This checklist sets out the regular activities that keep the management system up to date and effective after setup, with a column for when each was last done.

Effective Implementation Checklists

This checklist is supplied in fully editable MS Word format and can be easily customised and edited. The document uses pre-defined style formatting throughout, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:

• Checklist name and title
• Information-classification
• Version
• Page number / total pages

alphaZ documents - beautifully designed, tried and tested checklists. No junk, jargon or unnecessary content. Simple and usable checklists developed over 25 years through practical use in the real world.

Further Reading

Further guidance on maintaining a management system:

• Management Review Explained
• Plan-Do-Check-Act (PDCA)
• The Audit Schedule and Programme
• Management Systems knowledge base

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IMS Maintenance Checklist

The I-C IMS Maintenance Checklist lists the activities that keep the management system up to date and effective once it is in place, including after certification. Each activity has a suggested frequency, such as ongoing, monthly, annually or at management review, with columns for responsibility or notes and the date it was last done.

It follows the folder structure in IMS1 Appendix ii - IMS Folder Filing System, and is kept in the IMS Setup folder, which stays in place after setup as the IMS Lead's setup and maintenance folder.

What's Included in this Checklist

Activities are grouped by IMS folder, in order:

• 1. IMS Documentation - IMS1 and its update log, IMS registers reviewed and re-dated, the scope and responsibilities checked, significant changes recorded, legislation and ISO standard updates reviewed, compliance evaluated and external communications logged
• 2. Forms, Policies and Procedures - policies reviewed and re-approved by top management, and previous versions of forms and procedures archived
• 3. Management Review and Objectives - management review at least annually, objectives reviewed and set, and actions closed out
• 4. Issues, Actions and Improvements - significant problems, complaints and nonconformities dealt with, and improvement suggestions taken forward
• 5. Customer Feedback - feedback gathered and reviewed, and satisfaction trends reviewed at management review
• 6. Audits, Risk Assessments and Monitoring - internal audits as scheduled, findings closed out, risk assessments and risk registers reviewed, and surveillance and recertification audits arranged
• 7. Key Suppliers - the key suppliers list and renewal dates, appraisal of new key suppliers and supplier performance
• 8. Equipment and Premises - maintenance, inspections and calibration, premises checks, data backups and IT systems
• 9. Staff Competency and Training - the training matrix and renewals, inductions, staff annual reviews and leavers
• 10. Standards, Guidance, Certificates and Legislation - new editions of ISO standards, legislation updates and company certificates filed
• 11. Environmental Records - environmental performance, emergency response tests and waste records, where ISO 14001 is covered
• 12. Health and Safety Records - accidents, incidents and near misses, emergency response tests and other health and safety records, where ISO 45001 is covered

Built for Keeping the IMS Running

• Gives the IMS Lead one place to see what is due and when, from ongoing tasks to annual reviews
• Ties many reviews to management review, so registers, objectives and customer satisfaction trends are looked at together
• Covers the period after certification, including surveillance and recertification audits
• Folders 11 and 12 can be deleted where ISO 14001 or ISO 45001 is not covered

Who Needs an IMS Maintenance Checklist?

The checklist is for the IMS Lead, or whoever looks after the management system day to day, once the IMS is set up and running. It suits small and medium-sized businesses where maintaining the system is one part of someone's job, giving them a simple routine to follow between audits.

Using the Checklist

Add the person responsible for each activity, then record the date each time it is done. Looking over the checklist at each management review shows anything that is falling behind, and the When column can be changed to suit how the organisation works.

Pairs with Forms and Other IMS Checklists

The activities refer to documents such as F-Q3 Management Review, F-Q23 Change Review Form, F-Q4 Staff Induction Record, F-Q6 Staff Annual Review and F-Q20 Staff Leaving Checklist. Use I-C-IMS Implementation Checklists to get the system in place first, and I-C-IMS Evidence Folders Checklist to check the evidence folders before an audit.