Use this audit checklist to determine the extent to which your integrated management system conforms to requirements by determining

whether
those requirements have been effectively implemented and maintained. This template will help you to assess the state of your existing
management system and identify process weakness to allow a targeted approach to priortizing corrective action.

100% 2 7 1
3 4 6 7
5 15
4
3 11
80% 14 10 15 7 Compliance per Domain
5 9 This chart displays your
8
60% 11 12 organization's conformity
to the main clauses of the
40% 70 150 standards (blue bar). Non
20 38
28 31 14 conforming requirements
20% are shown as the purple
and red bars. OFIs are
0%
shown as the green bar.
4 Context 5 Leadership 6 Planning 7 Support 8 Operation 9 Evaluation 10 Improvement
Compliant Minor NC Major NC OFI

Compliance per Standard Non-conformance Summary

This chart displays the percentage and ratio of various audit non- This chart displays the percentage and ratio of various categories of
conformances throughout the requirements of ISO 9001:2015, ISO non-conformances throughout the your organization's management
14001:2015 and ISO 45001:2018. system.
100%
12% 6%
80%
13%
60%
69%

40%

20%

0%
Quality Environmental Health & Safety
Compliant Minor NC Major NC Opportunities
% Compliant % Non Compliant
Integrated Internal Audit Checklist
The integrated internal audit checklist will ensure your Enter the letter 'x' into either Column H, I or J, to express the answer Audit Findings
implemenation audits concisely compare your management to each audt question. The scoring formula assumes each Note any process or practice that seems

*
Provide a reference to documented

Opportunity to improve
ISO 14001:2015
ISO 45001:2018

Minor nonconformance

Major nonconformance
ISO 9001:2015
system against the requirements of ISO 9001:2015, ISO requirement is conforms, until an 'x' is entered into Column I or J. weak, cumbersome, redundant or complex.

Question No
information to justify each audit finding.
14001:2015 and ISO 45001:2018. Audit
0 Entries yet to be entered
0 Errors
The error tracking cells in Column O display a message if there is An OFI may be an improvement to the Score
Describe the nature of any minor or major

Conforming
Each audit question phrases the ISO 9001:2015, 14001:2015 and more than response entered in Columns H, I and J, per row. The management system or something that could
nonconformance *.
45001:2018 'shall' requirements as a question, in order to elicit cells also display whether a response has yet to be entered. See prevent future problems **.
either a 'yes' or 'no' response, that can be represented as an 'x'. Cells O6 and O7 as an example.

**
4 Context of the organisation Audit Question Audit Evidence & Notes Opportunities to Improve Status % Error Checking Summary
Has your organisation determined external and internal issues relevant to its
4.1 organisational Context 1 Q E HS purpose and its strategic direction that affect its ability to achieve the x 100
intended result(s) of its QEHS management system?
Does your organisation monitor and review information about these
4.1 organisational Context 2 Q E HS x 100
external and internal issues?
Does your organisation determine the interested parties and workers that
4.2a Relevant Interested Parties 3 Q E HS x 75
are relevant to the QEHS management system?
Does your organisation determine the requirements of these interested
parties and workers that are relevant to the QEHS management system,
4.2b Relevant Interested Parties 4 Q E HS which may include regulatory requirements, local, regional or global x x 100
environmental conditions that can affect, or be affected by, your
organisation?
Does your organisation determine which of those requirements are to be
managed as a compliance obligation or legal requirement in order to
4.2c Relevant Interested Parties 5 E HS x 25
mitigate adverse risk or exploit beneficial opportunities that can be
integrated into the operational planning of the QEHS management system?
Does your organisation determine the boundaries and applicability of the
4.3 Management System Scope 6 Q E HS x 100
QEHS management system to establish its scope?
When determining this scope, has your organisation considered the external
4.3a Management System Scope 7 Q E HS x 25
and internal issues referred to in 4.1?
When determining this scope, has your organisation considered the
4.3b Management System Scope 8 Q E HS x 75
requirements of relevant interested parties referred to in 4.2?
When determining this scope, has your organisation considered all relevant
4.3c Management System Scope 9 Q E HS products, services and work-related activities, functions and physical x 100
boundaries to the QEHS management system?
When determining this scope, has your organisation considered its
activities, products, services and work-related activities and related product
lifecycles, such as:

