QMS & EMS AUDIT CHECKLIST

Compliant COMMENTS/
CLAUSE EVIDENCE RECOMMENDATIONS
YES/NO
4.Context of the organisation
4.1 Have external and internal issues been
identified?
4. 2 Have the needs of and expectations of
interested parties been determined?
4.3 Has the scope of the management system
been determined?
4.4 Has the organisation determined the
processes needed for the quality management
system?
5. Leadership and commitment
How does top management demonstrate
leadership and commitment?
5.1.2 Customer focus
Are customer and applicable statutory and
regulatory requirements determined,
understood and met?
Are risks and opportunities relating to products
and services and customer satisfaction
determined and addressed?
How is focus on enhanced customer
satisfaction maintained?
5.2 Quality policy
Does the policy provide a framework for setting
quality objectives, include a commitment to
continual improvement and satisfy applicable
requirements?
How is it communicated within the business
environment?
Is it available to relevant interested parties?
5.3 Organisational roles, responsibilities
and authorities
How are responsibilities and authorities for
relevant roles assigned, communicated and
understood within the organisation?
6 Planning
6.1 Actions to address risks and
opportunities
Has the organisation determined risks and
opportunities relating to its external and
internal issues and its interested parties?
Give examples
6.2 Quality Objectives and planning to
achieve them
Have documented objectives been
established?
Are they measurable, communicated and
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Compliant COMMENTS/
CLAUSE EVIDENCE RECOMMENDATIONS
YES/NO
monitored?
Have resources, responsibilities, timescales
been determined?
7. Support
7.1 Resources/people
Are resources provided for the establishment,
implementation maintenance and continual
improvement of the management system
7.1.3 Infrastructure
Adequate buildings & workspace?
Adequate process equipment for the tasks in
hand including hardware and software?
Adequate support services? e.g. Transport, IT
support
7.1.4 Environment
How do they manage the work environment to
ensure conformity of the product/service?
Are social psychological and physical factors
taken into account
7.1.5 Monitoring and measuring resources
Does the organisation have monitoring and
measuring equipment that requires calibration?
Are records / certificates of calibration
maintained to evidence traceability?
7.1.6 Organisational Knowledge
How does the organisation ensure its
organisational information is up to date to
reflect current practices?
7.2 Competence
Is there an Induction Training Programme?
Is there a competency record for all
personnel?
Do they carry out a Competence assessment?
Is the Competency Matrix used?
If not, how do they measure competence?
Are appraisals undertaken?
Are external providers subjected to a
competence check (references)?
7.3 Awareness
How is the quality policy communicated?
How are quality objectives communicated?
Are staff aware of the implications of not
conforming to the management system
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Compliant COMMENTS/
CLAUSE EVIDENCE RECOMMENDATIONS
YES/NO
requirements?
7.4 Communication
What are the communication processes within
the organisation?
7.5 Documented Information
Are documents referenced?
What format are they held in?
How are they controlled?
8. Operation
8.1 Planning and control
How is the delivery of the product or service
planned?
8.2 Requirements for products and services
8.2.1 Customer communication
Is there a process for handling customer
communication?
Does it include information re products and
services, enquiry handling, customer feedback,
managing customer property if applicable?
Are contract amendments communicated to
the customer?

8.2.2 Determination of requirements.

How are the client requirements determined,
including non-stated but required?
Are statutory/regulatory requirements
determined?
Do they review requirements to ensure the
organisation can meet them?
8.2.3 Review of requirements
Does the organisation confirm it has the ability
to meet its customers’ requirements and is
their documentary evidence?
During this process do they consider;

 Requirements for delivery and post

delivery activities.
 Requirements not stated by the
customer
 Requirements specified by the
organisation
 Statutory and regulatory requirements
 Any changes from those previously
expressed.
 QMS & EMS AUDIT CHECKLIST

Compliant COMMENTS/
CLAUSE EVIDENCE RECOMMENDATIONS
YES/NO
8.3 Design and Development
Does the company undertake design and
development on behalf of its customer?
Is there a clear specification documented?
Is the design planned?
Inputs identified?
Outputs confirmed?
Is there a review process prior to release to
customer?
Are changes recorded and approved?
Is the design verified?
Is the design validated?
8.4 Control of externally provided
processes, products and services
Is there a purchasing procedure?
Are suppliers and subcontractors evaluated
prior to being used?
Are there clear criteria for selection?
Is there a list of approved
suppliers/subcontractors?
Is there a re-evaluation process?
Where necessary do they specify /determine
competence of personnel or subcontractors?
Are orders placed by Purchase Order detailing
specification and requirements?
Verbally?
Upon receipt of goods or service how is
compliance confirmed?
8.5.1 Control of Production & Service
Provision.
Is there documented information to confirm
product/service requirements?
Is measuring equipment used?
Is the infrastructure/environment suitable?
Are personnel competent with appropriate
qualifications if necessary?
Are their specific release, delivery and post-
delivery activities?
8.5. Identification & Traceability
Is the product or service identified by part or
project no.?
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Compliant COMMENTS/
CLAUSE EVIDENCE RECOMMENDATIONS
YES/NO
Is the status readily identified through the
process?
Is it traceable through the process?
Are details traceable after passed to the
customer?
8.5.3 Client Property
Does the company receive any property of the
customer (including service returns) and
Intellectual property and personal data?
Are they held in a secure and safe
environment?
Readily identifiable?
If customer property is lost or damaged do
they advise the customer?
8.5.4 Preservation of Product
How is the product managed and safeguarded
throughout the delivery process?
8.5.5 Post-delivery activities
Is the organisation committed to providing post
–delivery services e.g. warranty, contractual
obligations, maintenance services, recycling or
final disposal?
8.5.6 Control of changes
If there are changes to service provision are
they documented?
8.6 Release of products/services
How is the release or of product/service
managed and is there documented
information available to confirm this
8.7 Control of non conforming product
Are non conformances identified and
recorded?
Is corrective action undertaken?
Is trend analysis undertaken?
Is there a quarantine area for non conforming
product?
is there a concessions process for product not
quite matching specification and if applied is
this documented?
9.1 Monitoring, measurement, analysis and
evaluation
Has the company determined the process for
performance evaluation??
Is there documented information to evidence
this?
 QMS & EMS AUDIT CHECKLIST

