This checklist audits IMS1 Section 2, from policies and objectives to responsibilities, management review and the risks and opportunities registers.
Prepared using the F-Q2A Audit Checklist form template.
The file is supplied in fully editable MS Word format and can be easily customised, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:
- Checklist number and title
- Information-classification
- Version
- Page number / total pages
alphaZ documents - beautifully designed, tried and tested audit checklists. No junk, jargon or unnecessary questions. Simple and usable audit checklists
developed over 25 years through practical use in the real world.
Further guidance on leadership, planning and internal auditing:
Download this audit checklist template with your company name and logo already added!
Document Preparation available with all document toolkits.
To get access to this file please click on Add to Cart to purchase for immediate download. If you have an alphaZ Subscription just click on Download Files to view all the files available to download. This checklist is also included in the ISO 9001, ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them, so the toolkit route gives you this file plus everything else you need in one download.
If you'd like hands-on help completing your internal audits or training your internal auditors, our remote support services provide direct expert input from our team, by the day, by project, or on an ongoing basis.
IMS1 Section 2 Audit Checklist Template - Leadership, Commitment and Planning
An audit checklist for Section 2 of IMS1, covering company policies and objectives, responsibilities, the organisational chart, management review, and risks and opportunities. Each question is referenced to its IMS1 section. It is set out on the F-Q2A Audit Checklist format, with the scope, criteria, site, participants, auditor and date recorded at the top, and each question alongside the auditee and the evidence viewed, response and findings.
Areas Covered
- 2.1 Company policies and objectives - approval and display of the policies listed, public policies shared with interested parties, awareness recorded on training records or F-Q24 Worker Read and Understood, and objectives on the management review form or F-IMS40
- 2.2 Responsibilities - leadership and commitment, quality culture and ethical behaviour, customer focus, the IMS Lead and Data Protection Lead, and the responsibility fields in each IMS1 section
- 2.3 Organisational chart - key roles, reporting lines and deputies, consistent with the names in 2.2
- 2.4 Management review - frequency, F-Q3 Management Review as the record, the items covered, separate evaluation of actions on risks and on opportunities, objectives, outputs and communication
- 2.5 Risks and opportunities - the key risks and opportunities registers, risk ratings and controls, F-IMS21 Business Continuity Register, opportunity priorities, and review of the registers
Carrying Out the Audit
This audit is carried out with top management and the IMS Lead. The completed F-Q3 is the main source of evidence, so check it against the items on the form, and follow one risk and one opportunity from the registers through to the action taken.
Planning the Audit
Have IMS1 Section 2, the policies, the organisational chart, the last completed F-Q3, and the risks, opportunities and business continuity registers to hand.
Included in the ISO Toolkits
This checklist is part of the ISO 9001 Toolkit and is also included in the ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them.
Related Documents
Documents that work alongside this checklist:
Part of the IMS1 Audit Checklists
The IMS1 audit checklists follow the sections of the alphaZ IMS1 manual. The IMS1 ISO 9001 Checklist covers Sections 1 to 5 in one audit, and the checklists for Section 1, Section 2, Section 3, Section 4 and Section 5 let the audit be spread across the year using the ER11 Audit Schedule. The results can be written up using the F-Q31 Audit Report.
Not Using IMS1?
For a management system that is not built on IMS1, the Leadership, Commitment and Planning Management System Audit Checklist covers the same ground without the IMS1 references.
Using the Findings
Gaps in policies, objectives, management review or the registers are raised as actions and followed up before the next management review.
Would you rather we did it for you?
Our Internal Audit Training and Support service works through your internal audits with you while training your own people as internal auditors, so the audits are completed and the skills stay in the business.
Internal Audit Training and Support