AUDIT CHECK LIST RC & Q Management System

ISO 9001 / 14001/ Manual Section 6:

ISO 45001 Elements Planning

Date:
Auditor Auditee:
Clause No.

Audit Evidence
Audit Question

Provide reference to documented

information to justify the finding
Has the organization established, implemented and
6.1.1 maintained the processes needed to meet the
requirements for addressing risk and opportunities?
When planning for the RC & Q MS, has the organization
6.1.1 determined the risks and opportunities as they relate to
our environmental aspects (See 6.1.2)?
When planning for the RC & Q MS, has the organization
6.1.1 determined the risks and opportunities as they relate to
our compliance obligations (See 6.1.)?
Has the organization considered the issues referred to in
4.1 and the requirements referred to in 4.2 and
6.1.1 determined the risks and opportunities that need to be
addressed to give assurance that the RC & Q MS can
achieve its intended results?
Has the organization considered the issues referred to in
4.1 and the requirements referred to in 4.2 and
6.1.1 determined the risks and opportunities that need to be
addressed to give assurance that the RC & Q MS can
enhance desirable effects;
Has the organization considered the issues referred to in
4.1 and the requirements referred to in 4.2 and
6.1.1 determined the risks and opportunities that need to be
addressed to give assurance that the RC & Q MS can
prevent, or reduce, undesired effects?
Does the scope of the RC & Q MS demonstrate how the
organization has determined potential emergency
6.1.1 situations, including those which might have an
environmental impact or which might pose a health and
safety risk?
Has the organization maintained documented
6.1.1 information of its risk and opportunities that must be
addressed as they relate to quality?
Has the organization maintained documented
6.1.1 information of the processes needed in 6.1.1 to 6.1.4, to
the extent that they can be carried out as planned?

Page 1 of 4 Issue Date : June 2018 Issue: 1.1

AUDIT CHECK LIST RC & Q Management System

ISO 9001 / 14001/ Manual Section 6:

ISO 45001 Elements Planning

Date:
Auditor Auditee:
Clause No.

Audit Evidence
Audit Question

Provide reference to documented

information to justify the finding
Does the organization plan the actions to address these
6.1.1
risks and opportunities?
Does the organization plan how to integrate and
6.1.2 implement actions into its RC & Q MS processes (see
4.4)?
When planning for the scope of the RC & Q MS, has the
organization determined the environmental aspects of
6.1.2 the activities, products and services that it controls and
can influence, and their associated environmental
impacts ?
When determining applicable environmental aspects,
has the organization taken into account potential
6.1.2
change, including planned or new developments, and
new or modified activities, products and services?
When determining applicable environmental aspects and
health and safety hazards, has the organization taken
6.1.2 into account potential abnormal conditions and
reasonably foreseeable hazards and emergency
situations?
Has the organization determined those aspects and
hazards that pose a significant environmental impact or
6.1.2
health and safety hazard by using established
assessment criteria?
Has the organization communicated those aspects and
hazards that pose a significant environmental impacts or
6.1.2
health and safety hazards throughout the various levels
and functions of our organization?
Does the organization maintain documented
6.1.2 information regarding its environmental aspects and
associated impacts and health and safety hazards?
Are actions taken to address risks and opportunities
6.1.2 proportionate to the potential impact on the conformity
of products and services?
Has the organization determined how these
6.1.3 environmental and health and safety compliance
obligations apply to the organization?

Page 2 of 4 Issue Date : June 2018 Issue: 1.1

AUDIT CHECK LIST RC & Q Management System

ISO 9001 / 14001/ Manual Section 6:

ISO 45001 Elements Planning

Date:
Auditor Auditee:
Clause No.

Audit Evidence
Audit Question

Provide reference to documented

information to justify the finding
Does the organization plan to take actions to address its
6.1.4 significant environmental aspects and health and safety
hazards?
Does the organization plan to take actions to address its
6.1.4
compliance obligations?
Does the organization plan how to integrate and
6.1.4 implement the actions into its RC & Q MS process (See
6.2, 7, 8 and 9.1) or other processes?
Does the organization plan how to evaluate the
6.1.4
effectiveness of these actions (See 9.1)?
Has the organization established objectives at relevant
6.2.1 functions, levels and processes needed for the RC & Q
MS?
Are the organization’s quality, environmental and health
6.2.1 and safety objectives consistent with the corporate
policies (See 5.2)?
Are the organization’s quality, environmental and health
6.2.1 and safety objectives measurable (SMART), where
practicable?

Are the organization’s quality, environmental and health

6.2.1
and safety objectives communicated (See 7.4.1)?

Are the organization’s quality, environmental and health

6.2.1 and safety objectives reviewed and updated as
appropriate?
When planning how to achieve its quality, environmental
6.2.2 and health and safety objectives, has the organization
determined what will be done?
When planning how to achieve its quality, environmental
6.2.2 and health and safety objectives, has the organization
determined what resources will be required?

When planning how to achieve its objectives, does the

6.2.2
organization determine who will be responsible?

Page 3 of 4 Issue Date : June 2018 Issue: 1.1

AUDIT CHECK LIST RC & Q Management System

ISO 9001 / 14001/ Manual Section 6:

ISO 45001 Elements Planning

Date:
Auditor Auditee:
Clause No.

Audit Evidence
Audit Question

Provide reference to documented

information to justify the finding

When planning how to achieve its objectives, does the

6.2.2
organization determine when it will be completed?

When planning how to achieve its objectives, does the

organization determine how the results will be
6.2.2
evaluated, including indicators for monitoring the
progress of achievement of objectives?
Has the organization considered how actions to achieve
6.2.2 its quality, environmental and health and safety
objectives can be integrated into its business processes?
When the organization determines the need for changes
6.3 to the RC & Q MS, are the changes carried out in a
planned manner (see 4.4).

Does the organization consider the purpose of the

6.3
changes and their potential consequences?

Does the organization consider and maintain the

6.3
integrity of the RC & Q MS during the change process?

Does the organization consider the availability of

6.3
resources during the change process?

Does the organization consider the allocation or

6.3 reallocation of responsibilities and authorities during the
change process?

FOR RC&Q AUDIT NONCONFORMITY PLEASE SEE ATTACHED REPORT.

NO NONCONFORMITIES FOUND - AUDIT SIGNED OFF BY
(DELETE AS APPLICABLE) DATE

Page 4 of 4 Issue Date : June 2018 Issue: 1.1