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IMS ISO Auditing Tool

The ISO Integrated Management System Auditing Tool is a comprehensive template designed for auditing compliance with ISO 45001:2018, 14001:2015, and 9001:2015 standards. Key features include an integrated audit checklist, audit summary, action plans, and compliance dashboards. The tool simplifies the auditing and reporting process for organizations adhering to ISO standards.

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0% found this document useful (0 votes)

286 views150 pages

IMS ISO Auditing Tool

Uploaded by

eng.ad.sallam

We take content rights seriously. If you suspect this is your content, claim it here.

Available Formats

Download as XLSX, PDF, TXT or read online on Scribd

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ISO INTEGRATED MANAGEMENT SYSTEM AUDITING TOOL

ISO Integrated Management System Auditing Tool is a turnkey

template for conducting audit on Integrated Management System
in accordance with ISO 45001:2018, 14001:2015 and 9001:2015
standards.

⚙️Features include;

ISO Integrated Audit Checklist;

Audit Summary;
NC, CAPA & Action Plan;
Dashboard;
ISO IMS Compliance;
Compliance, NCs & OFIs;
Audit Findings;
Sub-Clauses Compliance

The integrated management system auditing and reporting in

accordance with ISO standards just got easier.

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DITING TOOL

rnkey
t System CLICK HERE TO BEGIN
01:2015

ng in

Password to relevant sheets and workbook: sheqxelisoims

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# Table of Content
1 Approved List Click Here

2 Audit Scoring Criteria Click Here

3 ISO Integrated Audit Checklist Click Here

4 Audit Summary Click Here

5 NC, CAPA & Action Plan Click Here

6 Dashboard Click Here

7 ISO IMS Compliance Status Click Here

8 Compliance, NCs & OFIs Click Here

9 Audit Findings Click Here

10 Sub-Clauses Compliance Status Click Here

11 Action Open vs Closed Click Here

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APPROVED LIST
# Root Cause
Lack of Scope for QEHS Management System
Lack of Organizational Knowledge
Lack of Organizational Knowledge
Lack of Leadership and Commitment
Lack of Identification and Traceability
Lack of Documented Information
Lack of Customer Focus
Lack of Control of External Properties
Lack of Control of Design and Development Changes
Lack of Continual Improvement of QEHS System
Inadequately Determined Product and Services Requirements
Inadequate Support
Inadequate Review of Product and Services Requirements
Inadequate Quality Planning and Control
Inadequate Planning
Inadequate Organizational Context
Inadequate Operational Planning and Control
Inadequate Operational Planning and Control
Inadequate Monitoring and Measurement Resources
Inadequate Monitoring and Measurement
Inadequate Information with Service Providers
Inadequate External Control
Inadequate Evaluation
Inadequate Environmental Planning and Control
Inadequate Emergency Preparedness and Response
Inadequate Documented Information
Inadequate Design and Development Review
Inadequate Design and Development Planning
Inadequate Design and Development Output
Inadequate Design and Development Input
Inadequate Design and Development Control
Inadequate Control of Production and Service Provision
Inadequate Control of Nonconforming Products and Services
Inadequate Control of External Providers
Inadequate Consultation and Particpation
Inadequate Communication with External Providers

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Action Priority Action Status
High Open
Medium Closed
Low

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Audit Scoring Crit
Finding Definition/Impact
Compliant means adherence with the requirements of the standard
Complian
and the H&SMS. The process is implemented and documented and
t
records exist to verify this.
A low risk issue that offers an opportunity to improve current
practice. Processes may cumbersome or overly complex but meet
OFI
their targets and objectives. Unresolved OFIs may degrade over time
to become non-compliant.
A medium risk, minor non-conformance resulting in deviation from
Minor NC process practice not likely to result in the failure of the management
system or result in an incident
A high risk, major non-conformance which directly impacts on
Major NC effectiveness of the management system and likely to result in an
incident.

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Audit Scoring Criteria
Score Action/Mitigation

100% Continue to monitor trends/indicators.

Not Review and implement actions to improve the process(s). Monitor

Scored trends/indicators to determine if improvement was achieved.

Investigate root cause(s) and implement corrective action by next

50%
reporting period or next scheduled audit.

Implement immediate containment action, investigate root cause(s)

0%
and apply corrective action. Re-audit in 4 weeks to verify correction.

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause
Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
No.

4 4. Context Context of the Organization

4.1 4. Context Understanding the organization and its context 0 2 0 0
Defining internal and external issues relevant
Has your organization determined external and internal issues relevant to its purpose to organization's purpose and the strategic
There is no evidence on SWOT and PESTEL
4.1q1 4. Context Q E HS and its strategic direction that affect its ability to achieve the intended result(s) of its direction and clarification of the strategic aims x
Analysis
IMS? of the organization and determin any issues
couls affect these aims being acgieved
Does your organization monitor and review information about these external and internal Monitoring and reviewing information about There is no evidence on SWOT and PESTEL
4.1q2 4. Context Q E HS x
issues? these external and internal issues Analysis Registers
4.2 4. Context Understanding the needs and expectation of workers and other interested parties 0 4 0 0
Completeing and documenting stakeholder
Has your organization determined the interested parties and workers that are relevant to
4.2q3a 4. Context Q E HS analysis to determine key stakeholders whom x Existing but not approved
the IMS?
have an impact on therequirements of the IMS

Has your organization determined the needs and expectations of these interested parties Considering stakeholders’ expectations for
4.2q3b 4. Context Q E HS x Existing but not approved
and workers that are relevant to the IMS? incorporation into the IMS

Determining which of these needs and

Has your organization determined which of these needs and expectations could become
4.2q3c 4. Context Q E HS expectations could become legal requirement x Existing but not approved
legal requirement and other requirement?
and other requirement
Monitor and reviewing information about
How do you monitor and review information about these interested parties and their
4.2q4 4. Context Q E HS these interested parties and their relevant x Existing but not approved
relevant needs and expectations?
needs and expectations
4.3 4. Context Determining the scope of the management system 0 10 0 0
Has the organization determined the boundaries and applicability of the IMS to establish Determining the boundaries and applicability
4.3q5 4. Context Q E HS x
its scope? of the IMS to establish its scope
When determining this scope, has your organization considered the external and internal Considering the external and internal issues in
4.3q6a 4. Context Q E HS x
issues referred to in 4.1? the scope statement
When determining this scope, has your organization considered the requirements of Considering the requirements of relevant
4.3q6b 4. Context Q E HS x
relevant interested parties referred to in 4.2? interested parties in the scope statement
When determining this scope, has the organization taken into account all relevant Takening into account all relevant products,
4.3q6c 4. Context Q E HS products, services and work-related activities, functions and physical boundaries to the services and work-related activities, functions x
IMS? and physical boundaries to the IMS
When determining this scope, has your organization considered its activities, products,
services and work-related activities and related product lifecycles, such as:

1. Raw material acquisition; considering activities, services and work-

4.3q7 4. Context Q E HS 2. Manufacture; related activities and related product x
3. Packaging/Transport/Delivery; lifecycles
4. Use; IMS Scope Statement is idntfied in IMS Manua,
5. End of life treatment; but not approved
6. Final disposal.
considering activities, and services over which
has your organization considered its activities, products and services over which it has
4.3q8 4. Context Q it has the authority and to exercise control x
the authority and to exercise control and influence?
and influence
Stating all the requirements of ISO 9001:2015,
Has your organization applied all the requirements of ISO 9001:2015, ISO 14001:2015 ISO 14001:2015 and ISO 45001:2018 if they
4.3q9 4. Context Q E HS x
and ISO 45001:2018 if they are applicable within the determined scope of the IMS? are applicable within the determined scope of
the IMS the types of products and services
stating
Does the scope state the types of products and services covered, and provide covered, and provide justification for any
4.3q10 4. Context Q justification for any requirement of ISO 9001:2015 that your organization determines is requirement of ISO 9001:2015 that your x
not applicable to the scope of its IMS? organization determines is not applicable to
the scope of its IMS
considering and documenting ability and
When determining scope, has your organization considered and documented its ability
4.3q11 4. Context E HS authority to control and influence factors x
and authority to control and influence factors relating to external and internal issues?
relating to external and internal issues
Is the scope of your organization’s IMS available and maintained as documented
4.3q12 4. Context Q E HS Scope Statement x
information and available to interested parties and workers? (See 7.5.1a)
4.4 4. Context Integrated Management System 12 1 0 0

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause
Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
No.