Compliant COMMENTS/
CLAUSE EVIDENCE RECOMMENDATIONS
YES/NO
9.1.2 Customer satisfaction
How does the company evaluate customer
perception?
Is there documented information available to
confirm this?
9.1.3 Analysis and evaluation
Are performance trends analysed with regards
particularly to the following;
 Conformity of products and services?
 Degree of customer satisfaction?
 Performance and effectiveness of the
management system
 Effective planning
 Effectiveness of actions to address risks
and opportunities
 External; provider performance
 Ned for improvements
9.2 Internal audit
Does the company carry out internal audits?
Is there a planned audit programme?
Is there documented evidence available to
confirm the implementation of the audit
programme and audit results?

9.3 Management review

Are management reviews held?
Are they planned?
Is the agenda followed?
Is there documented information available to
evidence the results of management reviews?
10 Improvement/non conformity/corrective
action/continual improvement
What is the complaints process and is there
evidence this leads to improvement?
What other activities are undertaken to
address (continual) improvement?

ADDITIONAL REQUIREMENTS FOR ISO 14001

COMMENTS/
Compliant
CLAUSE EVIDENCE RECOMMENDATIO
YES/NO
NS
5.2 Environmental policy
Does the policy include commitments to:
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COMMENTS/
Compliant
CLAUSE EVIDENCE RECOMMENDATIO
YES/NO
NS
1. Continual improvement?
2. Prevention of pollution?
3. Compliance

How is the Policy communicated to all persons

working for or on behalf of the Organisation?
Is the Policy available to interested parties?
6.1.2 Environmental aspects
Have significant aspects and those having
legal and/or regulatory reporting, monitoring or
operational requirements been identified and
documented?
Are the following Environmental Aspects
considered in sufficient detail?
1. Air emission?
2. Wastewater effluent?
3. Waste management?
4. Soil pollution?
5. Raw material and natural resource usage?
6. Hazardous and toxic material?
7. Impact on well-being (e.g. noise, smell,
heat, landscape, protection)?
8. Utility, energy and resource?
9. Other environmental specific issues on site
such as housekeeping, storage areas, air
conditioning?
Are the following Operational Aspects
considered?
1. Normal operating conditions?
2. Abnormal operating
conditions/emergencies (e.g. start up and
shut down conditions, maintenance,
incidents)?
3. Development of new or modified
processes, products or services?
6.1.3 Compliance obligations
Has the organisation determined its
compliance obligations related to its aspects?
Are they documented?
Are current copies of all applicable regulatory
and other requirements accessible to
personnel as necessary?
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COMMENTS/
Compliant
CLAUSE EVIDENCE RECOMMENDATIO
YES/NO
NS
Where applicable, are the following licenses,
permits and approvals available to
demonstrate full legal compliance?
1. Licenses of waste collectors, including
Waste Transfer and/or Consignment
Notes?
2. Air emission permits?
3. Wastewater discharge permits?
4. Permits and licenses related to dangerous
goods?
5. Environmental fees, e.g. wastewater
discharge fee?
6. Registration at authorities (e.g. wastewater
discharge, air emission inspection)?
8 Operational Control
Have processes been established,
implemented and maintained for operations
associated with significant environmental
aspects, policy and objectives?
Is there documented information available to
confirm that these processes have been
carried out as planned?
Are outsourced processes controlled or
influenced and how?
Life cycle perspective;
 Are environmental requirements
addressed within the design and
development process?
 Are the environmental requirements for
the procurement of products and
services determined?
 Are environmental communicated to
external providers including
contractors?
 Information provided about potential
significant environmental impacts
associated within transportation,
delivery, use, end of life treatment and
final disposal?
Is there documented information available to
confirm that operational processes have
been carried out as planned?
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COMMENTS/
Compliant
CLAUSE EVIDENCE RECOMMENDATIO
YES/NO
NS
8.2 Emergency Preparedness and Response
Have procedures been implemented to
identify the potential for and response to
accidents and emergencies?
Are emergency plans available to ensure that
Environmental Impacts or accidents and .
emergency situations are mitigated?
Are emergency procedures tested where
practicable? Evidence?
How often are emergency procedures
reviewed? Are they reviewed after
accidents or emergency situations?
Is there documented information available to
confirm that operational processes have
been carried out as planned?