This checklist audits an IMS1 management system for ISO 9001 and ISO 14001 in one visit, with environmental questions added to the full system audit.

Effective Audit Checklists

Prepared using the F-Q2 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 Reading

Further guidance on integrated management systems and internal auditing:

• Integrated Management Systems
• ISO 14001 Environmental Management Systems
• Internal Auditing knowledge base

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IMS1 ISO 9001 and 14001 Audit Checklist Template

A full audit checklist for a management system built on the alphaZ IMS1 Integrated Management System Manual covering ISO 9001 and ISO 14001, with a question for each area of the system followed by sections for environmental management. Each question is referenced to its IMS1 section. It is set out on the F-Q2 Audit Checklist format, with the scope, criteria, auditor and date recorded at the top, and each question alongside the auditee and the evidence viewed, response and findings.

Areas Covered

• IMS1 Section 1 - how the system is managed and communicated, scope and interested parties, risks and climate change, business continuity, document control, records and personal data, backups and legal requirements
• IMS1 Section 2 - policies, responsibilities, senior management commitment, management review and objectives
• IMS1 Section 3 - competence and training records, inductions and appraisals, premises, vehicles and equipment, and communications
• IMS1 Section 4 - enquiries and quotes, purchasing and supplier vetting, operations records, change and design
• IMS1 Section 5 - customer feedback, nonconforming work and complaints, and internal audits
• Section 6 Environmental management - environmental awareness and training, aspects and impacts, emergency preparedness, waste, and the storage of oils and chemicals

Carrying Out the Audit

Each question covers a whole area, so the full audit can be done in a single visit, for example before a certification audit. Several questions ask to see records, such as paperwork for completed jobs or projects, so allow time to look at the evidence as well as to ask. The environmental questions are best answered on a walk round the waste and storage areas.

Planning the Audit

Have the management system documentation, the main registers and the record of the last management review to hand, along with the environmental aspects register and waste records, and arrange time with top management and the people who run each area.

Related Documents

Documents that work alongside this checklist:

• F-IMS22 Interested Parties Register
• F-IMS60 Environmental Aspects and Impacts Register
• F-Q3 Management Review

Combined IMS1 Checklists

The combined checklists add environmental, health and safety, or information security management to the full management system audit, for organisations working to more than one standard. The range covers ISO 9001 and ISO 14001, ISO 9001 and ISO 45001, ISO 9001 and ISO 27001, ISO 9001, ISO 14001 and ISO 45001, ISO 9001, ISO 14001 and ISO 45001 and ISO 27001.

Not Using IMS1?

For a management system that is not built on IMS1, the ISO 9001 and ISO 14001 Management System Audit Checklist covers the same ground without the IMS1 references.

Using the Findings

Findings are raised as actions and followed up through corrective action, and the overall results give top management a clear picture of the system for the next management review.