Clause

Clause Title Sub Clauses Sub Title

Number

4.1 Internal & External Issue

Interested Parties and

4.2
Requirements

4 Context of the Organization

4.3 Scope
 4.4 Processes

5.1 Leadership & Commitment

5.1.2 Customer Focus

5 Leadership & Worker Participation

5.2 Policy

5.3 Roles & Responsibilities

Consultation &
5.4
Participation
6.1.1a Risks & Opportunities

6.1.1b Risks & Opportunities

Action plan to address

6.1.2a
risks & opportunities

6.1.2b Hazard Identification

 Environmental Aspects &
6.1.2c
Impacts

OHS Risks &

6.1.3a
Opportunities
Planning - Actions to address risks &
6
opportunities

Legal and Other

6.1.3b
requirements
6.1.3c Compliance Evaluation

Action plan to address

6.1.4
risks & opportunities

6.2.1 Objectives

6.2.2 Action Plan

6.3 Planning of Changes

 7.1.1- 7.1.4 Resources

Monitoring and measuring

7.1.5.1
resources

7.1.5.2 Measurement traceability

7.1.6
Organizational knowledge

7.2 Competence

7 Support
7 Support

7.3 Awareness

7.4 Communication

7.5 Documented Information

 Operational Planning &
8.1a
Control

Operational planning and

8.1b
control

Operational planning and

8.1c
control

Operational planning and

8.1d
control
 Operational planning and
8.1e
control

Operational planning and

8.1f
control

Operational planning and

8.1g
control

Eliminating hazards and

8.1.2
reducing OH&S risks

8.1.3 Management of Change

8.1.4.1 Procurement

8.1.4.2a Contractors

8.1.4.2b Contractors
8.1.4.3 Outsourcing

Requirements for Products

8.2.1
& Services

Determining the
8.2.2 requirements for products
and services

Review of the
8.2.3a requirements for products
and services

Review of the
8.2.3b requirements for products
and services
 Changes to requirements
8.2.4
for products and services

8 Operations

Emergency preparedness
8.2a
and response

Emergency preparedness
8.2b
and response
 Emergency preparedness
8.2c
and response

8.3 Design and development

8.3.2 Design and development

8.3.3 Design and development

Control of externally
8.4.1a provided processes,
products and services

Control of externally
8.4.1b provided processes,
products and services
8.4.2 Type and extent of control

Information for external

8.4.3a
providers

Information for external

8.4.3b
providers

Control of production and

8.5.1
service provision

Identification and
8.5.2
traceability

Property belonging to
8.5.3 customers or external
providers

8.5.4 Preservation

8.5.5 Post-delivery activities

8.5.6 Control of changes

Release of products and

8.6a
services

Release of products and

8.6b
services

Control of nonconforming
8.7
outputs

Monitoring,
9.1.1a measurement, analysis
and evaluation

Monitoring,
9.1.1b measurement, analysis
and evaluation

Monitoring,
9.1.1c measurement, analysis
and evaluation
 Monitoring,
9.1.1d measurement, analysis
and evaluation

