IMS

Checklist
Preparing your Integrated
Management System for certification.
 IMS CHECKLIST

From QMS to IMS.

If you already have your Quality Management System certified to ISO
9001:2015, establishing an Integrated Management System (IMS) may
be easier than you think.

In many ways, an Integrated Management System of Quality, Safety and

Environment is easier to monitor and maintain than any single system,
and the improvements you'll see across your business will be
exponential.

This list can be used as a guide to determine how

much of your existing system can be carried over,
and the additional requirements you'll need to
prepare your IMS for certification.

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HOW TO USE THIS CHECKLIST
This checklist will help your company determine if you are prepared for the
certification audit to become certified to ISO9001:2015, ISO45001:2018 and
ISO 14001:2015 for an Integrated Management System (IMS). This list is
intended as a guide, and should be used in conjunction with the advice from
your Lead Auditor or Consultant.

The elements with a pre-filled tick should already be in place from your
QMS, while those with a blank box are things you will need to develop for
your IMS.

Quality, Occupational Health &

Safety & Environmental Policies
Each policy is a declaration statement from management
providing a framework for setting objectives and stating a range of
commitments. For example – commitment to fulfill legal and other
requirements; and consultation of workers, and (where they exist)
workers representatives.

Each policy must be available as documented information, as well

as communicated and made available to all interested parties.

Quality, OH&S & Environmental

Objectives
Objectives with measurable targets shall be developed and
monitored taking into account the organisations significant
environmental aspects, associated compliance obligations, risks
and opportunities.

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 SWOT Analysis
Analyse and identify the Strengths, Weaknesses, Opportunities
and Threats to your business to determine internal and external
risks.

Stakeholder Analysis
Evidence of how you understand and manage the interests and
expectations of interested parties.

Organisational Chart
An Organisational Chart sets out the various positions within
your organisation, and how roles interact with one another.

Position Descriptions
Position descriptions support the Organisational Chart,
providing detail on each role within the organisation, including
responsibilities and authorities.

NOTE: Ensure roles and responsibilities with respect to the IMS are
included within position descriptions.

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 Induction Process
The Induction Process ensures all employees are made aware of
the IMS policies, objectives and processes; their contribution to
the effectiveness of the IMS; significant environmental aspects;
and hazards, risks and actions relevant to them. Evidence of
competency may also form part of this process.

Processes for Consultation &

Participation of Workers
Establish processes that include workers (and, where they exist,
workers representatives) in the development, planning,
implementation, performance evaluation and actions for
improvement of the IMS.

Risk Register
A risk register is a way to identify, assess and control
strategic and operational risks to your organisation, and
includes everything from the nature of risk to its likelihood,
consequences, and any risk mitigation strategies.

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 Hazard Identification & Control
Methodologies and criteria for assessment of hazards need to
be proactive, rather then reactive; and be available and
maintained as documented information.

11 Environmental Aspects &

Impacts Register
The organisation needs to maintain documented information of
its environmental aspects and impacts associated with the
organisation's activities, products and/or services; the criteria
used to determine which aspects are ‘significant’; and which
aspects are ‘insignificant’.

12 Emergency Response Plans

Emergency response plans need to be developed, tested and
evaluated regularly to ensure the organisation can respond
to potential emergency situations. These should outline the
steps to take in the immediate aftermath of an event,
including gaining control, limiting the extent of the
emergency and minimising further damage.

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 13 Legal & Other Requirements Register
The organisation must ensure it has a process to determine up-
to-date legal requirements and other requirements applicable
to the organisation’s activities. Relevant workers must know
how to access information on legal and other requirements that
are applicable to them.

14 Procedures & Instructions

Detailing the working instructions and flows of key processes
within your organisation is an essential component of
management system documentation. This is often the area that
requires the most effort and detail.

NOTE: Procedures specific to OH&S and Environmental processes

must be developed and documented in addition to those related to
Quality.

15 Management Review Meetings

It’s important to include the agenda and minutes of formal
management review meetings. These meetings need to
follow a particular agenda to meet requirements of the
standard. They also must be documented and held regularly –
whether that be monthly, quarterly, six monthly or annually.

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 16 Document Register
The document register centralises and organises all the
documentation that forms part of your Integrated Management
System. It needs to be up to date and readily available.

17 Supplier Process
This process outlines how you evaluate, select and re-evaluate
suppliers and/or subcontractors. This should include how you
assess and analyse their value and ability to provide quoted
services.

18 Incident, Nonconformity &

Corrective Action Process
You will need to keep a report and log of any nonconformities
that are identified, as well as evaluating and monitoring the
corrective action taken to eliminate the nonconformity.

NOTE: For an IMS, this also needs to include a report of all incidents
that occur.

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 19 Continual Improvement –
Monitoring & Evaluation
It is necessary to show how you monitor, measure and evaluate
continual improvement measures across your organisation. This
includes reporting and record keeping of which processes are
improved and how improvement opportunities are identified.

20 Internal Audits
An Internal Audit schedule or plan is required to be developed
and maintained. Internal Audits must be completed to ensure
the organisation confirms to its own requirements, the
requirements of the standards, and any legal or other
requirements. Records need to be retained as evidence of
internal audit results.

21 Analysis of Customer Satisfaction

You will need to show evidence of how you analyse customer
satisfaction with your business – not only how you collect
responses or feedback, but how you analyse and act upon this
data to improve the quality of your products or services.

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WHAT’S NEXT?

Your next steps

It is always a good idea to discuss updating from a Quality Management
System to an Integrated Management System with your auditor or
consultant.

The Southpac Certifications team is available for a no-obligation call or

meeting to assist with determining where you are at and whether you are
ready to begin the certification process.

Let us know how we can help.

CONTACT US
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Australia | New Zealand

P +61 7 5533 9988 | E [email protected]
southpaccertifications.com

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