4 4. Context Context of the Organization

establishing, implementing, maintaining and
Has your organization established, implemented, maintained and continually improved continually improving the processes needed
4.4q13 4. Context Q E HS its IMS, including the processes needed and their interactions, in accordance with the and their interactions, in accordance with the x Process Maps and interactions are not approved
requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018? requirements of ISO 9001:2015, ISO
14001:2015 and ISO 45001:2018
Has your organization considered the knowledge and information obtained by 4.1 and Obtaining information by 4.1 and 4.2 when
4.4q14 4. Context Q E HS x Process Maps and interactions are not approved
4.2 when implementing and operating it IMS? implementing and operating it IMS
Determining the process required for the IMS,
Has your organization determined the process required for the IMS, including their
including their interactions, in accordance with
4.4q15 4. Context Q E HS interactions, in accordance with requirements and their application throughout the x Process Maps & Intercations are not approved
requirements and their application throughout
organization?
the organization
Has your organization determined the inputs required and the outputs expected from Determining the inputs required and the Process Approach (ex. SIPOC Model) is not
4.4q16 4. Context Q x
these processes? outputs expected from these processes existing
Determining the sequence and interaction of
4.4q17 4. Context Q Has your organization determined the sequence and interaction of these processes? x Process Maps & Intercations are not approved
these processes
Determining and appling the criteria and
Has your organization determined and applied the criteria and methods (including methods (including monitoring, Processes are not approved, there are no criteria
4.4q18 4. Context Q monitoring, measurements and related performance indicators) needed to ensure the measurements and related performance x for the processes
effective operation and control of these processes? indicators) needed to ensure the effective Objectives of Each Process are not determined
operation and control of these processes
Resources Allocation:-
*Human Resources are defined in staff
Has your organization determined the resources needed for these processes and ensure Determining the resources needed for these
4.4q19 4. Context Q x management plan
their availability? processes and ensure their availability
*Physical Resources are determined in the asset
management plan
There is no evidence on assining responsibilities
Assigning responsibilities and authorities for
4.4q20 4. Context Q Has your organization assigned responsibilities and authorities for these processes? x and authorities for these processes. RACI Matrix
these processes
would be a best practice for this requirement
Addressing the risks and opportunities as
Has your organization addressed the risks and opportunities as determined in
4.4q21 4. Context Q determined in accordance with the x Processes Risks and Opportunities Analysis
accordance with the requirements of 6.1?
requirements *There is no evidence on evaluting processes
Evaluating these processes and implementing
Has your organization evaluated these processes and implement any changes needed to *Internal Audit is on going
4.4q22 4. Context Q any changes needed to ensure that these x
ensure that these processes achieve their intended results? *There is no set objectives and targets for
processes achieve their intended results
processes
There is no evidence on processes improvement
4.4q23 4. Context Q Does your organization improve the processes and the IMS? Improving the processes and the IMS x
pan
To the extent necessary, does your organization maintain documented information to
4.4q24 4. Context Q Procedures for Mapped Processes x
support the operation of its processes?
IMS Documents (Ongoing Process)
To the extent necessary, does your organization retain documented information to have
4.4q25 4. Context Q Records on Mapped Processes x
confidence that the processes are being carried out as planned?
5 5. Leadership Leadership, Commitment and Worker Participation
5.1 5. Leadership Leadership and Commitment
5.1.1 5. Leadership General 3 11 0 0
Strategic action plan is ongoing
Does Top Management demonstrated leadership and commitment to the IMS by taking Taking accountability for the effectiveness of There is no evidence on Management Review
5.1.1q1a 5. Leadership Q E HS x
accountability for the effectiveness of your organization’s IMS? your organization’s IMS No Dashborads available
No MoM for the required meetings
Ensuring that QHSE policies and objectives are
Does Top Management demonstrated leadership and commitment to the IMS by *Quality policy is unapproved
established and documented, and are
5.1.1q1b 5. Leadership Q E HS ensuring that QHSE policies and objectives are established and documented, and are x *HSE plocy is approved
compatible your organization’s goals (See 6.2)
compatible your organization’s goals (See 6.2) and its context (See 4.0)? *QHSE Objectives are not defined
and its context (See 4.0
Does Top Management demonstrated leadership and commitment to the IMS by ensuring that QEHS requirements are Processes Mapping and Interactions are not
5.1.1q1c 5. Leadership Q E HS x
ensuring that QEHS requirements are integrated into your organization’s processes? integrated into your organization’s processes approved
Processes Mapping (SIPOC) and SWOT Analysis
for each Key Function (Department) are not
Does Top management demonstrate leadership and commitment with respect to the IMS Promoting the use of the process approach
5.1.1q1d 5. Leadership Q x approved
by promoting the use of the process approach and risk-based thinking? and risk-based thinking
Departmental risk,Corporate risk,hazard log,risk
register

Resources Allocation:-
*Human Resources are defined in staff
Has Top Management demonstrated leadership and commitment to the IMS by ensuring ensuring that your organization has the
5.1.1q1e 5. Leadership Q E HS x management plan and Safety critical staff
that your organization has the required resources to implement it? required resources to implement it
*Physical Resources are determined in the asset
management plan

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause
Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
No.

4 4. Context Context of the Organization

1-Training and awarness sessions are being
communicating the importance of effective
Does top management communicate the importance of effective quality, environmental conducting but there is no plan or schadule as an
quality, environmental and health and safety
5.1.1q1f 5. Leadership Q E HS and health and safety management and of conforming to the QEHS management x evidence
management and of conforming to the QEHS
requirements? 2-Safety bulletins
management requirements
3-Safety meeting (monthly)
Management Reviews are not implemented
ensuring that the IMS achieves its intended
5.1.1q1g 5. Leadership Q E HS Does Top management ensure that the IMS achieves its intended results? x Monthly Data reviews are recorded in monthly
results
reports
1-Training and awarness sessions are being
Does Top management demonstrate leadership and commitment with respect to the IMS
engaging, directing and supporting persons to conducting but there is no plan or schadule as an
5.1.1q1h 5. Leadership Q E HS by engaging, directing and supporting persons to contribute to the effectiveness of the x
contribute to the effectiveness of the IMS evidence
IMS?
Improvement Plan and Programs (eg. Lean Six
Does Top management demonstrate leadership and commitment with respect to the IMS Sigma, Kizen, 5S,….)
5.1.1q1i 5. Leadership Q E HS promoting improvement x
by promoting improvement? 5S project is being implemented but other
improvement rrequirements are not fulfilled
*Monthly meetings of progress review are being
Does Top management demonstrate leadership and commitment with respect to the IMS supporting other relevant management roles
conducting
5.1.1q1j 5. Leadership Q E HS by supporting other relevant management roles to demonstrate their leadership as it to demonstrate their leadership as it applies x
*HSE Committee Meetinds are not conducted
applies to their areas of responsibility? to their areas of responsibility
*Management Review Meetings are not being run

Does top management develop, lead, and promote a culture in the organization that promoting a culture in the organization that There is no evidence on Communication
5.1.1q1k 5. Leadership HS x
supports the intended outcomes of the IMS? supports the intended outcomes of the IMS Participation and Consultation Process

* Incident Investigation and Reporting Procedure

protecting workers from reprisals when
Does top management protect workers from reprisals when reporting incidents, hazards, is unapproved
5.1.1q1l 5. Leadership HS reporting incidents, hazards, risks and x
risks and opportunities? - Hazard Log Review is approved
opportunities
- Risk Register is unapproved

ensuring that the organization establishes and * There is no evidence on Communication

Does top management ensure that the organization establishes and implements a
5.1.1q1m 5. Leadership HS implements a process(es) for consultation and x Participation and Consultation Process
process(es) for consultation and participation of workers (see 5.4)?
participation of workers * Safety Committee is not implemented
* RQHSE Organization Chart is complete
Does top management support the establishment and functioning of health and safety establishment and functioning of health and there is no evidence on HSE Committee meetings
5.1.1q1nn 5. Leadership HS x
committees, [see 5.4 e) 1]? safety committees and actions as HSE Committee is the best
practice to fulfill this requirement
5.1.2 5. Leadership Customer Focus 3 0 0 0

There is no evidence on listing customer,

Does Top management demonstrate leadership and commitment with respect to ensuring that customer and applicable
statutory and regulatory requirements to be
5.1.2q2 5. Leadership Q customer focus by ensuring that customer and applicable statutory and regulatory statutory and regulatory requirements are x
reviewed eg. Legal and other requirements
requirements are determined, understood and consistently met? determined, understood and consistently met
register- customer feedback)

