This checklist works through the IMS folder one folder at a time, checking that the evidence an auditor will look for is in place and up to date before an audit.

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Further Reading

Further guidance on preparing for ISO certification audits:

• ISO Certification Process
• Records Management and Retention
• Integrated Management Systems
• Management Systems knowledge base

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IMS Evidence Folders Checklist

The I-C IMS Evidence Folders Checklist is a Word checklist for checking, folder by folder, that the evidence an auditor will look for is in place and up to date before an audit. Each folder of the Integrated Management System (IMS) folder has its own set of checks, with columns for responsibility or notes and a Done tick, and a final part covers records kept elsewhere.

It follows the folder structure in IMS1 Appendix ii - IMS Folder Filing System, so it works alongside the IMS1 manual and its registers. The IMS folder is not used for confidential or personal data or day-to-day operational records, which is why records kept elsewhere are checked at the end.

What's Included in this Checklist

The checks follow the IMS folder filing system, in order:

• 1. IMS Documentation - IMS1 issued with edit rights restricted, the IMS registers such as the document, business continuity, interested parties and personal data registers completed and dated, IMS1 procedures approved and filed, and any paper copy
• 2. Forms, Policies and Procedures - forms numbered, issue controlled and information classified, policies approved and shared, procedures filed, and drafts and previous versions held separately
• 3. Management Review and Objectives - the completed management review filed, current objectives documented and communicated, and the results shared with workers
• 4. Issues, Actions and Improvements - the issues and actions register up to date, completed problem forms filed and improvement requests taken forward
• 5. Customer Feedback - feedback filed and reviewed, and analysed where a feedback analysis register is used
• 6. Audits, Risk Assessments and Monitoring - the audit schedule, completed internal audits, certification and customer audit reports, risk registers, risk assessments, monitoring records and focus committee minutes
• 7. Key Suppliers - the key suppliers list with renewal dates, supplier appraisals and documents, and any other supplier registers used
• 8. Equipment and Premises - equipment registers, maintenance, calibration and inspection records, and premises checks
• 9. Staff Competency and Training - the training matrix, inductions, training records, staff annual reviews, certificates and licences
• 10. Standards, Guidance, Certificates and Legislation - the ISO standards and correlation document, the legal register and legislation updates, company certificates and staff handbooks
• 11. Environmental Records - environmental monitoring and performance, waste records and environmental emergency response tests, where ISO 14001 is covered
• 12. Health and Safety Records - accidents, incidents and near misses, fire drills and emergency response tests, and other health and safety records, where ISO 45001 is covered
• Records Kept Elsewhere - sales and job records, purchasing records, inspection and test records, training attendance records and records from external providers

Who Needs an IMS Evidence Folders Checklist?

The checklist is for the IMS Lead, or whoever looks after the IMS folder, in the run up to a certification or customer audit. It suits small and medium-sized businesses that keep their management system evidence in a shared IMS folder and want a quick, practical check that it is complete before the auditor arrives.

Included in the ISO 9001, ISO 14001, ISO 45001, ISO 27001, ISO 22301 and ISO 37001 Toolkits

This checklist is part of the ISO 9001, ISO 14001, ISO 45001, ISO 27001, ISO 22301 and ISO 37001 toolkits, including the integrated toolkits that combine them.

Using the Checklist

Work through the folders in order before an audit, noting who is responsible for anything still to do and ticking each check once the evidence is in place. Delete folder 11 or 12 if ISO 14001 or ISO 45001 is not covered, and add the name of the person who prepared it and the date at the top.

Pairs with the Other IMS Checklists

The evidence checked here is put in place using I-C-IMS Implementation Checklists and kept current with I-C-IMS Maintenance Checklist. Registers and records it checks include F-IMS22 Interested Parties Register, F-IMS23 Opportunities and Risks Register, ER11 Audit Schedule and the completed management review on F-Q3 Management Review, and Introduction to ISO Audits and Certification explains the part the evidence folder plays at a certification audit.