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Department wise ISO 14001-2015 EMS and ISO 9001-2015 and OHSAS 18001- EQHSMS department wise Audit Questionnaire

Sr. No. Questions Status

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For the benefits of internal auditors the list of questions to be asked to the respective department is listed below based on ISO 9001-2015 and ISO 14001-2015 for EQHSMS system. Please note that it is not exhaustive and it may be considered as guidelines only. Auditors are advised to prepare their own question list based on the questions listed below.

1. EQHSMS system coordinator and ISO 9001 AND ISO 14001-2015 AND OHSAS 18001 system related areas

1. How do you arrive at quality and environmental and occupational, health and safety policy?

2. Have you identified objectives based on your Quality and environmental and occupational, health and safety policy?

3. Is your Quality and environmental and occupational, health and safety policy complies with the requirements of ISO 9001 AND ISO 14001 EMS and OHSAS 18001 standards?

4. How do you ensure prevention of pollution through out the organization?

5.

Have you considered the context of the organization’s overall business activities ? Have you determine external and internal issues in the Environment management system (EMS)? Does this issues are relevant to its purpose and ability to achieve intended outcome of EQHSMS? Have you considered the context of the organization’s overall business activities and issues and quality and environmental and occupational, health and safety conditions affected by your activities? To whom you have identified your interested parties?

6. Have you determine the boundaries and applicability of the Environment management system?

7. Have you considered the context of the organization’s overall business activities and issues and quality and environmental and occupational, health and safety conditions affected by your activities?

8. To whom you have identified your interested parties?

9.

Have you conducted environmental aspect and OHS Hazard analysis survey for your all activities? Are all activities covered? How do you ensure that all activities are covered? To whom you have included in aspect and OHS Hazard analysis survey?

10. What is your mechanism for evaluation of Impacts and Risk associated of each aspect and OHS Hazards?

11. Have you identified list of significant aspect and OHS Hazards? Have you done feasibility analysis for such significant aspect and OHS Hazards?

12. Have you prepared Environmental aspect and OHS Hazard Register? Is this register is made available to all employees?

13. Have you communicated all such Environmental aspect, OHS Hazards, its impact to all your employees within the organization?

14. What are the needs and expectations of interested parties in management system? What procedure or process is followed to understand interested parties requirements?




15. How do you establish the EQHSMS? How do you bring continual improvement in Environment management system in accordance of this international standard?

16.

Have you conducted quality and environmental aspect analysis survey for your all activities? Are all activities and products given in the scope are covered? How do you ensure that all activities are covered? To whom you have included in aspect analysis survey?

17. What is your mechanism for evaluation of impacts of each aspect? Are you having documented information for aspect-impact analysis and risk and opportunities?

18. Have you identified list of significant aspect? Have you done feasibility analysis for such significant aspects?

19. Have you prepared Environmental Aspect Register? Is this register is made available to all employees related to their work areas?

20. Have you communicated significant Environmental aspects, its impact to all your employees within the organization?

21. Have you prepared documented information of legal and other obligations?

22. Are you complying all such requirements of compliance obligations? Have you identified non-conformity related to compliance obligations? Is there any action plan to comply such requirements?

23. Have you have reviewed the applicability of different rules and regulation?

24. Are you having list of applicable and not applicable rules and Acts?

25. How do you ensure that particular rules are not applicable? Are you having any justification for the same?

26. Who is looking for the day-to-day compliance of all such legal requirements?

27.

How do you ensure that all objectives are inline with the requirements of your Quality and environmental and occupational, health and safety policy? Does environment policy includes the framework for setting up the EQHSMS objectives? Where do you documented EQHSMS objectives?

28.

Is there any need to take special care for significant environmental aspects ? In which case the significant environmental aspects are resulted in risk and opportunities? Can you show us such details and what action is taken for the same?

29. What is the mechanism of identification of Environmental Health And Safety Management Programmes? What are the EHSMP at present, frequency of review and identification of new EHSMPs?

30. Have you determined the risks and opportunities related to EQHSMS issues, environmental aspects and compliance obligations? Have you considered potential environment situation?

31. Have you considered significant environmental aspects, compliance obligations and risk and opportunities in framing this objective?

