Part A — Management Systems
ISO Audit Checklist
Owner
HSE Manager / Document Controller
Review / trigger
Annual review; update on legal, authority, project or client change
Checkpoints
88
| # | Area | Checkpoint / Requirement | Evidence / Acceptance Criteria | Responsible | Frequency |
|---|---|---|---|---|---|
| 1 | Context of the Organization (Clause 4) | Verify organization has determined internal and external issues relevant to IMS | Documented context analysis (SWOT/PESTLE) | QHSE Manager | Annually |
| 2 | Context of the Organization (Clause 4) | Confirm interested parties and their requirements identified | Interested parties register | QHSE Manager | Annually |
| 3 | Context of the Organization (Clause 4) | Verify scope of ISO 45001/14001/9001 IMS clearly defined and documented | Approved IMS scope statement | QHSE Manager | Annually |
| 4 | Context of the Organization (Clause 4) | Confirm IMS processes and interactions mapped | Process interaction diagram/turtle diagrams | QHSE Manager | Annually |
| 5 | Context of the Organization (Clause 4) | Verify legal and other requirements register maintained and current | Legal register with latest UAE Federal Decree-Law updates | Compliance Officer | Quarterly |
| 6 | Context of the Organization (Clause 4) | Confirm MOHRE, ADOSH-SF and Civil Defence regulatory changes tracked | Regulatory update log | Compliance Officer | Quarterly |
| 7 | Context of the Organization (Clause 4) | Verify aspects/impacts register covers all site activities (ISO 14001) | Environmental aspects & impacts register | Environmental Officer | Annually |
| 8 | Leadership & Worker Participation (Clause 5) | Verify IMS policy signed by top management and communicated | Signed policy statement displayed on site | Top Management | Annually |
| 9 | Leadership & Worker Participation (Clause 5) | Confirm roles, responsibilities and authorities defined and communicated | Responsibility matrix/RACI chart | QHSE Manager | Annually |
| 10 | Leadership & Worker Participation (Clause 5) | Verify management commitment demonstrated through resource allocation | Budget/resource allocation records | Top Management | Annually |
| 11 | Leadership & Worker Participation (Clause 5) | Confirm worker consultation and participation mechanism established | Worker committee minutes/HSE forum records | HSE Manager | Monthly |
| 12 | Leadership & Worker Participation (Clause 5) | Verify workers empowered to report hazards without reprisal | Hazard reporting procedure and log | HSE Manager | Ongoing |
| 13 | Leadership & Worker Participation (Clause 5) | Confirm management review of worker feedback conducted | Worker feedback review minutes | Top Management | Quarterly |
| 14 | Planning – Risk & Opportunity Management (Clause 6) | Verify risk and opportunity register maintained for IMS | Risk/opportunity register | QHSE Manager | Quarterly |
| 15 | Planning – Risk & Opportunity Management (Clause 6) | Confirm hazard identification and risk assessment (HIRA) process implemented | HIRA register covering routine/non-routine activities | HSE Engineer | Annually, or on change |
| 16 | Planning – Risk & Opportunity Management (Clause 6) | Verify environmental aspects evaluated for significance | Significance rating matrix | Environmental Officer | Annually |
| 17 | Planning – Risk & Opportunity Management (Clause 6) | Confirm quality objectives established and measurable (ISO 9001) | QMS objectives with KPIs | QHSE Manager | Annually |
| 18 | Planning – Risk & Opportunity Management (Clause 6) | Verify HSE objectives and targets set and monitored | HSE objectives tracking sheet | HSE Manager | Quarterly |
| 19 | Planning – Risk & Opportunity Management (Clause 6) | Confirm change management procedure applied for new processes/equipment | Management of change (MOC) records | Engineering Manager | Per change |
| 20 | Planning – Risk & Opportunity Management (Clause 6) | Verify planning addresses actions to mitigate identified risks | Action plan with owners and due dates | QHSE Manager | Quarterly |
| 21 | Support – Resources, Competence & Awareness (Clause 7) | Verify competence requirements defined for all HSE-critical roles | Competence matrix | HR Manager | Annually |
| 22 | Support – Resources, Competence & Awareness (Clause 7) | Confirm training needs analysis conducted and training plan implemented | Training needs analysis & annual training plan | HR/HSE Officer | Annually |