4.3d Management System Scope 10 E 1. Raw material acquisition; x x 100

2. Manufacture;
3. Packaging/Transport/Delivery;
4. Use;
5. End of life treatment;
When determining this scope, has your organisation considered its
4.3e Management System Scope 11 E activities, products and services over which it has the authority and to x 75
exercise control and influence?
Has your organisation applied all the requirements of ISO 9001:2015, ISO
4.3 Management System Scope 12 Q E HS 14001:2015 and ISO 45001:2018 if they are applicable within the x 25
determined scope of the QEHS management system?
Does the scope state the types of products and services covered, and
provide justification for any requirement of ISO 9001:2015 that your
4.3 Management System Scope 13 Q x 75
organisation determines is not applicable to the scope of its QEHS
management system?
When determining scope, has your organisation considered and
4.3 Management System Scope 14 E HS documented its ability and authority to control and influence factors x 100
relating to external and internal issues?
Is the scope of your organisation’s QEHS management system available and
4.3 Management System Scope 15 Q E HS maintained as documented information and available to interested parties x 100
and workers? (See 7.5.1a)
Has your organisation established, implemented, maintained and
continually improved its QEHS management system, including the
4.4 Management System Processes 16 Q E HS x 100
processes needed and their interactions, in accordance with the
requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018?
Has your organisation has considered the knowledge and information
4.4 Management System Processes 17 E obtained by 4.1 and 4.2 when implementing and operating it QEHS x 100
management system?
Has your organisation determined the process required for the QEHS
4.4 Management System Processes 18 Q E HS management system, including their interactions, in accordance with x 100
requirements and their application throughout the organisation?
Has your organisation determined the inputs required and the outputs
4.4.1a Management System Processes 19 Q x 100
expected from these processes?
Integrated Internal Audit Checklist
The integrated internal audit checklist will ensure your Enter the letter 'x' into either Column H, I or J, to express the answer Audit Findings
implemenation audits concisely compare your management to each audt question. The scoring formula assumes each Note any process or practice that seems

*
Provide a reference to documented

Opportunity to improve
ISO 14001:2015
ISO 45001:2018

Minor nonconformance

Major nonconformance
ISO 9001:2015
system against the requirements of ISO 9001:2015, ISO requirement is conforms, until an 'x' is entered into Column I or J. weak, cumbersome, redundant or complex.

Question No
information to justify each audit finding.
14001:2015 and ISO 45001:2018. Audit
0 Entries yet to be entered
0 Errors
The error tracking cells in Column O display a message if there is An OFI may be an improvement to the Score
Describe the nature of any minor or major

Conforming
Each audit question phrases the ISO 9001:2015, 14001:2015 and more than response entered in Columns H, I and J, per row. The management system or something that could
nonconformance *.
45001:2018 'shall' requirements as a question, in order to elicit cells also display whether a response has yet to be entered. See prevent future problems **.
either a 'yes' or 'no' response, that can be represented as an 'x'. Cells O6 and O7 as an example.

**
4 Context of the organisation Audit Question Audit Evidence & Notes Opportunities to Improve Status % Error Checking Summary
Has your organisation determined the sequence and interaction of these
4.4.1b Management System Processes 20 Q x 100
processes?
Has your organisation determined and applied the criteria and methods
4.4.1c Management System Processes 21 Q (including monitoring, measurements and related performance indicators) x x 100
needed to ensure the effective operation and control of these processes?
Has your organisation determined the resources needed for these processes
4.4.1d Management System Processes 22 Q x 100
and ensure their availability?
Has your organisation assigned responsibilities and authorities for these
4.4.1e Management System Processes 23 Q x 100
processes?
Has your organisation addressed the risks and opportunities as determined
4.4.1f Management System Processes 24 Q x 100
in accordance with the requirements of 6.1?
Has your organisation evaluated these processes and implement any
4.4.1g Management System Processes 25 Q changes needed to ensure that these processes achieve their intended x 75
results?
Does your organisation improve the processes and the QEHS management
4.4.1h Management System Processes 26 Q x 100
system?
To the extent necessary, does your organisation maintain documented
4.4.2a Management System Processes 27 Q x 100
information to support the operation of its processes?
To the extent necessary, does your organisation retain documented
4.4.2b Management System Processes 28 Q information to have confidence that the processes are being carried out as x 100
planned?
5 Leadership, Commitment and Worker Participation