32. Show us documented information of risks and opportunities, environmental aspects, criteria defined for significance, list of significant aspects and action taken.




33.

Is there any documented information for your Quality and environmental and occupational, health and safety policy Statement, objectives and person responsible for it? How do you communicate environment policy and objectives within the organization? Interview few people to ensure it is understood and applied.

34. How and when do you review such objectives for achieving the targets? Have you prepared any plan for the same?

35. Are your objectives committing prevention of pollution?

36. What is the mechanism of identification of risk and opportunities? What is the Quality and environmental and occupational, health and safety plan at present, frequency of review and identification of new plans?

37. Who does routine monitoring and implementation of Quality and environmental and occupational, health and safety plans? How the records of such Quality and environmental and occupational, health and safety plans are maintained?

38. Are you having defined organization structure and responsibility?

39. How do you report to top Management for effective implementation of System?

40. How do you ensure continual improvement in the system?

41.

Do you report to Top Management for effectiveness of Quality and environmental and occupational, health and safety Management System? How do you measure effectiveness of system for working of your Organization? How do you collect necessary information for the same? Are you getting information for corrective action taken on the identified non–compliances and it’s effectiveness for discussion in the management review meeting? What is the frequency of the Management Review Meeting?

42.

How do you plan for management review meeting and who are committee member? Do you circulate agenda for Management review meeting in advance? Do you prepare minutes of Management review meeting with the actions decided in management review meeting? How do you monitor effectiveness of the system? Are you reviewing quality and environmental and occupational, health and safety objectives in the management review? When do you review it?

43. Are you doing follow-up for completion of action decided in Management review meetings? How? What is input and output of Management review meetings?

44.

Does the master list for Documented information and Formats with revision no. Made and communicated to concern person? Show us latest revision of Quality and environmental and occupational, health and safety Manual? How do you maintain master list of page-wise amendment? How do you inform all the persons for changes in any documented information? Who is responsible for approval and control of different types of documented information? Are you changing whole document or page-wise amendment? How do you get information for changes in the documented information / Quality and environmental and occupational, health and safety Manual? How do you inform to the entire concerned person?

45. How documented information is identified for control / uncontrolled and obsolete?

46. Do you preserve obsolete documented information? Where do you preserve it?

47. Do you have list of trained auditors? Who has given training to them as per ISO




9001 AND ISO 14001 AND OHSAS 18001 ? How many days? Have you made audit plan and audit programme? During auditing does the auditor check and monitor results of Objectives reported by the functional heads? Does all the NCR’s communicate to respective function heads? Are they closed? Have you prepared programme for internal audit for whole year? How do auditors carry out internal audit? Explain us how do you use audit checklist? Have you done any audit summary for department-wise / Clause-wise audit findings? How do you close NCR?

48. Do you maintain documented information for the actual audit carried out against audit planned as well as summary of audit done? Where do you maintain such documented information?

49. How do you ensure that all departments are covered for all the clauses applicable to that department are audited in internal audit? How do you see effectiveness of action taken on audit NCR? Where is it recorded?

50. Is the Quality and environmental and occupational, health and safety Policy well understood at all levels? Have you arranged training on Quality and environmental and occupational, health and safety policy?

51. How do you identify maintain and store documented information? Are they legible? Where do you record retention period? How do you establish control for computerized documented information?

52. Who is responsible for control of data? How is it controlled? How do you establish control on computerized data?

53.

Are you taking corrective action for process, product, system and interested parties complaint? When do you take corrective actions? Who review the effectiveness of corrective action taken by concerned department? How do you monitor it? Have you done analysis of audit NCR’s? Based on that have you taken any corrective and preventive action?

54. Show us master copy of format with approval for all the formats and exhibits applicable in EQHSMS area? Have you made Operation Control Plan for different activities affects Environment?

55. Have you prepared job description specification for different level of employees in the Organization? How do you communicate the same to the various employees?

56. Have you made any mechanism for ensuring availability of resources v/s. further requirements? How do you identify resource requirements? How do you fulfill the same?

57.

What kind of communication process is established within the organization? How the communication takes place regarding the effectiveness of Quality and environmental and occupational, health and safety Management System? Have you made any documented information for the same? How is it implemented? How do you maintain documented information of internal as well as external communication?

