effects of its unintended changes? |
| 10 | At multi-employer workplaces, does the organization coordinate the relevant parts of the Integrated management system with the other organizations? |
| 11 | Is the output of this planning suitable for the organization’s operations? |
| 12 | How are outsources process controlled or influenced? |
| 13 | Is the type and extent of control or influence to be applied to the process defined within the Integrated management system? |
| 14 | Consistent with a life cycle perspective, how does the organization establish controls, as appropriate, to ensure that its environmental requirements are addressed in the design and development process for the product or service, considering each life cycle stage? |
| 15 | Consistent with a life cycle perspective, how does the organization determine its environmental requirements for the procurement of products and services, as appropriate? |
| 16 | Consistent with a life cycle perspective, how does the organization communicate its relevant environmental requirements to external providers, including contractors? |
| 17 | Consistent with a life cycle perspective, how does the organization consider the need to provide information about potential significant environmental impacts associated with the transportation or delivery, use, end-of-life treatment and final disposal of its products and services? |
| 8.1.2 | Eliminating hazards and reducing OH&S risks |
| Has the organization established, implemented and maintained processes for the elimination of hazards and reduction of OH&S risks using the following hierarchy of controls: a) eliminate the hazard. b) substitute with less hazardous process, operations, materials or equipment. c) use engineering controls and reorganization of work. d) use administration controls, including training. e) use adequate personal protective equipment. | |
| 8.1.3 | Management of change |
| 1 | Has the organization established processes for the implementation and control of planned temporary and permanent changes that impact environmental and OH&S performance including new products, services and processes, or changes to existing products, services and processes, including workplace locations and surroundings, working organization, working conditions, Equipment, work force? |
| 2 | Has the organization established processes for the implementation and control of planned temporary and permanent changes that impact performance including changes to Compliance obligation including legal requirements and other requirements? |
| 3 | Has the organization established processes for the implementation and control of planned temporary and permanent changes that impact performance including changes to knowledge or information about environmental aspects, OH&S hazards and OH&S risks? |
| 4 | Has the organization established processes for the implementation and control of planned temporary and permanent changes that impact performance including developments in Knowledge and technology? |
| 5 | Does the organization review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary? |
| 8.1.4 | Procurement |
| 8.1.4.1 | General |
| 1 | Has the organization established, implemented and maintained processes to control the procurement of products and services in order to ensure their conformity to its Integrated management system? |
| 8.1.4.2 | Contractors |
| Does the organization coordinate its procurement processes with its contractors, in order to identify environmental aspect and safety hazards and assess and control the environmental aspect and safety hazards arising from the contractors’ activities and operations that impact the organization? | |
| Does the organization coordinate its procurement processes with its contractors, in order to identify environmental aspect and safety hazards and assess and control the risks arising from the organization’s activities and operations that impact the contractors workers? | |
| Does the organization coordinate its procurement processes with its contractors, in order to identify environmental aspect and safety hazards and assess and control the HSE risks arising from the contractors’ activities and operations that impact other interested parties in the workplace? | |
| How does the organization ensure that the requirements of its Integrated management system are met by contractors and their workers? | |
| Do the organizations procurement processes define and apply occupational HSE criteria for the selection of contractors? | |
| 8.1.4.3 | Outsourcing |
| 1 | How does the organization ensure outsourced functions and processes are controlled? |
| 2 | Does the organization ensure that its outsourcing arrangements are consistent with legal requirements and other requirements and with achieving the intended outcomes of the Integrated management system? |
| 3 | Has the type and degree of control to be applied to these functions and processes been defined within the Integrated management system? |
| 8.2 | Requirements for products and services |
| 8.2.1 | Customer communication |
| 1 | Does the organization communicate with customers to provide information relating to products and services, handling enquiries, contracts or orders (including any changes)? |