* Communication Plan is not existing
Does your organization take into account its compliance obligations and legal taking into account its compliance obligations * Safety Committee is not implemented
7.4.1q4c3 7. Support E HS x
requirements when establishing its communication process? and legal requirements * Communication, Consultation and Participation
Procedure is not existing
ensuring that when environmental or health * Communication Plan is not existing
Does your organization ensure that when environmental or health and safety information
and safety information that is communicated, * Safety Committee is not implemented
7.4.1q4d 7. Support E HS that is communicated, it is consistent with the information generated by the IMS is x
it is consistent with the information generated * Communication, Consultation and Participation
reliable?
by the IMS is reliable Procedure is not existing
responding to relevant communications
7.4.1q5 7. Support E HS Does your organization respond to relevant communications regarding its IMS? x correspondence Log is existing
regarding its IMS
Does your organization retaining documented information as evidence of its
7.4.1q6 7. Support E HS Communication Responds Records x correspondence Log is existing
communications as appropriate?
taking into account diversity aspects (e.g.
Does your organization take into account diversity aspects (e.g. gender, language,
7.4.1q7 7. Support HS gender, language, culture, literacy, disability) x correspondence Log is existing
culture, literacy, disability) when considering its communication needs?
when considering its communication needs
ensuring that the views of external interested * Safety Committee is not implemented
Dos your organization ensure that the views of external interested parties are considered
7.4.1q8 7. Support HS parties are considered in establishing its x * Communication, Consultation and Participation
in establishing its communication process(es)?
communication process(es) Procedure is not existing
7.4.2 7. Support Communcation - Internal communication 2 0 0 0
internally communicating information relevant
Does your organization internally communicate information relevant to the IMS including
7.4.1q9 7. Support E HS to the IMS including changes to the IMS as x correspondence Log is existing
changes to the IMS as appropriate?
appropriate
ensuring that is communication process
Does your organization ensure that is communication process enables persons doing enables persons doing work under your
7.4.1q10 7. Support E HS x Communication Plan is not existing
work under your organization’s control to contribute to continual improvement? organization’s control to contribute to
continual improvement
7.4.3 7. Support Communcation - External communication 1 0 0 0
externally communicate information relevant
Does your organization externally communicate information relevant to the IMS, via the to the IMS, via the communications process
7.4.3q11 7. Support E HS communications process and as required by the compliance obligations, legal and as required by the compliance x correspondence Log is existing
requirements and other requirements? obligations, legal requirements and other
requirements
7.5 7. Support Documented Information
7.5.1 7. Support Documented Information - General 1 0 0 0
Does your organization’s IMS include documented information determined by your
7.5.1q13c 7. Support Q E HS The Processes x The Processes are ongoing
organization as being necessary for the effectiveness of the IMS?
7.5.2 7. Support Documented Information - Creating and Updating 3 0 0 0
When creating and updating documented information, does your organization ensure ensuring appropriate identification and
7.5.2q14a 7. Support Q E HS appropriate identification and description (e.g. a title, date, author, or reference description (e.g. a title, date, author, or x Document control Process fulfill this requirement
number)?
When creating and updating documented information, does your organization ensure reference
ensure number) format (e.g. language,
appropriate
7.5.2q14b 7. Support Q E HS appropriate format (e.g. language, software version, graphics) and media (e.g. paper, software version, graphics) and media (e.g. x Document control Process fulfill this requirement
electronic)? paper, electronic)
When creating and updating documented information, does your organization ensure ensuring appropriate review and approval for
7.5.2q14c 7. Support Q E HS x Document control Process fulfill this requirement
appropriate review and approval for suitability and adequacy? suitability and adequacy
7.5.3 7. Support Documented Information - Control 7 1 0 0
Is documented information (required by the QEHS and ISO 9001:2015, ISO 14001:2015
ensuring it is available and suitable for use,
7.5.3q15a 7. Support Q E HS and ISO 45001:2018) controlled to ensure it is available and suitable for use, where and x Document control Process fulfill this requirement
where and when it is needed
when it is needed?
Is documented information (required by the QEHS and ISO 9001:2015, ISO 14001:2015 ensuring it is adequately protected from loss
7.5.3q15b 7. Support Q E HS and ISO 45001:2018) controlled to ensure it is adequately protected from loss of of confidentiality, improper use, or loss of x Document control Process fulfill this requirement
confidentiality, improper use, or loss of integrity? integrity
For the control of documented information, does your organization address the addressing the distribution, access, retrieval
7.5.3.2q16 7. Support Q E HS x Document control Process fulfill this requirement
distribution, access, retrieval and use? and use
For the control of documented information, does your organization address storage and addressing storage and preservation,
7.5.3.2q17 7. Support Q E HS x Document control Process fulfill this requirement
preservation, including preservation of legibility? including preservation of legibility
For the control of documented information, does your organization address control of addressing control of changes (e.g. version
7.5.3.2q18 7. Support Q E HS x Document control Process fulfill this requirement
changes (e.g. version control)? control)
For the control of documented information, does your organization address retention and
7.5.3.2q19 7. Support Q E HS addressing retention and disposition x Document control Process fulfill this requirement
disposition?
How does your organization ensure documented information of external origin is ensuring documented information of external
7.5.3.2q20 7. Support Q E HS x Document control Process fulfill this requirement
identified and controlled? origin is identified and controlled

Is documented information retained as evidence of conformity protected from Archiving Hard Copies Sharepoint has access authority
7.5.3.2q21 7. Support Q E HS x
unintended alterations? Sharepoint access permissions and authorities There is no hard copies archiving system

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause
Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
No.

4 4. Context Context of the Organization

8 8. Operation Operation
8.1a 8. Operation Quality Planning & Control 7 3 0 0

Does your organization plan, implement and control the processes (see 4.4) needed to
meet the requirements for the provision of products and services, and to implement the Rulebook – Cairo Metro Line 3 fullfill the
8.1aq1 8. Operation Q Determining Service Requirements x
actions determined in Clause 6 by determining the requirements for the products and requirement
services? (Chapter one 'Compliance with regulations and
customer requirements' )
(Chapter two 'Duties and competence of
Does your organization plan, implement and control the processes (see 4.4) needed to operation and maintenance workers')
8.1aq2 8. Operation Q meet the requirements for the provision of products and services, and to implement the Establishing Criteria for Processes x Contracutal KPI's are not implemented
actions determined in Clause 6 by establishing criteria for the processes? Internal Company KPI's are ongoing
Does your organization plan, implement and control the processes (see 4.4) needed to
meet the requirements for the provision of products and services, and to implement the Establishing criteria for the acceptance of
8.1aq3 8. Operation Q x
actions determined in Clause 6 by establishing criteria for the acceptance of products services
and services? The resources needed as minimum staffing
Does your organization plan, implement and control the processes (see 4.4) needed to
requirements for each post and equipment are
meet the requirements for the provision of products and services, and to implement the determining the resources needed to achieve
8.1aq4 8. Operation Q x mentioned in:
actions determined in Clause 6 by determining the resources needed to achieve conformity to service requirements
Operations Management Plan, Rulebook, and
conformity to product and service requirements?
Asset Management Plan

PTW Current Procedure

Normal Mode Standard Operating Procedures for
Does your organization plan, implement and control the processes (see 4.4) needed to (Driver, CCP and Stations)
meet the requirements for the provision of products and services, and to implement the Implementing control of the processes in Degraded Mode Standard Operating Procedures
8.1aq5 8. Operation Q x
actions determined in Clause 6 by implementing control of the processes in accordance accordance with the criteria for (Driver, CCP and Stations)
with the criteria? Emergency Mode Standard Operating Procedures
for (Driver, CCP and Stations)
PTW Procedure

Does your organization plan, implement and control the processes (see 4.4) needed to
Operations Management Plan
meet the requirements for the provision of products and services, and to implement the
Operations Plan
8.1aq6 8. Operation Q actions determined in Clause 6 by determining, maintaining and retaining x
Procedure for Auditing operation Operations Management Plan is Approved
documented information to the extent necessary to have confidence that the processes
Audit Records Operation Audit Reports are Unapproved
have been carried out as planned?
Does your organization plan, implement and control the processes (see 4.4) needed to Operation Audit Plan and Reports are unapproved
meet the requirements for the provision of products and services, and to implement the Operating Manual Railway Safety Audit Reports are unapproved
8.1aq7 8. Operation Q actions determined in Clause 6 by determining, maintaining and retaining Audit plan RDMC Operation x
documented information to the extent necessary to demonstrate the conformity of Operation Audit Records
products and services to their requirements?
Suitability of Planning process outputs for
8.1aq8 8. Operation Q Are the outputs of the planning process suitable for your organization’s operations? x
organization’s operations
control of planned changes and review the
Does your organization control planned changes and review the consequences of Change Management Plan does not exist
8.1aq9 8. Operation Q consequences of unintended changes x
unintended changes, taking action to mitigate any adverse effects, as necessary? (Planned Changes are not managed)
Change implementation plan
* Contracts with External Providers
equest for proposal
* Contract Review (Shall be covered inside
8.1aq10 8. Operation Q Does your organization ensure that outsourced processes are controlled (see 8.4)? Ensure the control of outsourced processes x
Contracts)
* External Providers Evaluation Form and
Renewal Form are not approved
8.1b 8. Operation Environmental Planning & Control 4 8 0 0
Has the organization established, implemented, controlled and maintained the processes Environmental Management Plan
Environmental Aspects and Impacts have not
8.1bq11 8. Operation E needed to meet IMS requirements, and to implement the actions identified in Section Procedure for Identification and Evaluation of x
been neither identified nor assessed
6.1? Environmental Aspects and Risks

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause
Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
No.

4 4. Context Context of the Organization

Minor NC

Major NC
Clause
Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
No.