| 23 | Support – Resources, Competence & Awareness (Clause 7) | Verify awareness training on IMS policy and objectives delivered | Awareness training attendance records | HSE Officer | Annually |
| 24 | Support – Resources, Competence & Awareness (Clause 7) | Confirm document control procedure implemented (version control, approval) | Document control register with revision history | Document Controller | Ongoing |
| 25 | Support – Resources, Competence & Awareness (Clause 7) | Verify calibration of monitoring/measuring equipment current | Calibration certificates with due dates | QA/QC Engineer | As per calibration schedule |
| 26 | Support – Resources, Competence & Awareness (Clause 7) | Confirm internal communication procedure for IMS matters established | Communication procedure and evidence (emails/notices) | QHSE Manager | Ongoing |
| 27 | Support – Resources, Competence & Awareness (Clause 7) | Verify external communication process for interested parties defined | External communication log | QHSE Manager | Ongoing |
| 28 | Support – Resources, Competence & Awareness (Clause 7) | Confirm infrastructure and work environment adequate for IMS objectives | Facility/infrastructure inspection report | Facilities Manager | Quarterly |
| 29 | Operation – Operational Planning & Control (Clause 8) | Verify operational controls established for significant environmental aspects | Operational control procedures | Environmental Officer | Annually |
| 30 | Operation – Operational Planning & Control (Clause 8) | Confirm permit to work system operating for high-risk activities | PTW register and audit trail | HSE Manager | Weekly |
| 31 | Operation – Operational Planning & Control (Clause 8) | Verify emergency preparedness and response procedures tested | Emergency drill records and evaluation report | HSE Manager | Quarterly |
| 32 | Operation – Operational Planning & Control (Clause 8) | Confirm procurement process verifies contractor/supplier HSE-Q compliance | Supplier/contractor evaluation records | Procurement Manager | Per contract award |
| 33 | Operation – Operational Planning & Control (Clause 8) | Verify inspection and test plans (ITP) implemented for quality control | Approved ITPs with sign-off records | QA/QC Manager | Per activity |
| 34 | Operation – Operational Planning & Control (Clause 8) | Confirm nonconforming product/work process defined and applied | Nonconformance report (NCR) register | QA/QC Manager | Ongoing |
| 35 | Operation – Operational Planning & Control (Clause 8) | Verify design and development controls applied where applicable (ISO 9001) | Design review and verification records | Design Manager | Per design stage |
| 36 | Operation – Operational Planning & Control (Clause 8) | Confirm outsourced processes controlled per IMS requirements | Outsourcing control agreements | Procurement Manager | Annually |
| 37 | Performance Evaluation – Monitoring & Measurement (Clause 9) | Verify HSE performance indicators (leading & lagging) tracked | KPI dashboard/report | QHSE Manager | Monthly |
| 38 | Performance Evaluation – Monitoring & Measurement (Clause 9) | Confirm environmental monitoring conducted per legal requirements | Environmental monitoring reports (air, noise, water) | Environmental Officer | Monthly |
| 39 | Performance Evaluation – Monitoring & Measurement (Clause 9) | Verify customer satisfaction data collected and analyzed (ISO 9001) | Customer satisfaction survey results | QA Manager | Quarterly |
| 40 | Performance Evaluation – Monitoring & Measurement (Clause 9) | Confirm internal audit program planned and executed across all sites | Internal audit schedule and reports | QHSE Manager | Per audit plan (min. annually) |
| 41 | Performance Evaluation – Monitoring & Measurement (Clause 9) | Verify internal auditors are competent and independent of audited area | Auditor qualification/certification records | QHSE Manager | Ongoing |
| 42 | Performance Evaluation – Monitoring & Measurement (Clause 9) | Confirm management review conducted covering all IMS inputs/outputs | Management review minutes with action log | Top Management | Semi-annually |
| 43 | Performance Evaluation – Monitoring & Measurement (Clause 9) | Verify evaluation of compliance with legal and other requirements performed | Compliance evaluation report | Compliance Officer | Annually |