58. How do you ensure competence of persons performing work affecting the Environment? What kind of infrastructure do you provide? How do you identify and convey your need for the resources?

59. How do you measure effectiveness of training? How do you ensure training given




to the auditor is effective?

60. When do you carry out corrective actions? How do you identify causes of non – compliances? Have you recorded results of actions taken? Where?

61. How do you plan to take actions for significant quality and environmental aspects, compliance obligation?

62.

How do you plan actions to address the risks and opportunities? How do you integrate and implement these actions into its Environment management system processes? Does your plan include how, what, when etc?? Show us such documented information

63.

Have you done any planning for how to achieve the quality and environmental and occupational, health and safety objectives? Does this plan cover what will be done, resource details and responsibilities, target date? How the results are evaluated including indicators for achievement of this objective?

64. Have you establish, implement and maintain a process for potential emergency situations and potential accidents?

65. Have you update risks based on such investigation and opportunities determined during planning? How do you ensure corrective action taken is appropriate to the effects of the Non conformities encountered including environment impact?

66.

How do you improve the suitability, adequacy, and effectiveness of the EQHSMS to enhance environmental and occupational, health and safety performance? Have you determined is there needs or opportunities that are addressed as a part of continual improvement?

67.

Have you update risks based on investigation and opportunities determined during planning? How do you ensure corrective action taken is appropriate to the effects of the Non conformities encountered?

68. How do you improve the suitability, adequacy, and effectiveness of the QMS to enhance performance? Have you determined is there needs or opportunities that are addressed as a part of continual improvement?

69.

Are you doing follow-up for completion of action decided in Management review meetings? How? What is input and output of Management review meetings?

Have you analyzed data for:

a). Customer satisfaction.

b). Product conformities like inspection for incoming, in process and final stage inspection.

c). Process trends and opportunities for the improvement for example yield control, time cycle reduction etc.

d). Suppliers.

70. When do you carry out corrective actions? How do you identify causes of nonconformity? Have you documented results of actions taken? Where? How do you review the effectiveness of the action taken?

71. Have you fixed any action plan for the achievement of Quantifiable criteria? By which data and how it will be achieved? Show us action plan for achieving the




same.

2. Legal and Safety

1. Have you prepared documented information for Rules and Regulation and compliance obligations?

2. Have you conveyed all such applicable legal requirements to concern personnel?

3. How do you ensure that the applicability and non-applicability of legal rules and regulation?

4. Is there any justification of non-applicable legal requirements?

5. How do you update your ROR based on amendments in the legal requirements? What is review mechanism for this?

6. Is your ROR specifies all procedural requirements and its compliance status?

7. Have you made list of licenses and certificates available with you against procedural requirements? Are all such valid to date?

8. What are the non-compliances against legal requirements at present? Have you made any action plan to over come such legal non-compliances?

9. Is there any legal litigation on the Organization? When such issues were raised? Who is looking for all such correspondence and Liasioning work?

10. Are you having list of Personal Protective Equipments? Who looks after Preventive maintenance of PPEs?

11. Have you provided PPEs to all such employees?

12. Are you having list of spare PPEs? Are these spare PPEs covered under Preventive Maintenance?

13. Are you having list of fire extinguishers, HOSE reel, fix hydrant system etc.? Are they covered under Preventive Maintenance?

14. Have you prepared Major Emergency Preparedness Plan? Is the training related to MEP is given to all employees?

15. Have you conducted mockdrill? What are the findings of mockdrill? Show me documented information of Mock drill?

16.

Is there any system followed to get updated information on regular basis to get amendments in such compliance obligations? Who is responsible for the same / How actions are taken to include it in your EQHSMS system? How? How do you plan to take actions for significant environmental aspects, compliance obligation?

17. Have you identified training needs of employees based on mockdrill or emergency situations?

18. What is the frequency of mockdrill? Who arranges mockdrill? Are there any documented information for mock drill?

19. Are you doing testing of pressure vessels / receivers, lifting tools and tackles as per factory Act? Are you having list of such equipments? Show me the list?




20. Is all the above testing is being done through competent person?

21.