9.1.1e

9 Performance Evaluation
9.1.2a Customer satisfaction

9.1.2b Evaluation of compliance

9.1.3 Analysis and evaluation

9.2.1 Internal Audit

9.3 Management Review

 10.1 Improvement

Incidents,
10.2 nonconformities and
10 Improvement
corrective actions

10.3 Continual Improvement

 IMS Internal Audit Checklist

Standard

9001,14001,
45001, 22301

9001,14001,
45001, 22301

9001,14001,
45001, 22301
 9001

9001,14001,
45001, 22301

9001

9001,14001,
45001, 22301

9001,14001,
45001, 22301

45001
9001,14001,
45001, 22301

14001,
45001

9001,14001,
45001, 22301

45001
 14001

45001

4,500,122,301
 14001

9001,14001,
45001, 22301

9001,14001,
45001, 22301

9001,14001,
45001, 22301

9001, 22301
9001,14001,
45001, 22301

9001

9001

9001

9001,14001,
45001, 22301
9001,14001,
45001, 22301

9001,14001,
45001, 22301

9001,14001,
45001, 22301
9001,14001,
45001, 22301

45001

9001,14001,
45001

14001
 14001

14001

9001,14001,
45001

45001

14001,
45001

45001

45001

45001
45001

9001

9001

9001

9001
 9001

14001, 45001

14001, 45001
14001, 45001

9001

9001

9001

9001

9001
9001

9001

9001

9001

9001

9001

9001

9001
 9001

9001

9001

9001

9001,14001,
45001, 22301

9001, 14001,
22301, 45001

45001
 14001

9001,14001,
45001, 22301

9001

14001, 45001

9001

9001, 22301,
14001, 45001

9001, 22301,
14001, 45001
9001, 22301,
14001, 45001

9001, 22301,
14001, 45001

9001, 22301,
14001, 45001
 IMS Internal Audit Checklist

(a) Have you determined the external and internal issues?

(b) Are these external & internal issues reviewed and monitored? Is there a defined frequency?

(a) Have you determined the interested parties,including workers that are relevant to your QHSE management system?
(b) Have you determined the requirements (needs and Expectations) of these relevant interested parties and workers?
(c) Do you monitor and review information about these interested parties and their relevant requirements?
d) Have you determined which requirements are or could be legal, compliance obligations or other requirements?

(a) Has the scope of the Mangement System been determined?

(b) When determining this scope, did you consider the external and internal issues, the requirements of workers and other
relevant interested parties, compliance obligations, the products and services of FEWA; planned or performed work-related
activities, and the authority and ability to exercise control and influence.
(c) Is the Scope documented and maintained?
d) is there any exclusion to the scope of the IMS?
Have you identified the required processes?
Have you determined the inputs required and the outputs expected from these processes;
Are the processes documented?

How has top management taken responsibilty and accountability for the effectiveness of the Management System.
(Ensuring that the policies and objectives are established in line with Strategic Direction, Integration of management system
requirements with organizations business processes, Promoting process approach and risk based thinking, resources needed
are provided, ensuring Management system achieves intended results.)

How is leadership and commitment to customer focus demonstrated w.r.t:

a. customer and applicable statutory and regulatory requirements
b. risk and opportunities for conformity for products and services
c. enhancing customer satisfaction

Have policies been established,implemented and maintained? Are these policies documented and effectively communicated
within the organization and to the interested parties as appropriate?

(a) Have roles, responsibilities and authorities been assigned, understood, and communicated?
(b) Are the roles and responsibilities maintained as documented information?

Do your workers participate and are consulted at all applicable levels and functions in the development, planning,
implementation, performance evaluation and actions for improvement of the OH&S?
When planning for the Management System, did you consider
—Internal and external issues;
— the requirements of interested parties
— Scope of the HSE
— Risks & Opportunities
(a) Have you determined the risks and opportunities that need to be addressed?
(b) When determining the risks & opportunities, did you consider:
— hazards (see 6.1.2.1);
— OH&S risks and other risks (see 6.1.2.2);
— OH&S opportunities and other opportunities (see 6.1.2.3);
— legal requirements and other requirements (see 6.1.3).
— Environmental aspects (see 6.1.2),
—Compliance obligations (see 6.1.3);and
—Other issues and requirements, identified in 4.1 and 4.2.
(c) Do you maintain a documented information for the risks and opportunities, including the process(es) and actions needed to
address them?
(a) Is there any action plans to address the risks and opportunities?
(b) How do you intend to integrate & implement the actions into your managment system processes?
(c) Do you evaluate the effectiveness of these actions?

Do you have an ongoing and proactive process for hazard identification? What do you consider when identifying these
hazards? Do you consider the social factors, routine & non routine activities, potential emergency situations, workplace design,
etc.
(a) Have you determined the environmental aspects and impacts of your activities, products and services that can be controlled
and those that you can influence?
(b) Do you consider the life cycle perspective of products?
(c) What do you consider when determining these environmental aspects? Do you consider changes, including new or modified
activities, products and services; abnormal conditions and reasonably foreseeable emergency situations, etc
(d) Do you have an established criteria for determining your environmental aspects?
(e) Do you communicate your significant environmental aspects at various levels within the organization?
(f) Is there a documented information for your identified environmental aspects, impact and the critieria for significant
environmental aspects?

Do you assess the OH&S risks and other risks to the OH&S MS?
Do you assess OH&S opportunities, including other opportunities?