| 2 | Does the organization obtain customer feedback relating to products and services including customer complaint? |
| 3 | Does the organization communicate with the customers relating to handling or controlling customer property? |
| 4 | Has the organization established requirements for contingency action, where required? |
| 8.2.2 | Determining the requirements for products and services |
| 1 | Has the organization determined the requirements for product and services to be offered the customer? |
| 2 | Are the requirements defined and does it includes applicable statutory regulatory requirements and those considered necessary by the organization? |
| 3 | Can the organization meet the claims for the product and services it offers? |
| 8.2.3 | Review of the requirements for products and services |
| 1 | Has the organization ensured that it has the ability to meet the requirements for products and services? |
| 2 | Has the organization conducted a review before committing to supply product and services? |
| 3 | Has the organization reviewed the requirements specified by the customer, including the requirements for delivery and post-delivery activities? |
| 4 | Has the organization reviewed the requirements not stated by the customers but necessary for the specified or intended use when know? |
| 5 | Has the organization reviewed the statutory & regulatory requirements applicable to the product and services and requirements specified by the organization? |
| 6 | Have the organization reviewed and resolved contract or order requirements differing for those previously defined? |
| 7 | When the customer does not provide a documented statement of their requirement, does the organization conform to the customer’s requirements before acceptance? |
| 8 | Does the organization retain documented information on the results of the review and on any new requirements for the products and services? |
| 8.2.4 | Changes to requirements for products and services |
| 1 | Does the organization ensure that the relevant documented information is amended and the relevant persons are made aware of the changed requirements when the requirements for the products and services are changed? |
| 8.2.5 | Emergency preparedness & response |
| 1 | Has the organization established, implemented and maintained the processes needed to prepare for and respond to potential emergency situations ? |
| 2 | Has the organization established a planned response to emergency situations, including the provision of first aid? |
| 3 | How is the organization prepared to respond by planning actions to prevent or mitigate adverse environmental impacts from emergency situations? |
| 4 | How will the organization respond to actual emergency situations? |
| 5 | What action will the organization take to prevent or mitigate the consequences of emergency situations, appropriate to the magnitude of the emergency and the potential environmental impact and OH&S risks? |
| 6 | How will the organization provide relevant information and training related to emergency preparedness and response, as appropriate, to relevant interested parties, including persons working under its control? |
| 7 | How does the organization evaluate performance and, as necessary, revising the planned response, including after testing and, in particular, after the occurrence of emergency situations? |
| 8 | How will the organization communicate and provide relevant information to all workers on their duties and responsibilities? |
| 9 | How does the organization communicate relevant information to contractors, visitors, emergency response services, government authorities and, as appropriate, the local community? |
| 10 | How does the organization take into account the needs and capabilities of all relevant interested parties and ensuring their involvement, as appropriate, in the development of the planned response? |
| 11 | How does the organization maintain and retain documented information on the processes and on the plans for responding to potential emergency situations? |
| 8.3 | Design and development of products and services |
| 8.3.1 | General |
| 1 | Has the organization established, implemented and maintain a D&D process that is appropriate to the subsequent provision of product and services? |
| 8.3.2 | Design and development planning |
| 1 | In determining the stages and controls for D&D, has the organization is taken into consideration the nature, duration and complexity of D&D activities? |
| 2 | In determining the stages and controls for D&D, has the organization taken into consideration the required process stages including D&D reviews? |
| 3 | In determining the stages and controls for D&D, has the organization taken into consideration the D& D verification and validation activities? |
| 4 | In determining the stages and controls for D&D, has the organization taken into consideration the responsibilities and authorities involved in the D&D process? |
| 5 | In determining the stages and controls for D&D, has the organization taken into consideration the external and internal resources needed? |
| 6 | In determining the stages and controls for D&D, has the organization taken into consideration the need to control interfaces between persons involved in D&D? |
