IMS INTERNAL AUDIT CHECK LIST

Sheet 01 of 03

ISO OHSAS Compli Objective

ISO 9001 Description Look For which documents
14001 18001 ed Y / N Evidence

What are the external and internal context under which your
4.1 4.1 Format is there
organization operates? How these are determined?
How do you monitor and review information about these internal
4.1 4.1 Format is there
and external issues?
Who are your interested parties? How have you determined
them? How do you take care the needs and expectations of
interested parties relevant to QMS?How has impact or potential
4.2 4.2 Format is there
impact been determined?How do you monitor and review the
information about interested parties and their relevant
equirements?

Describe the Boundary, Product & Services provided,

4.3 4.3 Determining the scope of QMS
Interested Parties, External & Internal issues in the Manual

Is Hazard/ Risk assessment done for the all activities of

4.3.1 department and considered hazards originating outside which
may adversely affecting dept.
When was the Hazard/ Risk assessment for the activities last
4.3.1
done/ reviewed. HIRA document with inclusion of human behaviours,
Have the Worker representative been consulted /participated in temporary activities
4.3.1
the Risk assessment process.
After any incident/nearmiss is Hazard/Risk Assessment relooked
4.3.1
or reviewed.
4.3.1 When is it due for next review.
What type of wastes( Both Hazardous & Non-hazardous) are
4.3.1
generated in the department and where are they kept.
How much Hazardous waste is available in the department. Are
4.3.1 Hazardous waste monitoring register and its form-3
records available. (Form 3 and HW generation record)
Has there been any damage to the ecosystem. What remedial
-
measures are being taken.

Compliance of the Water (Prevention & Control of Pollution) Cess

4.3.2
Act, 1977- Submission of Water Cess by the Unit heads.

Are flow meters at all the water withdrawal point provided and
4.3.2
calibrated.
Are special conditions / violations/ querries stated by PCB/ IBM/
4.3.2
DGMS MoEF or any other agency being complied. Legal and other requirement status updation
Are records related to Hazardous Waste disposal available with
4.3.2
P&S
Is all applicable legal and other requirements communicated to
4.3.2
employees and interested parties.
Have the worker representative been consulted /participated in
4.3.3
finalizing the Objectives and targets.

4.3.3 Any document (OCP) revised after completion of QEHSMP. SOP revision if any after Management program
Is Departmental KPMs are available, reviewed and records are
4.3.3
maintained
Is Management programme(s) logged in PMS and status
4.3.3 reviewed in the CAT review/ Cost & Production review / MRC
Meeting. KPI's, Management program, Roles, responsibilities &
4.3.3 Is Monthly status report submitted by the department? Authorities,KPI Monitoring sheets (charts/log book etc.) as
Are Resources, Roles, Responsibilities & Authorities defined for per KPI Tracker/Control Plan/ MOU/BO&S,master list
4.4.1
QEHSMS & documented?
4.4.2 Are employees aware about who is the MR/TMA ?
Are employees aware about who is their Worker representative
4.4.2
from their department.
Are the training needs identified , Trg. Plan prepared and
7.2 7.2 4.4.2
imparted. Check the effectiveness of the training. Training need, Training plan and its imparted
4.4.2 Are relevant training records available?.
Sheet 02 of 03
Evidence of Internal / External Communication. How you
7.4 7.4 4.4.3
communicate?

Are the Sig. Env. Aspects and hazards and risk associated with
4.4.3
their activity communicated to the Contractor workers. Verify.

Is the Health status of the employees/ contract workers available

4.4.3
with the Departmental Head.
If identified, has the health problem been communicated to the
4.4.3
concerned employee/ contract worker.
Is Feedback on Customer Satisfaction available for last quarter
4.4.3
and qualitative feedback half yearly ?
4.4.3 any action taken based on feedback from customer?
Is Records of communications from government agencies are
4.4.3
maintained by DEH(Planning)/DEH concern.

Is customer complain/ feedback are collected in the dept. and

4.4.3
corrective actions communication records are mantained ?

Is contractors/Suppliers and their employees are aware about

4.4.3
QEHSMS requirement and complying?
4.4.4 Are the current versions of documents available at the section.

Are the procedures and Work Instructions adequate w. r.t the

4.4.4 process, environmental impacts and risk associated with the
activity.
Is all relvent approve documents/procedure/work instructions are
4.4.5
available at the point of use?
4.4.5 Is documents are legible and readily identifiable.
Is Master File is maintained and adequate as per Step 2.18, of
4.4.5
Manual Doc. QEHSMS/410/G1001, Sec.4.4.5?
Are the OCPs for sig. Env. Aspect and control of High / moderate
4.4.6
risk available.
4.4.6 Are the operation criteria being met.House keeping is OK?
4.4.6 Is approved and well maintained equipments are deployed ?
Is persons working are adequately qualified or persons having
4.4.6
valid gate pass?
4.4.6 Is there a planned maintenance for the equipments
Is there a process for identifying and evaluating the
4.4.6
suppliers/vendors. If yes, is it being followed.
Is there a process for identifying and evaluating the
4.4.6
supplier/vendors. If yes, is it being followed.
Any requirements for suppliers specified by the indenting dept.
4.4.6
are being met. Verify.
Are the Quality control parameters for the product/ service being
4.4.6
met.
In case of any deviation in the product/ service parameters are
4.4.6
actions taken to rectify the problem.
Are Emergency Preparedness drills planned for all the
4.4.7 Emergencies identified in the Aspect Impact/ Hazard Risk
Analysis.
Have the Emergency Preparedness drills been conducted as per
4.4.7
plan and reviewed for adequacy.
Which Env. Aspects monitored & measured and are these
4.5.1
recorded? Are monitoring plans availabe?
Is the Monitoring & measuring instruments are identified ? Is
4.5.1 there calibration and re-adjustment plan and records are
available?