(a) Do you have a process for identifying applicable legal and regulatory requirements.
(b) Have you determined and have access to up-to-date legal requirements and other requirements that are applicable to your
hazards, OH&S risks and OH&S management system, continuity of products and services, activities and resources?
(c) Have you determined how these legal requirements and other requirements apply to the organization and what needs to be
communicated?
(d) Do you maintain and retain documented information on these legal and other requirements?
(e) How often is it updated to reflect any changes?
a) Have you determined and have access to the compliance obligations related to your environmental aspects?;
b) Have you determined how these compliance obligations apply to the organization?
c)Do you consider these compliance obligations when establishing, implementing, maintaining and continually improving the
environmental management system.
(d) Do you maintain a documented information of the compliance obligations?.

(a) Is there an action plan to address:

(1) significant environmental aspects;
(2) compliance obligations;
(3) identified risks and opportunities (see 6.1.2.2 and 6.1.2.3);
(4) legal requirements and other requirements (see 6.1.3);
(5) prepare for and respond to emergency situations (see 8.2);
(b) How do you intend to integrate and implement the actions into the OH&S management system processes or other business
processes;
(c) Do you evaluate the effectiveness of actions (as stated in point b)? Is there a defined frequency?
(d) When planning to take action, do you take into account the hierarchy of controls and outputs from the OH&S management
system?
(e) Do you consider best practices, technological options, and financial, operational and business requirements when planning
these actions?

Have Objectives been established at relevent functions, level and processes within the organization? What did you consider
while defining the objectives?
Are these objectives maintained as documented information?

Is there an action plan to achieve set objectives? Have you determined resources, responsibilities, timeline and the need for
evaluation of results

When there is the need for change to the quality management system, how is this change carried out?
Can you confirm that adequate resources (including people, infrastructure and environmental for operations of process
requirements) have been determined and provided?

Have you determined the resources required for conformity of products and services to requirements while monitoring and
measurement is performed?.
Do you retain appropriate documented information as evidence of fitness for purpose of monitoring and measurement
resources.

What is the process and basis for calibration of equipment/instruments?

Do you retain the basis used for calibration or verification as documented information

Do you consider current knowledge and determine how to acquire or access the necessary additional knowledge?
Are these organizational knowledge maintained and made available to the extent necessary?

(a) Have you determined the necessary competence of your personnel?

(b) How do you ensure that personnel are competent on the basis of appropriate education, training, or
experience?;
c) where applicable, do you take actions to acquire the necessary competence, and evaluate the effectiveness
of the actions taken;
d) Do you retain appropriate documented information as evidence of competence.
Are you aware of :
(a)the Quality, BCM & HSE policy;
(b) relevant objectives;
(c) their contribution to the effectiveness of the management system, including the benefits of
improved performance;and
(d) the implications of not conforming with the management system requirements.
(e) incidents and the outcomes of investigations that are relevant to them;
(f) hazards, OH&S risks and actions determined that are relevant to them;
(g) the significant environmental aspects and related actual or potential environmental impacts associated with their work.

(a) Is there a defined process for internal and external communications

(b) Do you consider gender, language, culture, literacy, disability, views of external interested parties, legal requirements and
other requirements, compliance obligations, etc?
(c) Is the communication process retained as documented information?

a) Is there a defined process for creating, updating and control of documented information (including retention, storage,
distribution, retrieval, access, preservation of legibility and disposal- both electronic and hardcopy)?.

b) How do you maintain documented information of external origin determined by the organization to be necessary for
planning and operations?.
1. Is there a plan to implement and control the processes needed to meet requirements for the provision of products and
services and to implement the actions determined in clause 6

a) Have you determined the requirements for the product and services?
b) Have you established a criteria for the processes and the acceptance of products and services?
c) Have you determined the resources needed to achieve conformity to product and service requirements?
d) How do you implement control of the processes in accordance with the criteria?
e) Is there a plan to implement and control the processes needed to meet requirements of OHS for adapting work to the
workers?
f) Have you determined, maintain and retain documented information to the extent necessary to have confidence that the
processes have been carried out as planned and to demonstrate conformity of products and services to their requirements.