| 44 | Performance Evaluation – Monitoring & Measurement (Clause 9) | Confirm data analysis used to identify trends in incidents/nonconformities | Trend analysis report | QHSE Manager | Quarterly |
| 45 | Improvement – Nonconformity, Corrective Action & Continual Improvement (Clause 10) | Verify nonconformities investigated with root cause analysis | RCA reports (e.g., 5-Why, fishbone) | QHSE Manager | Per nonconformity |
| 46 | Improvement – Nonconformity, Corrective Action & Continual Improvement (Clause 10) | Confirm corrective action requests (CAR) tracked to closure with effectiveness check | CAR register with verification of effectiveness | QHSE Manager | Ongoing |
| 47 | Improvement – Nonconformity, Corrective Action & Continual Improvement (Clause 10) | Verify continual improvement initiatives documented and implemented | Continual improvement log/kaizen register | QHSE Manager | Quarterly |
| 48 | Improvement – Nonconformity, Corrective Action & Continual Improvement (Clause 10) | Confirm lessons learned from incidents shared across projects | Lessons learned bulletin/circular | HSE Manager | Per incident |
| 49 | Improvement – Nonconformity, Corrective Action & Continual Improvement (Clause 10) | Verify preventive actions identified proactively from risk data | Preventive action register | QHSE Manager | Quarterly |
| 50 | Improvement – Nonconformity, Corrective Action & Continual Improvement (Clause 10) | Confirm certification body audit findings closed within required timeframe | CB audit finding closure evidence | QHSE Manager | Per audit cycle |
| 51 | Document & Record Control | Verify master document list current and accessible to relevant staff | Master document list (MDL) | Document Controller | Monthly |
| 52 | Document & Record Control | Confirm obsolete documents removed from points of use | Obsolete document withdrawal log | Document Controller | Ongoing |
| 53 | Document & Record Control | Verify records retention schedule complies with UAE legal requirements | Records retention schedule | Document Controller | Annually |
| 54 | Document & Record Control | Confirm electronic document management system access controls in place | EDMS access control audit trail | IT/Document Controller | Quarterly |
| 55 | Document & Record Control | Verify forms and templates controlled and version-stamped | Controlled forms register | Document Controller | Ongoing |
| 56 | Document & Record Control | Confirm confidentiality of records maintained per data protection requirement | Data protection compliance checklist | IT Manager | Annually |
| 57 | Contractor & Supply Chain Management | Verify contractor HSE-Q prequalification criteria applied consistently | Prequalification scoring records | Procurement Manager | Per contractor |
| 58 | Contractor & Supply Chain Management | Confirm contractor performance monitored against IMS KPIs | Contractor performance scorecard | QHSE Manager | Quarterly |
| 59 | Contractor & Supply Chain Management | Verify supplier quality certificates (material test certificates) verified | MTC verification log | QA/QC Engineer | Per delivery |
| 60 | Contractor & Supply Chain Management | Confirm contractor induction includes IMS policy and site rules | Contractor induction records | HSE Officer | Per new contractor |
| 61 | Contractor & Supply Chain Management | Verify subcontractor internal audits conducted where required | Subcontractor audit reports | QHSE Manager | Annually |
| 62 | Contractor & Supply Chain Management | Confirm supply chain environmental compliance verified (e.g., ISO 14001 certified suppliers) | Supplier certification records | Procurement Manager | Annually |
| 63 | Certification & External Audit Readiness | Verify certification body surveillance audit schedule tracked | Certification audit calendar | QHSE Manager | Annually |
| 64 | Certification & External Audit Readiness | Confirm previous external audit nonconformities closed with evidence | External audit closure report | QHSE Manager | Per audit cycle |
| 65 | Certification & External Audit Readiness | Verify integrated management system manual up to date and approved | Current IMS manual with revision control | QHSE Manager | Annually |
| 66 | Certification & External Audit Readiness | Confirm cross-functional teams prepared for certification audit interviews | Audit readiness briefing record | QHSE Manager | Before each external audit |