4 4. Context Context of the Organization

Emergency Response Plan
Does you organization maintain and retain documented information on the process(es) Emergency Response Plan
8.2aq24 8. Operation HS x There is only one Emergency Response Record
and on the plans for responding to potential emergency situations? Emergency Scenarios records
which is not enough
8.2b 8. Operation Requirements for Products and Services
8.2b.1 8. Operation Customer communication 5 0 0 0
Does communication with customers include providing information relating to products Providing customers with information relating Website, Social Media, RDMC Family Events, NAT
8.2b.1q5 8. Operation Q x
and services? to services Monthly Reports

RQHSE Monthly Reports are implemented
Does the extent of your organization's monitoring and measurement include progress including progress towards achievement of
9.1.1aq2a3 9. Evaluation HS x KPI's still ongoing
towards achievement of the organization’s OH&S objectives? the organization’s OH&S objectives
Dashboard still ongoing
RQHSE Monthly Reports are implemented
Does the extent of your organization's monitoring and measurement include the including the effectiveness of operational and
9.1.1aq2a4 9. Evaluation HS x KPI's still ongoing
effectiveness of operational and other controls? other controls
Dashboard still ongoing
methods for monitoring, measurement, RQHSE Monthly Reports are implemented
Does your organization determine the methods for monitoring, measurement, analysis
9.1.1q2b 9. Evaluation Q E HS analysis and evaluation needed to ensure x KPI's still ongoing
and evaluation needed to ensure valid results?
valid results Dashboard still ongoing
RQHSE Monthly Reports are implemented
9.1.1q2c 9. Evaluation Q E HS Does your organization determine when monitoring and measuring is performed ? when monitoring and measuring is performed x KPI's still ongoing
Dashboard still ongoing
Criteria against which evaluation of
Does your organization determine the criteria against which the organization evaluates environmental performance and appropriate RQHSE Monthly Reports are implemented
9.1.1q2d 9. Evaluation E HS its environmental performance and appropriate indicators and the criteria against which indicators and the criteria against which the x KPI's still ongoing
the organization will evaluate its OH&S performance? organization will evaluate its OH&S Dashboard still ongoing
performance
determining when the results from monitoring RQHSE Monthly Reports are implemented
Does your organization determine when the results from monitoring and measurement
9.1.1q2e 9. Evaluation Q E HS and measurement are analysed, evaluated x KPI's still ongoing
are analysed, evaluated and communicated?
and communicated Dashboard still ongoing
RQHSE Monthly Reports are implemented
evaluating the performance and the
9.1.1q3 9. Evaluation Q E HS Does your organization evaluate the performance and the effectiveness of the IMS? x KPI's still ongoing
effectiveness of the IMS
Dashboard still ongoing
RQHSE Monthly Reports are implemented
Does your organization ensure that calibrated or verified monitoring and measurement Maintenance and Calibration Records
9.1.1q4 9. Evaluation E HS x KPI's still ongoing
equipment is used and maintained as required? Plan for Preventive Maintenance of Equipment
Dashboard still ongoing
Communicating relevant environmental
Does your organization internally and externally communicate relevant environmental RQHSE Monthly Reports are implemented
performance information as required by its
9.1.1q5 9. Evaluation E performance information as required by its communication process and its compliance x KPI's still ongoing
communication process and its compliance
obligations? Dashboard still ongoing
obligations
Inspection Procedure
Does your organization maintain documented information as evidence of monitoring, RQHSE Monthly Reports are implemented
Calibration Procedure (Calibration of
9.1.1q6 9. Evaluation E HS measurement, analysis and evaluation of results, and results of calibration or verification x KPI's still ongoing
measuring equipment, Software validation,
of measuring equipment? Dashboard still ongoing
Measuring equipment storage)
9.1.2a 9. Evaluation Customer Satisfaction 2 0 0 0
Monitoring customers’ perceptions of the Mystery Shopper Audits are being conducting but
Does your organization monitor customers’ perceptions of the degree to which their
9.1.2aq7 9. Evaluation Q degree to which their needs and expectations x Customer Satisfaction Survey and Customer
needs and expectations have been fulfilled?
have been fulfilled Satisfaction Index are not existing as records
Does your organization determine the methods for obtaining, monitoring and reviewing methods for obtaining, monitoring and Mystery Shopper Audits and records analysis
9.1.2aq8 9. Evaluation Q x
this information? reviewing this information Customer Surveys analysis are not exisiting
9.1.2b 9. Evaluation Monitoring, Measurement, Analysis and Evaluation - Evaluation of Compliance 0 5 0 0
Has your organization established implemented and maintained processes to evaluate
There is no evidence on Evaluation of Compliance
9.1.2bq6 9. Evaluation E HS the fulfilment of its compliance obligations and to establish compliance with legal and Evaluation of Compliance Procedure x
Register
other requirements?
There is no evidence on Evaluation of Compliance
9.1.2bq7a 9. Evaluation E HS Has your organization determined the frequency that compliance is evaluated? frequency that compliance is evaluated x
Register
There is no evidence on Evaluation of Compliance
9.1.2bq7b 9. Evaluation E HS Does your organization evaluate compliance and take action where required? taking action where required x
Does your organization maintain knowledge and understanding of its compliance Register
There is no evidence on Evaluation of Compliance
9.1.2bq7c 9. Evaluation E HS Evaluation of Compliance Procedure x
status?
Does your organization retain documented information of the compliance evaluation Register
There is no evidence on Evaluation of Compliance
9.1.2bq7d 9. Evaluation HS Evaluation of Compliance Record x
results? Register
9.1.3 9. Evaluation Analysis & Evaluation 7 0 1 0
*There is no process of analyzing and evaluating
Analyzing and evaluating data and data and information arising from monitoring and
Does your organization analyse and evaluate appropriate data and information arising
9.1.3q9 9. Evaluation Q information arising from monitoring and x measurement
from monitoring and measurement.
measurement *Monthly Data Statistics Analysis is being run but
without a framework
Mystery Shopper Reports shows the extent od
Does your organization ensure that the results of analysis are used to evaluate evaluating conformity of products and service conformity
9.1.3q10a 9. Evaluation Q x
conformity of products and services? services Internal Audit Plan is ongoing but Car/Par Actions
Record are not existing
Does your organization ensure that the results of analysis are used to evaluate the evaluation of the degree of customer Customer Satisfaction Questionnaires are not
9.1.3q10b 9. Evaluation Q x
degree of customer satisfaction? satisfaction exisiting

Does your organization ensure that results of analysis are used to evaluate the evaluating the performance/effectiveness of Performance Evaluation Records are not existing
9.1.3q10c 9. Evaluation Q x
performance/effectiveness of the IMS? the IMS Internal Auit Plan and Reports are ongoing

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause
Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
No.

4 4. Context Context of the Organization

Does your organization ensure that the results of analysis are used to evaluate if evaluating if planning has been implemented
9.1.3q10d 9. Evaluation Q x Performance Evaluation Records are not existing
planning has been implemented effectively? effectively

Does your organization ensure that the results of analysis are used to evaluate the evaluating the effectiveness of actions taken There is no any evidence on ensure the
9.1.3q10e 9. Evaluation Q x
effectiveness of actions taken to address risks and opportunities? to address risks and opportunities effectiveness of implemented actions

Does your organization ensure that the results of analysis are used to evaluate the evaluating the performance of external There are no evidence on external providers
9.1.3q10f 9. Evaluation Q x
performance of external providers? providers evaluation
Does your organization ensure that the results of analysis are used to evaluate the need evaluate the need for improvements to the There are no evidence on improvement action
9.1.3q10g 9. Evaluation Q x
for improvements to the IMS? IMS plans
9.2 9. Evaluation Performance Evaluation - Internal Audit
9.2.1 9. Evaluation Performance Evaluation - Internal Audit - General 3 0 0 0
conducting internal audits at planned intervals
Does your organization conduct internal audits at planned intervals to provide
to provide information on whether the IMS
9.2.1q8 9. Evaluation Q E HS information on whether the IMS conforms to your organization’s own requirements for its x Internal audit plan is approved and is ongoing
conforms to your organization’s own
IMS?
requirements for its IMS
providing information on whether the IMS
Does your organization conduct internal audits at planned intervals to provide
conforms to the requirements of ISO
9.2.1q9a 9. Evaluation Q E HS information on whether the IMS conforms to the requirements of ISO 9001:2015, ISO x Internal audit plan is approved and is ongoing
9001:2015, ISO 14001:2015 and ISO
14001:2015 and ISO 45001:2018?
45001:2018
Does your organization conduct internal audits at planned intervals to provide providing information on whether the IMS is
9.2.1q9b 9. Evaluation Q E HS x Internal audit plan is approved and is ongoing
information on whether the IMS is effectively implemented and maintained? effectively implemented and maintained
9.2.2 9. Evaluation Performance Evaluation - Internal Audit Programme 6 0 0 0
Does your organization plan, establish, implement and maintain EHQMS audit
programme(s) including the frequency, methods, responsibilities, planning requirements
9.2.2q10a 9. Evaluation Q E HS Internal Audit Procedure x Internal Audit Procedure is unapproved
and reporting, which take into consideration the importance of the processes concerned,
changes affecting your organization, and the results of previous audits?
Each conducted audit scope and criteria are
defining the audit criteria and scope for each
9.2.2q10b 9. Evaluation Q E HS Does your organization define the audit criteria and scope for each audit? x mentioned in audits reports, checklists and
audit
select auditors and conduct audits to ensure reports
Does your organization select auditors and conduct audits to ensure objectivity and the
9.2.2q10c 9. Evaluation Q E HS objectivity and the impartiality of the audit x Internal Audit Procedure is unapproved
impartiality of the audit process?
process
Does your organization ensure that the results of the audits are reported to relevant ensuring that the results of the audits are Internal Audit reports are not approved to be sent
9.2.2q10d 9. Evaluation Q E HS x
management? reported to relevant management to relevant management
Corrective actions are written in the audit reports
Does your organization take appropriate correction and corrective actions without undue taking appropriate correction and corrective
9.2.2q10e 9. Evaluation Q E HS x but they are not approved to be reviewing actions
delay? actions without undue delay
estimated and actual dates
Does your organization retain documented information as evidence of the
9.2.2q10f 9. Evaluation Q E HS Internal Audit Records x Internal audit reports and checklists
implementation of the audit programme and the audit results? (See 7.5.1b)
9.3 9. Evaluation Performance Evaluation - Management Review 0 16 0 0
Reviewing IMS, at planned intervals, to ensure
Does Top management review your organization’s IMS, at planned intervals, to ensure its
its continuing suitability, adequacy, Mangement Review Meetings have not been
9.3q11 9. Evaluation Q E HS continuing suitability, adequacy, effectiveness and alignment with the strategic direction x
effectiveness and alignment with the strategic conducted yet
of your organization?
direction of your organization
Is the management review planned and carried out taking into consideration the status Considering the status of actions from Mangement Review Meetings Agenda and actions
9.3q12a 9. Evaluation Q E HS x
of actions from previous management reviews? previous management reviews follow-up is not existing
Is the management review planned and carried out taking into consideration changes in
external and internal issues that are relevant to the IMS? Including:

1. Changes in external and internal issues; there is no evidence on top management review
9.3q12b 9. Evaluation Q E HS Top management review MOM and Reports x
2. Changes in the needs and expectation of interested parties, compliance with MOM and Reports
obligations and legal requirements;
3. Changes in its significant environmental aspects;
4. The effectiveness of actions taken to address risks and opportunities.

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause
Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
No.

4 4. Context Context of the Organization

Is the management review planned and carried out taking into consideration information
on the performance and effectiveness of the IMS, including trends in:

1. Customer satisfaction;
2. Feedback from relevant interested parties;
3. Incidents, nonconformities, corrective actions and continual improvement;
4. Monitoring and measurement results; there is no evidence on top management review
9.3q12c 9. Evaluation Q E HS Top management review MOM and Reports x
5. Results of evaluation of compliance with legal and other requirements; MOM and Reports
6. Audit results;
7. Consultation and participation of workers;
8. Risks and opportunities;
9. Performance of external providers;
10. Process performance and conformity of products and services;
11. The extent to which QEHS objectives have been met.

Is the management review planned and carried out taking into consideration the there is no evidence on top management review
9.3q12d 9. Evaluation Q E HS considering the adequacy of resources x
adequacy of resources? MOM and Reports
Is the management review planned and carried out taking into consideration the considering the effectiveness of actions taken there is no evidence on top management review
9.3q12e 9. Evaluation Q E HS x
effectiveness of actions taken to address risks and opportunities (see 6.1)? to address risks and opportunities MOM and Reports
Is the management review planned and carried out taking into consideration there is no evidence on top management review
9.3q12f 9. Evaluation Q E HS considering opportunities for improvement x
opportunities for improvement? MOM and Reports
Do the outputs of the management review include decisions and actions related to
there is no evidence on top management review
9.3q12g 9. Evaluation Q E HS opportunities for improvement and the continuing suitability, adequacy and effectiveness Top management review MOM and Reports x
MOM and Reports
of the IMS in achieving its intended outcomes?
Do the outputs of the management review include decisions and actions related to any there is no evidence on top management review
9.3q13 9. Evaluation Q E HS Top management review MOM and Reports x
need for changes to the IMS? MOM and Reports
Do the outputs of the management review include decisions and actions related to there is no evidence on top management review
9.3q14 9. Evaluation Q E HS Top management review MOM and Reports x
resource needs? MOM and Reports
Do the outputs from the management review include decisions related to continual there is no evidence on top management review
9.3q15 9. Evaluation Q E HS Top management review MOM and Reports x
improvement opportunities? MOM and Reports
Do the outputs from the management review include decisions relating to the need for there is no evidence on top management review
9.3q16 9. Evaluation Q E HS Top management review MOM and Reports x
changes to the IMS, including resources? MOM and Reports
Do the outputs from the management review include the actions necessary when there is no evidence on top management review
9.3q17 9. Evaluation Q E HS Top management review MOM and Reports x
objectives are not achieved? MOM and Reports
Do the outputs from the management review include the opportunities to improve the there is no evidence on top management review
9.3q18 9. Evaluation Q E HS Top management review MOM and Reports x
integration of the IMS with other business processes as required? MOM and Reports
Do the outputs from the management review include the implications for the there is no evidence on top management review
9.3q19 9. Evaluation Q E HS Top management review MOM and Reports x
organization’s strategic direction? MOM and Reports
Does your organization retain documented information as evidence of the results of There is no evidence on Management Review
9.3q20 9. Evaluation Q E HS Management Review MOM/ Reports x
management reviews? (See 7.5.1b) Records
10 10. Improvement Improvement
10.1 10. Improvement Improvement - General 1 4 0 0
determining and selecting opportunities for
Does your organization determine and select opportunities for improvement and
improvement and implement any necessary There is no evidence on improvement action
10.1q1 10. Improvement Q E HS implement any necessary actions to meet customer requirements and enhance customer x
actions to meet customer requirements and plans or projects
satisfaction?
enhance customer satisfaction
determining and selecting opportunities for
Does your organization determine and select opportunities for improvement and improvement and implement any necessary There is no evidence on improvement action
10.1q2 10. Improvement E HS x
implement any necessary actions to achieve the intended outcomes of its IMS? actions to achieve the intended outcomes of plans or projects
its IMS
Does your organization determine and select opportunities for improvement and improving products and services to meet
There is no evidence on improvement action
10.1q3 10. Improvement Q E HS implement any necessary actions to improving products and services to meet requirements as well as to address future x
plans or projects
requirements as well as to address future needs and expectations? needs and expectations
*Internal audit plan is approved and is ongoing
Does your organization determine and select opportunities for improvement and implement any necessary actions to
*HSE inspection plan is not approved
10.1q4 10. Improvement Q E HS implement any necessary actions to correcting, preventing or reducing undesired correcting, preventing or reducing undesired x
*Mystery Shopper inspections are being
effects? effects
Does your organization determine and select opportunities for improvement and conducted
improving the performance and effectiveness There is no evidence on improvement action
10.1q5 10. Improvement Q E HS implement any necessary actions to improving the performance and effectiveness of the x
of the IMS plans or projects
IMS?
10.2 10. Improvement Improvement - Incident, Nonconformity and Corrective Action 0 14 0 0
process for corrective and preventive actions
When an incident or nonconformity occurs, including any arising from complaints, does
10.2q2 10. Improvement Q E HS Car/PAR Action Plans x drafted
your organization react to the non-conformity take action to control and correct it?
Treatment Plan drafted

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause
Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

OFI
No.