Do you coordinate the relevant parts of the OH&S management system with the other organizations?

a) Do you have any outsourced processes? If yes, How are they managed and controlled?
b) Is the type and extent of control or influence to be applied to the process(es) defined within the environmental management
system?

Have you established controls, as appropriate, to ensure that environmental requirement(s) is (are) addressed in the design and
development process for the product or service, considering each life cycle stage?
a) Have you determined the environmental requirement(s) for the procurement of products and services, as appropriate?
b) Have you communicated the relevant environmental requirement(s) to external providers, including contractors?

Have you considered 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?

Do you maintain documented information to the extent necessary to have confidence that the processes have been carried out
as planned?

How do you eliminate hazards and reduce OH&S risks using the hierarchy of control?

Is there a process(es) for the implementation and control of planned temporary and permanent changes that impact OH&S
performance?

How do you control the procurement of products and services in order to ensure conformity to OH&S management system?
Refer to clause 8.1.4.1

How do you coordinate your procurement process(es) with contractors to identify hazards and to assess and control the OH&S
risks, arising from the:
a) contractors’ activities and operations that impact the organization;
b) organization’s activities and operations that impact the contractors’ workers;
c) contractors’ activities and operations that impact other interested parties in the workplace.

How do you ensure that the requirements of your OH&S management system are met by contractors and their workers?
What type and degree of control are in place for your outsourced functions and processes? Is the type and degree of control
defined with the OH& S management system? Are your outsourcing arrangements consistent with legal requirements and other
requirements? Refer to clause 8.1.4.3

Does your communications with customers include providing information relating to products and services; handling enquiries,
contracts or order handling, including changes; obtaining customer feedbacks relating to products and services, including
complaints; handling or controlling customer property and establishing specific requirements for contingency actions, when
relevant.

(a) Have you determined the key requirements to be considered for products and services, including any applicable statutory
and regulatory requirement and those considered necessary by your organization;
(b) How do you ensure that the organization can meet the claims for the products and services it offers.

Do you review your ability to meet the requirements for products and services to be offered to customers? Is this review
conducted prior to the commitment to supply products and services?

Does your review consider the requirements specified by the customer, including the requirements for delivery and post-
delivery activities;
b) requirements not stated by the customer, but necessary for the specified or intended use, when known;
c) requirements specified by the organization;
d) statutory and regulatory requirements applicable to the products and services;
e) contract or order requirements differing from those previously expressed.

a) How do you ensure that contract or order requirements differing from those previously defined are resolved.
b) How do you confirm customer’s requirements before acceptance, when the customer does not provide a documented
statement of their requirements.
a) Do you retain documented information on the results of the review and on any new requirements for the products and
services?
b) When the requirments for products and services are changed, do you ensure that relevant documnted information is
ammended and that relevant persons are made aware of the changed requirements?

Is there an arrangement for preparing and responding to potential and actual emergency situations in terms of first aid, training,
planning actions to prevent or mitigate adverse environmental impacts from emergency situations;communicating and
providing relevant information to all workers under your control on their duties and responsibilities, periodically testing and
exercising the planned response capability and evaluating performance and, as necessary, revising the planned response,
including after testing and in particular after the occurrence of emergency situations?

a) Do you communicate relevant information (i.e emergency preparedness with respect to safety and environement) to
contractors, visitors, emergency response services, government authorities and, as appropriate, the local community?

b)Do you communicate relevant information to all relevant interested parties? Do you take into account their needs and
capabilities, ensuring their involvement, as appropriate, in the development of the planned response?
a) Do you take action to prevent or mitigate the consequences of emergency situations, appropriate to the magnitude of the
emergency and the potential environmental impact?

b) Are there evidences to show that you maintain and retain documented information on the process(es) and on the plans for
responding to potential emergency situations.

Do you do design and development of products or services? (If yes) Do you consider all the stages and controls for design and
development (inputs, outputs, changes, review, control

Do you retain documented information on design and development inputs, outputs, reviews?

What type of controls do you apply to the design and development process? Do you retain documented information of these
Do you identify, review, and control changes made during or subsequent to the design and development of products and
activities?
services, to the extent necessary to ensure that there is no adverse impact on conformity to requirements.