| 7 | In determining the stages and controls for D&D, has the organization taken into consideration the need for involvement of customer and user? |
| 8 | In determining the stages and controls for D&D, has the organization taken into consideration the requirements of the subsequent provision of product and services? |
| 9 | In determining the stages and controls for D&D, has the organization taken into consideration the level of the control expected for the D&D by customers and other relevant interested parties? |
| 10 | In determining the stages and controls for D&D, has the organization taken into consideration the documented information needed to demonstrate that design and development requirement has been met? |
| 8.3.3 | Design and Development inputs |
| 1 | Has the organization determined the essential requirements for the specific types of products and services to be designed and developed? |
| 2 | Does the organization consider the following functional and performance requirements; statutory and regulatory requirements; standards or code of practices that the organization has committed to implement; information derived from previous design and development activities; potential consequences of failure due to the nature of the product and services? |
| 3 | Does the organization ensure that the inputs are adequate for D&D purpose, complete and unambiguous? |
| 4 | Does the organization resolve the conflicting D&D inputs? |
| 5 | Are documented information for D&D inputs retained? |
| 8.3.4 | Design and development controls |
| 1 | Has the organization applied the necessary controls to D & D processes to ensure that the result to be achieved are defined? |
| 2 | Has the organization conducted a review to evaluate the ability of the results of D& D to meet the requirements? |
| 3 | Has the organization conducted the verification to ensure that D&D output meet input requirements? |
| 4 | Has the organization conducted the validation to ensure that the resulting product and service meet the requirements of the specified application or intended use? |
| 5 | Has the organization taken necessary action on the problems determined during reviews, verification or validation activities? |
| 6 | Has the organization retained documented information on the above-mentioned activities? |
| 8.3.5 | Design and Development outputs |
| 1 | Does the organization ensure that D&D outputs meet the input requirements? |
| 2 | Does the organization ensure that D&D outputs are adequate for the subsequent processes for the provision of product and services? |
| 3 | Does the organization ensure that D&D outputs include (or has reference) monitoring and measuring requirements and acceptance criteria? |
| 4 | Does the organization ensure that D&D outputs specify the characteristics of the products and services that are essential for their intended use? |
| 5 | Does the organization retain documented information on design and development outputs? |
| 8.3.6 | Design and Development changes |
| 1 | Has the organization identified, reviewed and controlled changes made during, or subsequent to the D & D of the product and services to ensure that there is no averse to the impact on conformity to requirement? |
| 2 | Has the organization retained the documented information on D&D changes, the result of reviews, authorization of the changes and the action taken to prevent adverse impact? |
| 8.4 | Control of externally provided processes, products and services |
| 8.4.1 | General |
| 1 | Does the organization ensure that the externally provided processes, products and services conform to the requirements? |
| 2 | Does the organization determine the controls needed when the product and services from the external providers are incorporated into their own product and services? |
| 3 | Does the organization determine the controls needed when the product and services from the external providers are provided directly to the customer by external providers? |
| 4 | Does the organization determine the controls needed when the process or part of the process is provided by the external providers? |
| 5 | Has the organization determined and applied the criteria for selection, evaluation, monitoring of performance and re-evaluation of external providers? |
| 6 | Has the organization retained the documented information of these activities and any action arising out or evaluation/re-evaluation? |
| 8.4.2 | Type and extent of control |
| 1 | Does the organization ensure that the externally provided processes, product and services do not adversely affect its ability to consistently deliver conforming products and services to the customers? |
| 2 | Does the organization ensure that the externally provided process remains within the control of its IMS? |
| 3 | Has the organization defined the controls to be applied to an external provider and its resulting outputs? |
| 4 | Has the organization taken into consideration the potential impact of the organization’s ability to consistently meet customer and applicable statutory and regulatory requirement? |
| 5 | Has the organization taken into consideration the effectiveness of the controls applied by the external providers? |
| 6 | Has the organization determined the verification or other activities, necessary to ensure that the externally provided processes, products and services meet requirements? |