Have you determine how these compliance obligations apply to your area? Is there any system followed to include environmental and occupational, health and safety compliance obligations for establishing, implementing, maintaining and continually improving the EQHSMS?

22. Who is responsible to ensure that the legal and other requirements are taken into account in establishing, implementing and maintaining quality and environmental and occupational, health and safety management system?

23.

Does the organization respond to relevant communication on its quality and environmental and occupational, health and safety management system? Is there any documented information of this communication? Do you ensure such communication enables persons to contribute for continual improvement? How

24. Have you externally communicate information relevant to EQHSMS? Show us what kind of communication is done by you externally? Does it cover all information required by all applicable compliance obligations?

25.

Have you established the process to evaluate fulfilment of organizations compliance obligations? At what frequency you evaluate the compliance of organization? Do you have competent person for monitoring and understanding of compliance status?

26.

How do you retain documented information of compliance evaluation results? Show us evidences that you fulfil such requirements against your obligations. What is evaluated for your compliance obligations? What records are maintained for evaluation of compliance?

27. Are you having list of fire extinguishers, HOSE reel, fix hydrant system etc.? Are they covered under Preventive Maintenance?

28.

Have you prepared Major Emergency Preparedness plan? Does it covers fire and accidents? Is the training related to MEP is given to all employees? Have you conducted mock drill? What are the findings of mock drill? Show me records of Mock drill?

29. Have you prepared Major Emergency Preparedness plan? Is the training related to MEP is given to all employees? Is all the above testing is being done through competent person?

3. Training and HR

1. Are you having list of employees? Have you identified personnel doing specific work affects environment?

2. Are such employees are competent to do the same? Are you having documented information of employee’s competence?

3. Have you determine competence of personnel performing work affecting conformity to the product requirements? How? Based on that how do you identify training needs or recruitment of new person for the various levels of employees?

4. What are the parameters covered under competence? Are you having competence chart for the various levels of employees? How do you ensure the competence and are you having annual appraisal to ensure competence of




employee?

5. How do you prevent, or reduce, undesired effects related to risk?

6. How are you maintaining training documented information of all employees?

7. What is the mechanism of identification of training needs of all employees? How do you provide it?

8. Are all employees trained for ISO 14001 AND OHSAS 18001 and ISO 9001 QMS requirements?

9. What are the training provided by you to all employees? Show me your training documented information?

10. Are all employees/ functional heads trained for internal auditor? Are you having list of trained Auditor?

11. How do you plan and impart training? Are you having list of inhouse trainer?

12. Are all employees trained for the Aspect/Impact of their functions?

13. Have you distributed job descriptions to all you employees?

14. Are the Job description specifies clear roles with responsibility and authority of individual?

15. What is the mechanism of providing induction training to new employees?

16. What is your training plan for next six months?

17. Have you ensure that the necessary competence has been achieved? If any areas the competency is not achieved then what action is taken?

18.

Do you provide training or take other actions to achieve the necessary competence? Have you define what is appropriate education, training and experience for different category of persons? Where do you maintain such documented information?

19.

Have you ensure that the necessary competence has been achieved? What actions are taken to acquire the necessary competence? How do you evaluate the effectiveness of action taken for example written test, mock trail, review of effectiveness of training etc? What action was taken to upgrade the competence of people?

20. Are you maintaining appropriate information and documented information of education, training, skills and experience and qualifications as an evidence of competence?

21.

Does the employee aware for what is the implication of not conforming with EQHSMS requirements and for not fulfilling quality and environmental and occupational, health and safety obligations? How do you provide such awareness to all concern persons?

22. What mechanisms if followed by you so that all the personnel are aware for the relevance and importance of their activities and how can they contribute to the achievements of the quality objectives?

23. Can you show us the documented information for the education, skill, experience and training of your various levels of the employees? Who is recently recruited? Does he fulfill you requirements? Show us his degree certificate?




24. Can you show us documented information for annual training as well as routine training? How do you prepare training calendar? Can you show us the same?

25. Do you implement action from risks and opportunities? Have you update risks based on such investigation in documented information?

26. Have you identified any training need for special activity based on multi skill analysis?

27. Do you get timely resources or delay to get resources? What are the steps at the time of un availability of resources?