Do you retain documented information on:

a) design and development changes;
b) the results of reviews;
c) the authorization of the changes;
d) thedo
How actions taken that
you ensure to prevent adverse
externally impacts.
provided processes, products, and services conform to specified requirements?

Have you determined the controls to be applied to externally provided processes, products and services?

Have you determined and apply the criteria for the evaluation, selection, monitoring of performance and re-evaluation of
external providers based on their ability to provide processes or products and services in accordance with requirements.

Do you retain documented information of these activities and any necessary actions arising from evaluation.?
How do you ensure that externally provided processes, products, and services do not impact your delivery to customers?
What is the extent of the controls (Please refer to clause 8.4.2)

Do you ensure communication of adequate information to the external providers? (Please refere clause 8.4.3)

How do you ensure the adequacy of requirements prior to their communication to the external provider?

How do you ensure that the provision of products and services are carried out in line with the requirements of QMS?

Do you have effective means to identify outputs and ensuring traceability for products and services?-Do you retain the
documented information necessary to enable traceability?

a) Do you work with the property belonging to customers or external providers?

b) How do you identify, verify, protect and safeguard customers or external provider’s property provided for use or
incorporation into the products and services.
c) When the property of a customer or external provider is lost, damaged or otherwise found to be unsuitable for use, do you
report this to the customer or external provider?
d) Do you retain documented information on what has occurred?

How do you preserve the outputs during production and service provision to the extent of conformity?

Are there any defined requirement for post-delivery activities of the products and services? How do you ensure these
requirements are met?
a) Do you review and control changes for production or service provision, and upto what extent.
b) Do you 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.

How do you ensure planned arrangements are followed before the release of products and services? Do you retain
records/documentaion for the release of products and services?

Does the documented information include evidence of conformity with the acceptance criteria and traceability to the person(s)
authorizing the release?

1) How do you manage nonconforming outputs? Do you ensure their unintended use or delivery?
2) Do you retain documented information that:
a) describes the nonconformity;
b) describes the actions taken;
c) describes any concessions obtained
d) identifies the authority deciding the action in respect of the nonconformity.

Have you determined what needs to be monitored & measured, methods for monitoring & measurement, when to be
performed, analysed and evaluated to ensure valid results?

How do you evaluate the performance and the effectiveness of your Quality, BCM, OH&S and Environmental management
system.

Is there a defined criteria for evaluating your HSE performance?

Are relevant environment performance information communicated both internally and externally?

a) How do you ensure that calibrated or verified monitoring and measurement equipment are used and maintained?
b) Do you retain documented Information as evidence of the results and on the maintenance, calibration or verification of
measuring equipment.?

Do you monitor customer perceptions for products and services? determine Is there a defined method for obtaining,
monitoring and reviewing this information

Do you evaluate your OH&S compliance with legal and other requirements?

Have you determined the frequency and method(s) for the evaluation of compliance and the fulfilment of your compliance
obligations.? Do you evaluate compliance and take action if needed? Do you maintain knowledge and understanding of your
compliance status with legal requirements and other requirements?

Do you retain documented information of the compliance evaluation result(s).

Do you analyse and evaluate appropriate data and information arising from monitoring and measurement? Are the results of
analysis evaluated as per the requirements of clause 9.1.3

a) Do you conduct internal audit of the QHSE MS at planned intervals?

b) Do you plan, establish, implement and maintain an audit programme(s)

Do you conduct review of the Management System? Do you consider the requirements of clause 9.3.2 & 9.3.3 in conducting
reviews?
a) Have you determined and selected opportunities for improvement?

b) How do you implement the necessary actions to meet customer requirements and enhance customer satisfaction?

c) How do you achieve the intended outcomes of your management system.?

How do you address Incidents, nonconformities and the related corrective actions?

Do you retain documented information as evidence of:

a) the nature of the nonconformities and any subsequent actions taken;
b) the results of any corrective action.

Do you communicate this documented information(e.g results of incident investigation) to relevant workers, and, where they
exist, workers’ representatives, and other relevant interested parties.?

How do you plan to continually improve the suitability, adequacy, and effectiveness of the Management System

As part of continual improvement, do you consider the outputs of analysis and evaluation, and the outputs from management
review, to determine if there are needs or opportunities that shall be addressed?
Reference Documents Remark