| 8.4.3 | Information for external providers |
| 1 | Does the organization ensure the adequacy of requirements prior to their communication to the external provider? |
| 2 | Does the organization communicate to the external providers its requirements for the processes, products and services required? |
| 3 | Does the organization communicate to the external providers its requirements for the approval of the product and services; methods, processes and equipment; the release of product and services? |
| 4 | Does the organization communicate to the external providers its requirements for competence including any qualification of persons? |
| 5 | Does the organization communicate to the external providers its requirements for external provider’s interactions with the organizations? |
| 6 | Does the organization communicate to the external providers its requirements for control and monitoring of the external providers’ performance to be applied by the organization? |
| 7 | Does the organization communicate to the external providers its requirements for verification or validation activities that the organization or its customer intends to perform at the external providers’ premises? |
| 8.5 | Production and Service provision |
| 8.5.1 | Control of production and service provision |
| 1 | Has the organization implemented production and service provision under controlled conditions? |
| 2 | Are there any documented information available that defines the characteristics of the product, services or activities to be performed and the results to be achieved? |
| 3 | Are any suitable monitoring and measuring resources available? Are they being used? |
| 4 | Are monitoring and measuring activities being performed at appropriate stages to verify that criteria for control of processes or outputs, and acceptance criteria for products and services, have been met ? |
| 5 | Are competent persons (including qualification) being appointed? |
| 6 | Is the infrastructure and environment being used suitable for operation of processes? |
| 7 | Has the organization implemented any actions to prevent human error? |
| 8 | Has the organization implemented any release, delivery and post-delivery activities? |
| 9 | Where resulting output cannot be verified by subsequent monitoring or measurement, has the organization conducted validation and periodic revalidation of the process for production and service provision? |
| 8.5.2 | Identification and traceability |
| 1 | Has the organization used any suitable means to identify output when it is necessary to ensure the conformity of products and services? |
| 2 | Has the status of outputs with respect to monitoring and measuring requirements throughout the production and service provision being identified by the organization? |
| 3 | Has the organization controlled the unique identification of the outputs when traceability is a requirement? |
| 4 | Has the organization retain the documented information necessary to enable traceability, when traceability is a requirement? |
| 8.5.3 | Property belonging to customers or external providers |
| 1 | When property belonging to customers or external providers is under the organization’s control or being used by the organization, does the organization exercise adequate care? |
| 2 | Does the organization identify, verify, protect and safeguard customers’ or external providers’ property? |
| 3 | When the property or the customer or external provider is lost, damaged or otherwise, fount to be unsuitable for use, does the organization report this to the customer or external provider? Does the organization retain documented information on what has occurred? |
| 8.5.4 | Preservation |
| 1 | Does the organization preserve the outputs during production and service provision, to the extent necessary to ensure conformity to requirements? |
| Post-delivery activities | |
| 8.5.5 | |
| 1 | Does the organization meet requirements for post-delivery activities associated with the product and services? |
| 2 | In determining the extent of post-delivery activities does the organization considers the statutory & regulatory requirements; the potential undesired consequences associated with its product and services; customer requirement & feedback; nature, use and intended lifetime of its product and services? |
| 8.5.6 | Control of change |
| 1 | Do the organization conduct review and control changes for production or service provision to ensure continuing conformity with requirements? |
| 2 | Does the organization retain documented information describing the results of the review of changes, the person(s) authorizing the change and any necessary actions arising from the review? |
| 8.6 | Release of products and services |
| 1 | Has the organization implemented planned arrangements, at appropriate stages, to verify that the product and service requirements have been met? |
| 2 | Does the organization ensure that the release of product and service proceed only after the planned arrangement is satisfactorily completed or approved by the relevant authority and as applicable by the customer? |