| 67 | Certification & External Audit Readiness | Verify certificates of registration (ISO 45001/14001/9001) valid and displayed | Valid certification copies | QHSE Manager | Ongoing, per certification cycle |
| 68 | Certification & External Audit Readiness | Confirm gap analysis conducted against latest ISO standard revisions | Gap analysis report | QHSE Manager | Upon standard revision |
| 69 | Context of the Organization (Clause 4) | Verify environmental compliance obligations linked to EAD/DM permits reviewed | Permit compliance cross-reference log | Environmental Officer | Annually |
| 70 | Leadership & Worker Participation (Clause 5) | Confirm HSE roles included in job descriptions and performance appraisals | Job description/appraisal records | HR Manager | Annually |
| 71 | Planning – Risk & Opportunity Management (Clause 6) | Verify climate-related risks assessed for site operations | Climate risk assessment | Environmental Officer | Annually |
| 72 | Support – Resources, Competence & Awareness (Clause 7) | Confirm competence records verified for third-party/agency workers | Agency worker competence file | HR Manager | Per deployment |
| 73 | Operation – Operational Planning & Control (Clause 8) | Verify traceability of materials maintained per ISO 9001 requirement | Material traceability log | QA/QC Manager | Per delivery |
| 74 | Operation – Operational Planning & Control (Clause 8) | Confirm control of monitoring equipment used for environmental sampling | Equipment control and validation record | Environmental Officer | Quarterly |
| 75 | Performance Evaluation – Monitoring & Measurement (Clause 9) | Verify audit findings trend analyzed across departments | Audit trend analysis report | QHSE Manager | Annually |
| 76 | Performance Evaluation – Monitoring & Measurement (Clause 9) | Confirm statutory inspection reports (lifting, pressure vessels) reviewed for compliance | Statutory inspection certificates | HSE Manager | Per inspection due date |
| 77 | Improvement – Nonconformity, Corrective Action & Continual Improvement (Clause 10) | Verify benchmarking against industry best practice conducted | Benchmarking report | QHSE Manager | Annually |
| 78 | Improvement – Nonconformity, Corrective Action & Continual Improvement (Clause 10) | Confirm improvement actions linked to management review outputs | Management review action tracker | Top Management | Semi-annually |
| 79 | Document & Record Control | Verify back-up and disaster recovery of IMS digital records tested | Backup/DR test report | IT Manager | Annually |
| 80 | Document & Record Control | Confirm legal register cross-referenced to controlled document list | Cross-reference matrix | Compliance Officer | Annually |
| 81 | Contractor & Supply Chain Management | Verify contractor equipment maintenance records reviewed prior to mobilization | Equipment maintenance/inspection log | Plant Manager | Before mobilization |
| 82 | Contractor & Supply Chain Management | Confirm labour accommodation standards audited for MOHRE/OSHAD compliance | Labour accommodation audit report | HSE Manager | Annually |
| 83 | Certification & External Audit Readiness | Verify internal stakeholders trained on IMS clause requirements before audit | Pre-audit training records | QHSE Manager | Before each external audit |
| 84 | Certification & External Audit Readiness | Confirm corrective action plan submitted to certification body within deadline | CB submission acknowledgment | QHSE Manager | Per audit cycle |
| 85 | Context of the Organization (Clause 4) | Confirm risk-based thinking applied consistently across all business functions | Cross-functional risk review minutes | QHSE Manager | Annually |
| 86 | Leadership & Worker Participation (Clause 5) | Verify top management participates in site HSE walks periodically | Management site walk log | Top Management | Quarterly |
| 87 | Planning – Risk & Opportunity Management (Clause 6) | Confirm objectives cascade from corporate to project level with clear targets | Objective cascade matrix | QHSE Manager | Annually |
| 88 | Support – Resources, Competence & Awareness (Clause 7) | Verify adequate budget allocated for IMS resource needs approved by management | Budget approval record | Top Management | Annually |
Each checkpoint records Status (Yes / No / N/A), Comments, Corrective Action and Sign-off. Switch to Complete in-app to fill it here, or download the blank version to complete on site.
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