5.1 Leadership and Commitment

Has Top Management demonstrated leadership and commitment to the

5.1.1a General 29 Q E HS QEHS management system by taking accountability for the effectiveness of x 75
your organisation’s QEHS management system?
Has Top Management demonstrated leadership and commitment to the
QEHS management system by ensuring that your organisation’s
5.1.1b General 30 Q E HS x 75
environmental policies and objectives are established and documented, and
are compatible your organisation’s goals (See 6.2) and its context (See 4.0)?
Has Top Management demonstrated leadership and commitment to the
5.1.1c General 31 Q E HS QEHS management system by ensuring that QEHS requirements are x 25
integrated into your organisation’s processes?
Does Top management demonstrate leadership and commitment with
5.1.1d General 32 Q respect to the QEHS management system by promoting the use of the x 25
process approach and risk-based thinking?
Has Top Management demonstrated leadership and commitment to the
5.1.1e/d General 33 Q E HS QEHS management system by ensuring that your organisation has the x 75
required resources to implement it?
Does Top management demonstrate leadership and commitment with
respect to effective QEHS management system by communicating the
5.1.1f/e General 34 Q E HS x 75
importance of effective quality, environmental and health and safety
management and of conforming to the QEHS management requirements?
Does Top management demonstrate leadership and commitment with
5.1.1g/f General 35 Q E HS respect to the QEHS management system by ensuring that the QEHS x 100
management system achieves its intended results?
Does Top management demonstrate leadership and commitment with
respect to the QEHS management system by engaging, directing and
5.1.1h/g General 36 Q E HS x 100
supporting persons to contribute to the effectiveness of the QEHS
management system?
Does Top management demonstrate leadership and commitment with
5.1.1i/h General 37 Q E HS x 25
respect to the QEHS management system by promoting improvement?
Does Top management demonstrate leadership and commitment with
respect to the QEHS management system by supporting other relevant
5.1.1j/i General 38 Q E HS x 25
management roles to demonstrate their leadership as it applies to their
areas of responsibility?
 ISO IMS Clause Guidance
ISO 9001:2015, ISO 14001:2015 & ISO 45001:2018

Table of Contents
1 INTRODUCTION ............................................................................................................................................... 4

2 IMPLEMENTATION & DEVELOPMENT ......................................................................................................... 5

2.1 MANAGING THE CHANGE .......................................................................................................................................................................................................... 6

2.2 TOP MANAGEMENT COMMITMENT ..................................................................................................................................................................................... 6
2.3 IMPLEMENTATION TEAM ............................................................................................................................................................................................................ 7
2.4 MANAGEMENT REVIEW MEETINGS ...................................................................................................................................................................................... 7
2.5 CHOOSING YOUR REGISTRAR .................................................................................................................................................................................................. 8

3 GAP ANALYSIS ................................................................................................................................................. 8

4 ABOUT YOUR ORGANIZATION ...................................................................................................................10

4.1 ORGANIZATIONAL CONTEXT ................................................................................................................................................................................................. 10

4.1.1 Internal Issues................................................................................................................................................................ 11
4.1.2 External Issues ............................................................................................................................................................... 11
4.2 RELEVANT INTERESTED PARTIES .......................................................................................................................................................................................... 13
4.3 MANAGEMENT SYSTEM SCOPE ........................................................................................................................................................................................... 15
4.4 MANAGEMENT SYSTEM PROCESSES ................................................................................................................................................................................. 16
4.4.1 Identifying Processes .................................................................................................................................................. 17
4.4.2 Sequence & Interaction............................................................................................................................................. 18
4.4.3 Outsourced Processes ................................................................................................................................................ 19

5 LEADERSHIP & GOVERNANCE .................................................................................................................20

5.1 LEADERSHIP & COMMITMENT ............................................................................................................................................................................................ 20

5.1.1 General ............................................................................................................................................................................. 20
5.1.2 Customer Focus ............................................................................................................................................................ 21
5.2 CORPORATE POLICY ................................................................................................................................................................................................................... 22
5.2.1 Establishing the Policy ............................................................................................................................................... 22
5.2.2 Communicating the Policy ....................................................................................................................................... 23
5.3 ROLES, RESPONSIBILITIES & AUTHORITIES.................................................................................................................................................................... 24
5.4 CONSULTATION & PARTICIPATION OF WORKERS .................................................................................................................................................... 24

6 EHQMS PLANNING ...................................................................................................................................27

6.1 GENERAL ........................................................................................................................................................................................................................................... 27

6.1.1 Risks & Opportunities ................................................................................................................................................ 27
6.1.2 Environmental Aspects .............................................................................................................................................. 34
6.1.3 Hazard Identification .................................................................................................................................................. 38
6.1.4 Legal & Compliance Requirements ...................................................................................................................... 41
6.1.5 Planning Action............................................................................................................................................................. 41
6.2 EHQMS OBJECTIVES ............................................................................................................................................................................................................... 41
6.2.1 Objectives ....................................................................................................................................................................... 41
6.2.2 Objectives & Planning to Achieve Them ............................................................................................................ 44
6.3 PLANNING FOR CHANGE ......................................................................................................................................................................................................... 45