| 3 | Does the organization retain the documented information on the release of products and services and it includes information relating to the evidence of conformity with the acceptance criteria; traceability of the person authorizing the release? |
| 8.7 | Control of nonconforming outputs |
| 1 | Does the organization ensure that the outputs which do not conform to their requirements are identified and controlled to prevent their unintended use or delivery? |
| 2 | Is the action appropriate to the nature of the nonconformity and its effect on the conformity of products and services? |
| 3 | Do the organization also consider nonconforming product and services detected after delivery of products, during and after the provision of services? |
| 4 | When non-conforming products and services are detected does the organization take correction action and/or segregation, containment, return, or suspension of the provision of product & services and/or informing the customer and/or obtaining authorization for acceptance under concession? |
| 5 | Does the organization retain documented information that describes the nonconformity; describes the actions taken; describes any concession obtained; identifies the authority deciding the action in respect of the nonconformity? |
| Clause 9 | Performance evaluation |
| 9.1 | Monitoring, measurement, analysis, and evaluation |
| 9.1.1 | General |
| 1 | Has the organization established, implemented and maintained process for monitoring, measurement, analysis and performance evaluation. |
| 2 | How does the organization monitor, measure, analyse and evaluate its quality, environmental and OH&S performance? |
| 3 | How does the organization determine what needs to be monitored and measured? |
| 4 | Does it includes the extent to which its compliance obligations including the legal requirements and other requirements are fulfilled? |
| 5 | Does it also includes the activities and operations related to identified aspects, hazards, risks and opportunities. |
| 6 | Does it includes the progress towards achievement of the organization’s OH&S objectives? |
| 7 | Does it also includes the effectiveness of operational and other controls? |
| 8 | Has the organization determined the methods for monitoring, measurement, analysis and performance evaluation, as applicable, to ensure valid results? |
| 9 | Has the organization determined the criteria against which the organization will evaluate its quality, environmental and OH&S performance, and appropriate indicators? |
| 10 | Has the organization determined when the monitoring and measuring shall be performed? |
| 11 | Has the organization determined when the results from monitoring and measurement shall be analyzed, evaluated and communicated? |
| 12 | How does the organization evaluate the quality, environmental and OH&S performance and determine the effectiveness of the Integrated management system? |
| 13 | How does the organization ensure that monitoring and measuring equipment is calibrated or verified as applicable, and is used and maintained as appropriate? |
| 14 | Does the organization maintain documented information as evidence of the results of monitoring, measurement, analysis and performance evaluation? |
| 15 | Does the organization maintain documented information on the maintenance, calibration or verification of measuring equipment? |
| 9.1.2 | Customer satisfaction |
| 1 | Does the organization establish methods that the organization can use to monitor customer perceptions? |
| 2 | Does the organization figure out how the organization is going to obtain information about how customers feel about how well it is meeting their needs and expectations? |
| 3 | Does the organization figure out how the organization is going to review information about how customers feel about how well it is meeting their needs and expectations? |
| 4 | Do the organization monitor how well customer needs and expectations are being fulfilled? |
| 5 | Do the organization monitor how the organization’s customers feel about how well the organization is meeting their needs and expectations (do the organization monitor the organization’s customers’ perceptions)? |
| 9.1.3 | Analysis and evaluation |
| 1 | How does the organization analyze and evaluate appropriate data and information arising from monitoring and measurement? |
| 2 | Does the organization use its analytical results to evaluate performance? |
| 3 | Does the organization evaluate the conformity of products and services? |
| 4 | Does the organization evaluate the degree of customer satisfaction; |
| 5 | Does the organization evaluate the performance and effectiveness of the integrated management system; |
| 6 | Does the organization evaluate if planning has been implemented effectively; |
| 7 | Does the organization evaluate the effectiveness of actions taken to address risks and opportunities; |
| 8 | Does the organization evaluate the performance of external providers; |
| 9 | Does the organization evaluate the need for improvements to the Integrated management system. |
| 9.1.4 | Evaluation of compliance |
| Has the organization established, implemented and maintained the processes needed to evaluate fulfilment of its compliance obligations including legal requirements and other requirements? | |
| How does the organization determine the frequency and method(s) for the evaluation of compliance? | |