4 4. Context Context of the Organization

process for corrective and preventive actions
When an incident or nonconformity occurs, including any arising from complaints, does
10.2q3a1 10. Improvement Q E HS Car/PAR Action Plans x drafted
your organization react to the non-conformity deal with the consequences?
Treatment Plan drafted
When an incident or nonconformity occurs, including any arising from complaints, does
your organization evaluate, with the participation of workers (see 5.4) and the Incident investigation process (defining root process for corrective and preventive actions
10.2q3a1 10. Improvement Q E HS involvement of other relevant interested parties, the need for corrective action to causw analysis) x drafted
eliminate the root cause(s) of the incident or nonconformity, in order that it does not Car/PAR Actions Treatment Plan drafted
recur or occur elsewhere, by investigating the incident or reviewing the nonconformity?
When an incident or nonconformity occurs, including any arising from complaints, does evaluating, with the participation of workers
your organization evaluate, with the participation of workers (see 5.4) and the (see 5.4) and the involvement of other
There is no process for incident investigation and
10.2q3b1 10. Improvement Q E HS involvement of other relevant interested parties, the need for corrective action to relevant interested parties, the need for x
involving workers and interested parties in it
eliminate the root cause(s) of the incident or nonconformity, in order that it does not corrective action to eliminate the root
recur or occur elsewhere, by determining the cause(s) of the incident or nonconformity? cause(s) of the incident or nonconformity
When an incident or nonconformity occurs, including any arising from complaints, does
evaluating, with the participation of workers
your organization evaluate, with the participation of workers (see 5.4) and the
(see 5.4) and the involvement of other
involvement of other relevant interested parties, the need for corrective action to There is no process for incident investigation and
10.2q3b2 10. Improvement Q E HS relevant interested parties, the need for x
eliminate the root cause(s) of the incident or nonconformity, in order that it does not involving workers and interested parties in it
corrective action to eliminate the root
recur or occur elsewhere, by determining if similar incidents have occurred, if
cause(s) of the incident or nonconformity
nonconformities exist, or if they could potentially occur?
When an incident or nonconformity occurs, including any arising from complaints, does
implementing any needed and review existing
10.2q3b3 10. Improvement Q E HS your organization implement any needed and review existing assessments of OH&S risks x There is no risks review process
assessments of OH&S risks and other risks
and other risks, as appropriate (see 6.1)?
When non-conformities occur, including any arising from complaints, does your reviewing the effectiveness of any corrective There is no process for corrective and preventive
10.2q3c 10. Improvement Q E HS x
organization review the effectiveness of any corrective action taken? action taken actions to be addressed
When non-conformities occur, including any arising from complaints, does your updating risks and opportunities determined
organization update risks and opportunities determined during planning, if necessary, as during planning, if necessary, as well as There is no process for corrective and preventive
10.2q3d 10. Improvement Q E HS x
well as assessing OH&S risks that relate to new or changed hazards, prior to taking assessing OH&S risks that relate to new or actions to be addressed
action? changed hazards, prior to taking action
When non-conformities occur, including any arising from complaints, does your determine and implement any action needed,
organization determine and implement any action needed, including corrective action, in including corrective action, in accordance with There is no process for corrective and preventive
10.2q3e 10. Improvement HS x
accordance with the hierarchy of controls (see 8.1.2) and the management of change the hierarchy of controls (see 8.1.2) and the actions to be addressed
(see 8.1.3)? management of change
When non-conformities occur, including any arising from complaints, does your Applying changes resulted from Corrective There is no process for corrective and preventive
10.2q3f 10. Improvement Q E HS x
organization makes changes to the IMS as necessary? and preventive actions actions to be addressed
ensuring that corrective actions are
Does your organization ensure that corrective actions are appropriate to the effects of There is no process for corrective and preventive
10.2q3g 10. Improvement Q E HS appropriate to the effects of the incident or x
the incident or nonconformity encountered? actions to be addressed
nonconformity encountered
Does your organization retain documented information as evidence of the nature of the Incident investigation records including root There is no evidence on incident investigation
10.2q14 10. Improvement Q E HS x
incident or nonconformity and any subsequent actions taken? (See 7.5.1b) cause analysis records
Does your organization retain documented information as evidence of the nature of the
10.2q15 10. Improvement Q E HS CAR/PAR Actions Records x There is no evidence on CAR/PAR records
results of any corrective action? (See 7.5.1b)
communicating this documented information
There is no process for cmmunicating incident
Does your organization communicate this documented information to relevant workers, to relevant workers, and, where they exist,
10.2q16 10. Improvement Q E HS x investigation and involving workers and
and, where they exist, workers’ representatives, and other relevant interested parties? workers’ representatives, and other relevant
interested parties in it
interested parties
10.3 10. Improvement Continual Improvement 0 7 0 0
Does your organization continually improve the suitability, adequacy and effectiveness of improving the suitability, adequacy and there is no evidence on implementing
10.3q17 10. Improvement Q E HS x
the IMS? effectiveness of the IMS improvement for QHSE system
outputs from management review, to
Does your organization consider the results of analysis and evaluation, and the outputs
determine if there are needs or opportunities
10.3q18 10. Improvement Q E from management review, to determine if there are needs or opportunities that can be x There is no a management review report
that can be addressed as part of continual
addressed as part of continual improvement?
improvement
Does your organization continually improve the suitability, adequacy and effectiveness of There is no evidence on actions to enhance QHSE
10.3q19a 10. Improvement Q E HS enhancing QEHS performance x
the management system, by enhancing QEHS performance? performance
training and awarness sessions are being
Does your organization continually improve the suitability, adequacy and effectiveness of
10.3q19b 10. Improvement HS promoting a culture that supports an IMS x conducting but there is no plan or schadule as an
the management system, by promoting a culture that supports an IMS?
evidence
Does your organization continually improve the suitability, adequacy and effectiveness of promoting the participation of workers in
There is no evidence on communication and
10.3q19c 10. Improvement HS the management system, by promoting the participation of workers in implementing implementing actions for the continual x
workers participation process
actions for the continual improvement of the IMS? improvement of the IMS
Does your organization continually improve the suitability, adequacy and effectiveness of communicating the relevant results of
There is no evidence on communication and
10.3q19d 10. Improvement HS the management system, by communicating the relevant results of continual continual improvement to workers, and, where x
workers participation process
improvement to workers, and, where they exist, workers’ representatives? they exist, workers’ representatives

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Audit Findings

ISO

ISO
14001:2015

45001:2018
ISO 9001:2015

Compliant

Minor NC

Major NC
Clause
Main Clauses ISO Integrated Audit Questions Objective Evidence Audit Evidence & Notes

#
Audit 0 Entries yet to be entered
Score 0 Errors

#
Audit 0 Entries yet to be entered
Score 0 Errors

Status % Error Checking Summary

100

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Audit 0 Entries yet to be entered
Score 0 Errors

Status % Error Checking Summary

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Audit 0 Entries yet to be entered
Score 0 Errors

Status % Error Checking Summary

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I S O I M S AU D I T &

No. Audit Questions ISO IMS Compliance

434 62% 77% 85% 87% 9

No. Compliant se t ip g t
ex sh in or
lau t r n p
ra
C on e la
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ai .P

292
4 L e 7 .O
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5. 8

No. Major NC Data Column C

1 ISO IMS Compliance, NC and OF

No. Minor NC
0
24
0 0
14
21

141
0
17 33 60 44
12
se xt t
hi
p ng or
lau n te rs n ni p p
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C e
No. OFI n Co ad Pl
a S u
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5. 8

0 Data Column C Column D Column

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M S AU D I T & C O M P L I A N C E D A S H B O A R D

O IMS Compliance

85% 87% 94% 84% 53% Audit Score

g t n n t
in p or tio tio en
n p a a
an Su pe
r
al
u
ve
m
v
7. . O E p r o
8 9. I m
1 0.

#
Audit Findings
Minor NC Major NC OFI % Compliance Target

2 0 0 50% 100%

4 0 0 50% 100%

10 0 0 50% 100%
1 0 0 96% 100%

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This shape represents a table
slicer. Table slicers are not
supported in this version of
Excel.

RefIf the shape was modified in

an earlier version of Excel, or
if the workbook was saved in
Excel 2007 or earlier, the
4.1q2slicer can't be used.

4.2q3a

4.3q9

5.1.1q1a

5.1.1q1b

5.1.1q1c

5.2.2q1c

5.2.2q1d

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6.2.1q19

6.2.1q19

6.2.2q20

7.1.2q4

7.1.4q6

7.3q4

7.3q7

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Err:508

8.1aq1

8.1aq2

8.1aq3

8.1bq14

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Err:508

Err:508

8.5.1q35

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9.1.2bq6
9.1.2bq7
9.1.2bq7

9.1.3q10

9.3q11

9.3q12a

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9.3q12b

9.3q12d

9.3q12e

10.2q3d

10.2q3g

10.2q16

10.3q19

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This shape represents a table
slicer. Table slicers are not NC, CAPA & Action Plan
supported in this version of
Excel.

If the shape was modified in Audit Question

an earlier version of Excel, or
if theDoes
workbook
your wasorganization
saved in monitor and review information about these external and
Excel 2007 or earlier, the
slicerinternal issues?
can't be used.
Has your organization determined the interested parties and workers that are
relevant
Has yourto the IMS? applied all the requirements of ISO 9001:2015, ISO
organization
14001:2015 and ISO 45001:2018 if they are applicable within the determined scope
of the IMS?

Does Top Management demonstrated leadership and commitment to the IMS by

taking accountability for the effectiveness of your organization’s IMS?

Does Top Management demonstrated leadership and commitment to the IMS by

ensuring that QHSE policies and objectives are established and documented, and
are compatible your organization’s goals (See 6.2) and its context (See 4.0)?
Does Top Management demonstrated leadership and commitment to the IMS by
ensuring that QEHS requirements are integrated into your organization’s processes?

Is the QEHS policy available to interested parties, as appropriate?

Is the QEHS policy relevant and appropriate?

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Do your organization's objectives take into the results of the assessment of risks
and opportunities (see 6.1.2.2 and 6.1.2.3)?
Do your organization's objectives take into the results of consultation with workers
(see 5.4) and, where they exist, workers’ representatives?
When planning how to achieve its objectives, Has your organization determine when
it will be completed?

Does your organization determine and provide the staff necessary resources for the
effective implementation of its IMS and for the operation and control of its
processes?
Does organization determine, provide and maintain the environment necessary for
the operation of its processes and to achieve conformity of products and services?

Does your organization ensure workers are aware of the relevant objectives, actual
and potential work-related aspects and their contribution to the IMS performance,
including the benefits of improved performance?