Page 1 of 94
 ISO IMS Clause Guidance
ISO 9001:2015, ISO 14001:2015 & ISO 45001:2018

Interested Party Scoring Matrix

Priority of Interested Party (Effects on decisions)

Power (Effects of influence) = Priority x Relevance No Minor Some Major
importance importance importance importance
Relevance Not relevant 1 2 3 4
of
Interested Minor relevance 2 4 6 8
Party Influential 3 6 9 12
(Effects on
activities) Significantly relevant 4 8 12 16

Action Matrix

Power of Interested Party (Effects on decisions)

Score
Description Strategy Objectives
1 to 3 Low relevance with low importance Monitor interest Detect opportunities from growing interest

4 to 6 Low relevance with high importance Keep satisfied Build interest, monitor for changes

7 to 11 High relevance with low importance Keep informed Maintain interest, monitor for changes

12 to 16 High relevance with high importance Manage closely Maintain support, monitor for changes

Communicating with stakeholders, particularly in relation to legal and compliance obligations is vital.
Communication with stakeholders should be based on performance data generated by your organization’s
EHQMS, which will require robust monitoring and measurement to ensure that the data is reliable. You should
ensure that the monitoring and measurement processes are included in the internal audit programme so your
organization can assure itself that the checking processes and validated and that the data it is communicating
is accurate.

4.3 Management System Scope

You will need to verify that your organization’s scope exists as documented information (which may be in the
form of a Manual) in accordance with Clause 7.5.1a. Verify that the organization’s scope has been established
in consideration of organization’s boundaries and applicability of the EHQMS.

There is now essentially a process by which a scope must be determined; simply declaring a scope and
excluding product-related aspects without evaluating the new considerations is not acceptable. Evaluate the
process by which the scope was determined and review any process or procedure if present. The lack of
documented processes will require more reliance on objective evidence from interviews.

Look for confirmation that your organization has determined the boundaries and applicability of the EHQMS
to establish its scope with reference to any external and internal issues referred to in 4.1 and the requirements
of relevant interested parties referred to in 4.2. The scope of your EHQMS may include the whole of the
organization, specific and identified functions within the organization, specific sections of the organization, or
one or more functions across a group of organizations.

1. Has your organization determined the boundaries and applicability of the EHQMS to establish its
scope?

Page 15 of 94
 ISO IMS Clause Guidance
ISO 9001:2015, ISO 14001:2015 & ISO 45001:2018

Policy Statement Extract Objectives Types of Indicator/KPI Possible Targets

Achieve a high level
Less than 2 complaints
of service user No. of customer complaints
submitted in 2018
satisfaction
Maintain a high level Time system is down during Systems downtime < 5%
‘by providing reliable systems’
of system reliability regular work hours during working hours
Achieve “fit for purpose”
Survey results
rating of > 5 on survey
Ensure systems
‘that meet customer User agreement after 100% of completed
provided are fit for
requirements’ completion that the request requests signed off to
purpose
meets the original indicate customer
specification agreement

‘We will respond as quickly as

possible when contacted by a Compare actual request
Provide a responsive 95% of work requests
customer and we will work to completions against the
customer service completed within deadline
meet agreed deadlines for all targets agreed with users
data requests’

‘In the event of a serious

Maintain the ability to Time taken to recover from
incident, we will restore full Recover system operation
recover the systems in disaster (conduct annual or
system operation in the within 6 hours of a disaster
the event of a disaster bi-annual test)
quickest possible time’

6.2.2 Objectives & Planning to Achieve Them

Your organization must undertake planning in order to determine how its EHQMS objectives will be achieved.
This planning includes determining the work required in order for the organization to realize its objectives you
should look for evidence that effective planning is taking place to support the achievement of your
organization’s objectives.

Additionally, your organization must determine how it will evaluate the work done, including the use of
indicators, and whenever possible, to integrate these planned actions into its business processes. The use of
indicators needs to be audited in detail in order to determine whether:

1. Objectives based on sound information;

2. Indicators really related to the corresponding objectives;
3. Statistical tools needed to define and to monitor objectives;
4. Indicators reach the expected values;
5. The organization can assure that the objective has been achieved.
You should seek and record evidence that effective planning was undertaken in support of the organization’s
quality objectives and their achievement. You should ensure that this planning activity takes into considerations
of Clause 6.2.1, as well as the following points:

1. Identification of processes, resources, and skills needed to achieve quality;

2. Identification of suitable verification criteria at appropriate stages;
3. Compatibility of design, production, inspection and testing;
4. The confirmation of criteria of acceptability for all features and requirements;
5. Details of calibration of any special measuring or test equipment to be used.

Page 44 of 94