| How does the organization evaluate compliance and take action if needed? | |
| How does the organization maintain knowledge and understanding of its compliance status with legal requirements and other requirements? | |
| How does the organization retain documented information of the compliance evaluation result? | |
| 9.2 | Internal Audit |
| 9.2.1 | |
| 1 | Does the organization conduct internal audits at planned intervals? |
| 2 | Did the organization plan a program that can find out if IMS meets the Organization’s own requirement including the Quality, environmental and OH&S policy and Quality, environmental and OH&S objectives and requirements of this standards? |
| 3 | Did the organization plan a program that can find out if IMS is effectively implemented and maintained? |
| 9.2.2 | |
| 1 | Did the organization plan, establish, implement, and maintain an audit program? |
| 2 | Did the audit program include the frequency, methods, responsibilities, planning requirements, and reporting? |
| 3 | Does the audit program take into consideration the quality, environmental and OH&S importance of the process concerned, changes affecting the organization, and the results of previous audits? |
| 4 | Did the organization define the audit criteria and scope of each audit? |
| 5 | Does the organization ensure that the audit is conducted by the auditors to ensure objectivity and impartiality of the audit process? |
| 6 | Does the organization ensure that the results of the audits are reported to relevant management? |
| Does the organization ensure that relevant audit results are reported to workers, and, where they exist, workers’ representatives, and other relevant interested parties? | |
| 7 | Does the organization take appropriate correction and corrective action without undue delays and continually improve its quality, environmental and OH&S performance? |
| 8 | Does the retain documented information as evidence of the implementation of the audit program and the audit results? |
| 9.3 | Management review |
| 9.3.1 | General |
| 1 | Does the Top Management review the organization IMS at planned intervals? |
| 2 | Does the review ensure IMS’s continuing suitability, adequacy, effectiveness, and alignment with the strategic direction of the organization? |
| 9.3.2 | Management review inputs |
| 1 | Does the review take into consideration the status of actions from previous management reviews? |
| 2 | Are the changes in external and internal issues relevant to IMS considered? |
| 3 | Are the changes in the needs and expectations of interested parties considered? |
| 4 | Are the changes in its significant environmental aspects and safety hazards considered? |
| 5 | Are the changes in compliance obligations include the legal requirements and other requirements considered? |
| 6 | Are the changes in risks and opportunities considered? |
| 7 | Does the review take into consideration information on the performance and effectiveness of the IMS? |
| 8 | Does the review take into consideration customer satisfaction and feedback from relevant interested parties? |
| 9 | Does the review take into consideration the extent to which the Quality, Environmental and OH&S policy and the Quality, Environmental and OH&S objectives have been met? |
| 10 | Does the review take into consideration the process performance and conformity of products and services? |
| 11 | Does the review take into consideration incidents, nonconformities , corrective actions and continual improvement? |
| 12 | Does the review take into consideration results of evaluation of compliance with legal requirements and other requirements? |
| 13 | Does the review take into consideration monitoring and measuring results? |
| 14 | Does the review take into consideration audit results? |
| 15 | Does the review take into consideration the performance of external providers? |
| 16 | Does the review take into consideration the consultation and participation of workers? |
| 17 | Does the review take into consideration the adequacy of resources for maintaining an effective Integrated management system? |
| 18 | Does the review take into consideration the effectiveness of actions taken to address risks and opportunities? |
| 19 | Does the review take into consideration the opportunities for improvement? |
| 20 | Does the review take into consideration the relevant communication(s) from interested parties, including complaints? |
| 9.3.3 | Management review outputs |
| 1 | Do the outputs of the Management review include decisions and actions related to the opportunities for improvement ? |
| 2 | Do the outputs of the Management review include decisions and actions related to any need for changes to the IMS? |
| 3 | Do the outputs of the Management review include decisions and actions related to resources needed? |
| 4 | Do the outputs of the Management review include decisions and actions related to the continuing suitability, adequacy and effectiveness of the Integrated management system in achieving its intended outcomes? |
| 5 | Do the outputs of the Management review include decisions and actions related to actions, if needed, when quality, environmental and OH&S objectives have not been achieved? |