#
Err:508

#
Root Cause
Inadequate
Organizational
Context
Inadequate
Organizational
Context
Inadequate
Organizational
Context
Inadequate
Organizational
Context
Inadequate
Organizational
Context

Lack of Leadership
and Commitment

Lack of Leadership
and Commitment
Lack of Leadership
and Commitment

Lack of Leadership
and Commitment
Lack of Leadership
and Commitment
Lack of Leadership
and Commitment
Lack of Leadership
and Commitment

Inadequate Planning

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Inadequate Planning

Inadequate Planning

Inadequate Support

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Inadequate Support

Inadequate Support

Inadequate Quality
Planning and Control

Inadequate Quality
Planning and Control
Inadequate Quality
Planning and Control
Inadequate Quality
Planning and Control
Inadequate
Environmental
Planning and Control
Inadequate
Environmental
Planning and Control
Inadequate
Operational Planning
and Control
Inadequate
Emergency
Preparedness and
Response

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Inadequate
Emergency
Preparedness and
Response
Inadequately
Determined Product
and Services
Requirements
Inadequate Review of
Product and Services
Requirements
Inadequate Review of
Product and Services
Requirements
Inadequate Review of
Product and Services
Requirements
Inadequate Control of
Production and
Service Provision
Inadequate Design
and Development
Review
Inadequate
Documented
Information
Inadequate Design
and Development
Input
Inadequate Design
and Development
Input
Inadequate Design
and Development
Control
Inadequate Design
and Development
Output
Inadequate External
Control
Inadequate External
Control
Inadequate Control of
Production and
Service Provision
Inadequate
Communication with
External Providers
Inadequate
Monitoring and
Measurement
Resources

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Inadequate Control of
Production and
Service Provision
Lack of Identification
and Traceability
Lack of Identification
and Traceability

Lack of Organizational
Knowledge
Inadequate Control of
Nonconforming
Products and Services

Lack of Documented
Information
Inadequate
Evaluation

Inadequate
Evaluation
Inadequate
Evaluation
Inadequate
Evaluation
Inadequate
Evaluation
Inadequate
Evaluation
Inadequate
Evaluation
Inadequate
Evaluation
Inadequate
Evaluation

Inadequate
Evaluation
Inadequate
Evaluation

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Inadequate
Evaluation
Inadequate
Evaluation
Inadequate
Evaluation
Lack of Continual
Improvement of QEHS
System
Lack of Continual
Improvement of QEHS
System
Lack of Continual
Improvement of QEHS
System
Lack of Continual
Improvement of QEHS
System
Lack of Continual
Improvement of QEHS
System

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Corrective Action and Preventive Action

Organization must monitor and review information about these external and
internal issues?
Organization must determined the interested parties and workers that are
relevant to the
Organization QEHS
must management
apply system
all the requirements of ISO 9001:2015, ISO 14001:2015
and ISO 45001:2018 if they are applicable within the determined scope of the
QEHS management system?
Organization must determine the resources needed for these processes and
ensure their availability
Organization must retain documented information to have confidence that the
processes are being carried out as planned

Ensure top management demonstrate leadership and commitment to the QEHS

management system by taking accountability for the effectiveness of your
organization’s QEHS management system
Ensure top management demonstrate leadership and commitment to the QEHS
management system by ensuring that your organization’s environmental
policies and objectives are established and documented, and are compatible
your
Ensureorganization’s goals demonstrated
top management (See 6.2) and its context (See
leadership 4.0)
and commitment to the
QEHS management system by ensuring that QEHS requirements are integrated
into your organization’s processes

Make QEHS policy available to interested parties, as appropriate

Ensure the QEHS policy relevant and appropriate

Ensure Top management assigns the responsibility and authority for ensuring
that thethe
Ensure processes are delivering
organization emphasizestheir
theintended outputs
participation non-managerial workers in
determining control measures and their effective implementation and use? (see
8.1, 8.1.3 and 8.2)
Ensure the organization emphasizes the participation non-managerial workers in
investigating incidents and nonconformities and determining corrective actions?
(see 10.2)

When determining the risks and opportunities for the QEHS management
system and its intended outcomes that need to be addressed, the organization
must take into account legal requirements and other requirements (see 6.1.3)

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Organization must ensure the action taken to address risks and opportunities is
proportionate to the potential impacts on the conformity of products and
services
Organization must plan actions to integrate and implement the actions into
QEHS management system processes
The organization's objectives must take into the results of the assessment of
risks and opportunities (see 6.1.2.2 and 6.1.2.3)
The organization's objectives must take into the results of consultation with
workers (see 5.4) and, where they exist, workers’ representatives?
When planning how to achieve its objectives, your organization must determine
when it will be completed
Your organization must consider and maintain the integrity of the QEHS
management system during the change process

Your organization must determine and provide the staff necessary resources for
the effective implementation of its QEHS management system and for the
operation andmust
Organization control of its processes
determine, provide and maintain the environment necessary
for the operation of its processes and to achieve conformity of products and
services
Organization must ensure that the resources provided are suitable for the
specific type of monitoring and measurement activities being undertaken;
Where no such standard is existing, documented information must be retained
for the basis used for calibration or verification
Organization must maintain this knowledge and make it available to the extent
necessary

Organization must ensure that these persons are competent (including the
ability to identify OHS hazards and environmental aspects) on the basis of
appropriate education, training, or experience
Organization must retain appropriate documented information as evidence of
competence? (See 7.5.1b)
Organization must ensure workers are aware of the relevant objectives, actual
and potential work-related aspects and their contribution to the QEHS
management system performance, including the benefits of improved
performance.

Organization must ensure that workers are aware of the implications of not
conforming to the QEHS management system requirements and not fulfilling the
organization’s compliance objectives
Organization must determine the internal and external communications
relevant to the QEHS management system, including how to communicate
Organization must take into account its compliance obligations and legal
requirements when establishing its communication process

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Organization must internally communicate information relevant to the QEHS
management system including changes to the QEHS management system as
appropriate
Organization must externally communicate information relevant to the QEHS
management system, via the communications process and as required by the
compliance obligations,
Organization’s legal requirements
QEHS management and other
system must requirements
include documented
information as evidence of communication as required by ISO 9001:2015, ISO
14001:2015 and
Organization’s ISO 45001:2018
QEHS management system must include documented
information determined by your organization as being necessary for the
effectiveness of the QEHS management system
For the control of documented information, organization must address retention
and disposition
Organization must ensure documented information of external origin is
identified and controlled
Organization must plan, implement and control the processes (see 4.4) needed
to meet the requirements for the provision of products and services, and to
implement the actions determined in Clause 6 by determining the requirements
for the products
Organization and
must services
plan, implement and control the processes (see 4.4) needed
to meet the requirements for the provision of products and services, and to
implement the actions determined in Clause 6 by establishing criteria for the
processes
Organization must plan, implement and control the processes (see 4.4) needed
to meet the requirements for the provision of products and services, and to
implement the actions determined in Clause 6 by establishing criteria for the
acceptance
Organizationofmust
products
plan,and servicesand control the processes (see 4.4) needed
implement
to meet the requirements for the provision of products and services, and to
implement the actions determined in Clause 6 by implementing control of the
processes in accordance with the criteria
Ensure that the outputs of the planning process suitable for your organization’s
operations
Organization must control planned changes and review the consequences of
unintended changes, taking action to mitigate any adverse effects, as
necessary
Organization must control planned changes and review the consequences of
unintended changes, and taking action to mitigate any adverse effects

Organization must communicate the relevant environmental requirements to

external providers and contractors

Organization must plan, implement, control and maintain the processes needed
to meet requirements of the QEHS management system, and to implement the
actions determined in Clause 6, by establishing criteria for the processes

Organization must establish a planned response to emergency situations,

including the provision of first aid

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Organization must provide training for the planned response

When determining the requirements for the products and services to be offered
to customers, the organization must ensure that the requirements for the
products and services are defined, including those considered necessary by
your organization
Organization must conduct a review before committing to supply products and
services to a customer, including requirements specified by the customer,
including the requirements for delivery and post-delivery activities

Organization must conduct a review before committing to supply products and

services to a customer, including requirements specified by your organization

Customer’s requirements must be confirmed by your organization before

acceptance, when the customer does not provide a documented statement of
their requirements
Organization must ensure that the relevant documented information is
amended and the relevant persons are made aware of the changed
requirements, when the requirements for the products and services are
changed
In determining the stages and controls for design and development, the
organization must take into consideration the required process stages including
design and development reviews
In determining the stages and controls for design and development, the
organization must take into consideration the documented information needed
to demonstrate that design and development requirement have been met

The organization must consider functional and performance requirements

The organization must ensure that the inputs are adequate for design and
development purpose, complete and unambiguous
The organization must conduct the verification to ensure that design and
development meet input requirements
The organization must ensure that design and development outputs are
adequate for the subsequent processes for provision of product and services
The organization must ensure that the externally provided process remain
within the control of its QMS
The organization must define the controls to be applied to external provider and
its resulting outputs
The organization must communicate to the external providers its requirements
for the approval of the product and services; methods, processes and
equipment; the release of product and services
The organization must communicate to the external providers its requirements
for control and monitoring of the external providers’ performance to be applied
by the organization

Ensure suitable monitoring and measuring resources available and are used

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The organization must implemented any release, delivery and post-delivery
activities
Ensure the status of outputs with respect to monitoring and measuring
requirements throughout the production and service provision being identified
by the organization
The organization must retain the documented information necessary to enable
traceability, when traceability is a requirement
The organization must ensure that the release of product and service proceed
only after the planned arrangement is satisfactorily completed or approved by
relevant authority and as applicable by the customer

The organization must also consider nonconforming product and services

detected after delivery of products, during and after provision of services

The organization must retain documented information that describes the

nonconformity; describes the actions taken; describes any concession obtained;
identifies the authority deciding the action in respect of the nonconformity
The organization must determine what needs to be monitored and measured
The organization must determine the criteria against which the organization
evaluates its environmental performance and appropriate indicators and the
criteria against which the organization will evaluate its OH&S performance
The organization must ensure that calibrated or verified monitoring and
measurement equipment is used and maintained as required
Organization must monitor customers’ perceptions of the degree to which their
needs and expectations have been fulfilled
Organization must establish, implement and maintain processes to evaluate the
fulfilment of its compliance obligations and to establish compliance with legal
and other requirements
Organization must determine the frequency that compliance is evaluated
Organization must evaluate compliance and take action where required
Does your organization ensure that the results of analysis are used to evaluate
the degree of customer satisfaction?
Does your organization ensure that the results of analysis are used to evaluate
the need for improvements to the QEHS management system?
Does Top management review your organization’s QEHS management system,
at planned intervals, to ensure its continuing suitability, adequacy, effectiveness
and alignment with the strategic direction of your organization?
Ensure management review is planned and carried out taking into consideration
the status of actions from previous management reviews