Is there records are available on the natural resources

4.5.1
consumption (Water,Lubricants, Electricity, HSD, LPG, etc)?

Is Departments maintain incident and accident records and

4.5.1 monitoring performance in safety as mentioned in step 2.5 of
Manual Doc. No. QEHSMS/410/G1001 Sec 4.5.1
Are all the Legal and other requirements evaluated and complied
4.5.2
with.
Are CPAs identified and recorded to address non-conformities
4.5.3
and customer complaints.
4.5.3 Any procedure modified as result of CPA.
4.5.3 Is there a process for controling non-conforming products.
Are records available for measures taken for control of Non
4.5.3
conforming products.
How many incidents have occurred in the dept. after the last
4.5.3
internal audit.

4.5.3. Were the incidents investigated. If yes, were worker rep. involved
1 in the Incident Investigation process. Verify evidence.

4.5.4 Are the records are legible, identifiable and traceable?.

Are all the previous audits conducted and all NC closed within
4.5.5
time.
When was the last review held. Are all the poins of the MR
4.6
meeting reviewed & actions taken.

KPI Monitoring sheets (charts/log book etc.) as per KPI

4.4 4.4 QMS & its processes
Tracker/Control Plan/ MOU/BO&S etc., Master List

5.1.1 5.1.1 Process approach & Risk based thinking towards QMS Format is there for both
Is signed MOU with key supplier (s) is available with dept. and
5.1.2 - -
reviewed during last quarter
4.2/4. Are the Updated Policies on Quality,Environment and Safety &
5.2.1 5.2.1
4.3 Occupational Health are available and displayed
Are the Policies communicated to employees & understood by
5.2.2 5.2.2 4.2
them
Are the Policies communicated to contract workers working in
5.2.2 5.2.2 4.2
the dept. & understood by them
Sheet 03 of 03
Aspect & Impact assessment and its due along with
6.1 4.3.2 Actions to address risks and opportunities
temporary activities & Legal & other requirements
6.2.1 6.2.1 4.3.1 Quality / Environmental objectives Objectives & programmes
6.2.2 6.2.2 Planning actions to achieve objectives
6.3 6.3 Planning of changes MOC if any
7.1.5.1 Master list of instruments for calibration, calibration plan
Monitoring and measuring resources
7.1.5.2 Calibration report/certificate
Document change requests, amendment sheets etc. at
7.5.2. & 7.5.3 Creating and updating & Control of documented information
GDCS
Operation planning & control Same as Item # 1 (4.4.2)
7.3 Awareness
7.5.1 General (Documented information )
7.5.2 Creating and updating
7.5.3 Control of documented information Control of documents
8.1 8.1 Operational planning and control Field visit of area
Customer complants, contract communication,Customer
8.2.1 8.2.1 Customer communication
feed back

8.2.2 8.2.2 Determining the requirements related to products and services Applicable statutory requirements
8.2.3 8.2.3 Review of requirements related to products and services Contract review
8.2.4 8.2.4 Changes to requirements for products and services Ammendment in any contract
8.3.1 8.3.1 General (Design & Development)
8.3.2 8.3.2 Design and development planning
8.3.3 8.3.3 Design and development inputs
8.3.4 8.3.4 Design and development controls
8.3.5 8.3.5 Design and development outputs
8.3.6 8.3.6 Design and development changes
General (Control of externally provided processes, products and Purchase Order/Contract management system/Third Party
8.4.1 8.4.1
services) Inspection records as applicable
8.4.2 8.4.2 Type and extent of control
8.4.3 8.4.3 Information for external providers
8.5.1 8.5.1 Control of production and service provision
Traceability of products and services as per SAP or any
8.5.2 8.5.2 Identification and traceability
other system as applicable
Control of drawing/QAP of Customer/external providers as
8.5.3 8.5.3 Property belonging to customers or external providers
applicable
8.5.4 8.5.4 Preservation MoC records
Test certificate/Despatch Certificate/SAP/CRM systems as
8.5.5 8.5.5 Post-delivery activities
applicable

8.5.6 8.5.6 Control of changes Non-conforming product/service records, RCA reports etc.
8.6 8.6 Release of products and services Same as Item # 1 (4.4.2)
8.7 8.7 Control of nonconforming outputs Process for controlling NC products
9.1.1 9.1.1 General (Monitoring, measurement, analysis and evaluation) Monitoring & measurement data
9.1.2 9.1.2 Customer satisfaction MOU and its compliance
9.1.3 9.1.3 Analysis and evaluation
Audit Programme/Audit Plan/Audit Report/NC Report/ NC
9.2 9.2 Internal audit
status etc.
9.3.1 9.3.1 Management Review (General) MR review minutes
9.3.2 9.3.2 Management review inputs
9.3.3 9.3.3 Management review outputs
10.1 10.1 General (Improvement) Improvement trends and its process to achieve
10.2 10.2 Nonconformity and corrective action CAPA
KAIZEN/ASPIRE Projects/KVHS Projects/VE
10.3 10.3 Continual improvement Projects/KVHS Projects etc. linked with corrective actions
and improvement projects.

SIGNATURE OF THE AUDITOR