| 6 | Do the outputs of the Management review include decisions and actions related to any implications for the strategic direction of the organization? |
| 7 | Does the organization retain documented information as evidence of the result of the management review? |
| Clause 10 | Improvement |
| 10.1 | General |
| 1 | Has the organization determine and select opportunities for improvement? |
| 2 | Has the organization implemented any necessary action to meet the intended outcomes of its Integrated management system including customer requirements and enhance satisfaction? |
| 3 | Has the organization taken action for improving products & services to meet requirements as well as to address future needs and expectations? |
| 4 | Has the organization taken action for correcting, preventing, or reducing undesired effects? |
| 5 | Has the organization taken action for improving the performance and effectiveness of the IMS? |
| 10.2 | Nonconformity and corrective action |
| 10.2.1 | Nonconformity and corrective action |
| 1 | When any nonconformity (including complaints) occurs, does the organization take action to control and correct it and deal with the consequences? |
| 2 | When any nonconformity (including complaints) occurs, does the organization evaluate the need for action to eliminate the causes of the nonconformity? |
| 3 | Does the organization reviews and analyzes the nonconformity? |
| 4 | Does the organization determine the causes of the nonconformity? |
| 5 | Does the organization determine similar nonconformity exist or could potentially occur? |
| 6 | Has the organization implemented any action needed? |
| 7 | Has the organization reviewed the effectiveness of the corrective action taken? |
| 8 | Has the organization updated risk and opportunities determined during planning if necessary? |
| 9 | Has the organization made changes to the IMS if necessary? |
| 10 | Are the corrective actions appropriate to the effects of the nonconformities encountered? |
| 11 | Does the organization retain documented information on the nature of the nonconformities and any subsequent actions taken; and the result of any corrective action? |
| 10.2.2 | Incident |
| 1 | Has the organization established, implemented and maintained a processes, including reporting, investigating and taking action, to determine and manage incidents? |
| 2 | When an incident occurs, does the organization react in a timely manner to the incident or nonconformity? |
| 3 | When an incident occurs, does the organization take action to control and correct it and) deal with the consequences? |
| 4 | When an incident occurs, does the organization evaluate, with the participation of workers and the involvement of other relevant interested parties, the need for corrective action to eliminate the root cause(s) of the incident , in order that it does not recur or occur elsewhere, by investigating the incident, determining the cause(s) of the incident and by determining if similar incidents have occurred, or if they could potentially occur? |
| 5 | When an incident occurs, does the organization review existing assessments of OH&S risks and other risks, as appropriate? |
| 6 | When an incident occurs, does the organization determine and implement any action needed, including corrective action, in accordance with the hierarchy of controls and the management of change? |
| 7 | When an incident occurs, does the organization assess OH&S risks that relate to new or changed hazards, prior to taking action? |
| 8 | When an incident occurs, does the organization review the effectiveness of any action taken, including corrective action? |
| 9 | When an incident occurs, does the organization make changes to the Integrated management system, if necessary? |
| 8 | How does the organization determine that Corrective actions is appropriate to the effects or potential effects of the incidents encountered? Does the organization retain documented information as evidence of the nature of the incidents and any subsequent actions taken and the results of any action and corrective action, including their effectiveness? |
| 9 | How does the organization communicate this documented information to relevant workers, and, where they exist, workers’ representatives, and other relevant interested parties? |
| 10.3 | Continual improvement |
| 1 | Does the organization continually improve the suitability, adequacy, and effectiveness of the IMS? |
| 2 | Does the organization consider the results of analysis and evaluation, and output from management review to determine if there are needs or opportunities to be addressed as part of continual improvement? |
| 3 | How can the organization enhance quality, environmental and OH&S performance? |
| 4 | How can the organization promote a culture that supports an Integrated management system? |
| 5 | How can the organization promote the participation of workers in implementing actions for the continual improvement of the Integrated management system? |
| 6 | How can the organization communicate the relevant results of continual improvement to workers, and, where they exist, workers’ representatives? |
| 7 | How can the organization maintaining and retaining documented information as evidence of continual improvement? |
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