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Ensure management review is planned and carried out taking into consideration
changes in external and internal issues that are relevant to the QEHS
management system? Including:

1. Changes in external and internal issues;

2. Changes in the needs and expectation of interested parties, compliance with
obligations and legal requirements;
3. Changes in its significant environmental aspects;
4. The effectiveness of actions taken to address risks and opportunities.
Ensure management review is planned and carried out taking into consideration
the adequacy of resources
Ensure management review is planned and carried out taking into consideration
the effectiveness of actions taken to address risks and opportunities (see 6.1)
When non-conformities occur, including any arising from complaints, your
organization must update risks and opportunities determined during planning, if
necessary, as well as assessing OH&S risks that relate to new or changed
hazards, prior to taking action
Organization must ensure that corrective actions are appropriate to the effects
of the incident or nonconformity encountered

Organization must communicate this documented information to relevant

workers, and, where they exist, workers’ representatives, and other relevant
interested parties?

Organization must continually improve the suitability, adequacy and

effectiveness of the management system, by enhancing QEHS performance

Organization must continually improve the suitability, adequacy and

effectiveness of the management system, by promoting a culture that supports
an QEHS management system

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#
Responsibl Action
Target date Days Due Priority
e Status

High
HSE Manage 30-Jun -1303 Open

High
HSE Manage 31-May -1333 Open

High
HSE Manage 31-May Closed

High
HSE Manage 31-May -1333 Open

High

HSE Manage 31-May -1333 Open

High
HSE Manage 31-May -1333 Open

High
HSE Manage 31-May Closed

High
HSE Manage 31-May -1333 Open

High

HSE Manage 31-May -1333 Open

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#
High
HSE Manage 31-May -1333 Open

High
HSE Manage 31-May -1333 Open

#
High

HSE Manage 31-May -1333 Open

High
HSE Manage 31-May -1333 Open
High
HSE Manage 31-May -1333 Open

High
HSE Manage 31-May -1333 Open

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#
Data
Sum of Compliant 292
Sum of Minor NC 141
Sum of Major NC 1
Sum of OFI 0

292

141

Sum of Compliant Sum of Minor N

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#
Audit Findings

141

1 0
Sum of Minor NC Sum of Major NC Sum of OFI

Auditor Audit Standard(s)

Audit Summary:

Auditor to attach supporting documents e.g. Checklists, evidence of compliance, etc)

Attendees:

Summary of Non Conformities Raised

Summary of Observations Raised

Summary of OFI Raised

Noteworthy Efforts

Comments of Auditee:

The attached NCR’s and observations are all noted and their content, basic cause and corrective/preventative action agreed with.

Signed__________________________________________ Auditee

(Signature confirms acceptance of findings raised and that results of the audits have been brought to the attention of all personnel
having responsibility in the area involved)

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# C
COMPANY LOGO AUDIT REPORT REV:

Signed :_________________________________________ Auditor

138_x000D_ LIMITED SHARING

# C
COMPANY LOGO AUDIT REPORT REV:

Audit Number:

Department

compliance, etc)

basic cause and corrective/preventative action agreed with.

the audits have been brought to the attention of all personnel

he area involved)

139_x000D_ LIMITED SHARING

# C
COMPANY LOGO AUDIT REPORT REV:

140_x000D_ LIMITED SHARING

# C
Data
Main Clause Sum of CompSum of MinoSum of MajoSum of OFI 140
4. Context 12 17 0 0
5. Leadership 33 21 0 0
120
6. Planning 60 24 0 0
7. Support 44 14 0 0
8. Operation 110 19 0 0 100
9. Evaluation 32 21 1 0
10. Improvement 1 25 0 0 80
Total Result 292 141 1 0
60

2
40

0
20 17
3
12
0
Main Clause 4. Context 5. Lead

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#
ISO IMS Compliance Status

0
19

0
0 110 0
1
14
21 21

0 60
0
17 44
33 32 25
12
1
Clause 4. Context 5. Leadership 6. Planning 7. Support 8. Operation 9. Evaluation 10. Improvement

Data Column C Column D Column E

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#
This shape represents a slicer.
Slicers are supported in Excel
2010 or later.

If the shape was modified in an

earlier version of Excel, or if the
workbook was saved in Excel
2003 or earlier, the slicer cannot
be used.

1
10. Improvement

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#
Thematic Area
4.1 Organizational Context
4.2 Relevant Interested Parties
4.3 Management System Scope
6.2.2 Objectives & Planning to Achieve Them
7.2 Competence
7.3 Awareness
7.4.2 Internal communication
7.4.3 External communication
7.5.3 Documented Information - Control
8.1.4.1 Procurement - General
9.1.1 Monitoring, Measurement, Analysis and Evaluation - General
5.1.1 General
5.1.2 Customer Focus
5.2.1 Developing the Policy
5.2.2 Communicating the Policy
5.3 Roles, Responsibilities and Authority
5.4. Consultation and Participation
6.1.1 Action to Address Risk and Opportunities
6.1.2a Environmental Aspects
6.1.2b.1 Hazard Identification
6.1.2b.2 Assessment of OH&S risks and Other Risks
6.1.2b.3 Assessment of OH&S Opportunities and Other Opportunities
6.1.3 Determining Legal Requirements
6.1.4 Planning Actions
6.2.1 QEHS Objectives
6.2.2 Planning for Change
7.1.1 General
7.1.2 People
7.1.3 Infrastructure
7.1.4 Environment for the Operation of Processes
7.1.5.1 General
7.1.5.2 Measurement Traceability
7.1.6 Organizational knowledge
7.4.1 Communcation - General
7.5.2 Creating and Updating
8.1a Quality Planning & Control
8.1b Environmental Planning & Control
8.1.2 Operation - Eliminating Hazards and Reducing OH&S Risks
8.1.3 Operation - Management of Change
8.1.4.2 Procurement - Contractors
8.1.4.3 Procurement - Outsourcing
8.2a Emergency Preparedness & Response
8.2b.1 Customer communication

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8.2b.2 Determining the requirements for products and services
8.2b.3 Review of the requirements for products and services
8.2b.4 Changes to requirements for products and services
8.3.1 General
8.3.2 Design and development planning
8.3.3 Design and Development inputs
8.3.4 Design and development controls
8.3.5 Design and Development outputs
8.3.6 Design and Development changes
8.4.1 General
8.4.2 Type and extent of control
8.4.3 Information for external providers
8.5.1 Control of production and service provision
8.5.2 Identification and traceability
8.5.3 Property belonging to customers or external providers
8.5.4 Preservation
8.5.5 Post-delivery activities
8.5.6 Control of change
8.6 Release of products and services
8.7 Control of nonconforming outputs
9.1.2a Customer Satisfaction
9.1.2b Monitoring, Measurement, Analysis and Evaluation - Evaluation of Complianc
9.1.3 Analysis & Evaluation
9.2.1 Performance Evaluation - Internal Audit - General
9.2.2 Performance Evaluation - Internal Audit Programme
9.3 Performance Evaluation - Management Review
10.1 Improvement - General
10.2 Improvement - Incident, Nonconformity and Corrective Action
10.3 Continual Improvement
4.4 QEHS Management System
7.5.1 Documented Information
8.1.1 OH&S Operational Planning & Control
Total Result

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#
Average of % Compliance This shape represents a slicer.
50% Slicers are supported in Excel
50% 2010 or later.
50%
If the shape was modified in
50%
an earlier version of Excel, or
90% if the workbook was saved in
50% Excel 2003 or earlier, the
100% slicer cannot be used.
100%
94%
100%
100%
61%
100%
50%
50%
100%
100%
100%
64%
97%
100%
100%
100%
93%
50%
100%
83%
50%
100%
50%
88%
100%
100%
100%
100%
85%
67%
50%
100%
100%
100%
100%
100%

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#
100%
100%
100%

100%
100%
100%
78%
100%
100%
100%
100%
100%
100%
100%
100%
50%
88%
100%
100%
50%
60%
50%
50%
96%
100%
75%
85%

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#
Action Status Count of Action Status
Closed 4 Actio
Open 85
(empty)
Total Result 89

4
Closed Open

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#
This shape represents a
Action Open vs Closed slicer. Slicers are supported
in Excel 2010 or later.

If the shape was modified i

an earlier version of Excel,
or if the workbook was sav
in Excel 2003 or earlier, th
slicer cannot be used.

89
85

Open (empty) Total Result

_x000D_ LIMITED SHARING

#
This shape represents a
slicer. Slicers are supported
in Excel 2010 or later.

If the shape was modified in

an earlier version of Excel,
or if the workbook was saved
in Excel 2003 or earlier, the
slicer cannot be used.

_x000D_ LIMITED SHARING

ISO IMS (9001,45001,14001) Structuring
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