4. Operation / Production

1. Are you having aspect / impact register of your all-applicable activities? Show me aspect impact register?

2. Is all aspect and its impacts are communicated to all your employees within the department?

3. Are you having list of significant aspects of your department? How the impact evaluation is done for all such aspects?

4. Have you plan, implemented processes as per ISO 9001 AND ISO 14001:2015 QMS and EMS and OHSAS 18001 system Standard? Have you establish the




criteria for the processes and acceptance of product and services in line with your established EQHSMS?

5. What actions are implemented from identified risks and opportunities?

6. Are you having environmental aspects, OHS Hazards, impacts and risk associated register of your all-applicable activities? Show me environmental aspects, OHS Hazards, impacts and risk associated register?

7. Is all aspect, OHS Hazards and its Impacts and Risk associated are communicated to all your employees within the department?

8.

Have you identified operational control points of your activities? Are you having documented operational control plan related environment safety and health issues? Are you maintaining records as per the requirements of operational control plan? Does it covers drinking water verification as well as lux and noise levels? Show me records.

9.

Have you determine how these compliance obligations apply to your area? Is there any system followed to include quality and environmental and occupational, health and safety compliance obligations for establishing, implementing, maintaining and continually improving the EQHSMS?

10. How planning activities are done by you? Is there any plan in your department? How the monitoring and measurement is being done? Are you maintaining documented information of plan progress? Show me documented information.

11. How the significant aspects of your department are taken care?

12. Are you having documented information for all different activities carried out in your departments?

13. Are the documented information is made for all activities carried out by your department? Show me.

14. How did you communicate significant environmental aspects among the various levels and functions of organization?

15. Are documented information communicated to all employees within the department?

16. Are all such losses creates pollution to environment and OHS Hazards? What are the measures taken by you to reduce / remove such losses as well as pollution and Occupational Health Hazards?

17.

Have you identified operational control points of your activities? Are you having documented operational control plan? Are you maintaining documented information as per the requirements of operational control plan? Show me documented information.

18. Have you done material balancing for each products manufactured by you? Are losses identified which are going to effluent or losses through emission etc.?

19. Are all such losses creates pollution to environment? What are the measures taken by you to reduce/remove such losses as well as pollution?

20. Have you done water balancing considering quantity. of input v/s. output water?

21. How do you ensure that proper care is taken for significant environmental aspects and the steps towards reducing its environmental impact?




22. Have you identified risk and opportunity and what action is planned and implemented for the same?

23. Are all employees are aware of all such precautions to reduce environmental impacts? How they become aware? Is there any periodical plan for such things?

24. How do you come to know that the pressure vessels / receivers and lifting tools and tackles are tested as per the factory acts, periodically?

25. Are your employees are aware of fire frightening and use of fire extinguishers?

26. Is access to such fire fighting equipments and personal protective equipments are open? Have you trained all employees for not to block such access way?

27. How are you disposing output wastages generated by your department? Where do you store such wastages?

28. How do you sold chemical contaminated packages? Is there any mechanism to sell such packages after neutralizing it? Are you selling such products to the authorized processor?

29. Are you having list of registered Re-processor/ Re cycler as required under compliance obligation?

30. What do you do for old batteries? How do you dispose it?

31. Who is authorized for periodic disposal of scrap? Are you having method of disposal of all such water / warn- out parts etc.?

32. Are you having material safety data sheet for all Raw Materials and finish products manufactured by you? Are training related to MSDS is given to all employees of your department?

33. Are all employees using personal protective equipments during routine activities?

34. What is the rate of accident? Are you maintaining documented information of accident, near miss etc.? Is there any mechanism for review and analysis of accidents, near miss etc.?

35. Have you defined requirements of temperatures, pressures, and other process parameters during the production, which could directly/ indirectly affects environment?

36. Are you having documented information for plant shut down and start – up?

37. Are you having emergency plant shut down documented information? Is this standard operating procedure is communicated to all employees?

38. Are you having defined and documented processes for each manufacturing activities for all products? Are care of environment is taken in all such processes?

39. What are the associated utilities are used by your department for manufacturing of products? Are there defined documented information for all such utilities?

40. Have you done loss analysis of such utilities, which directly affects environment / resources of your organization?

41. Are aspects identified and impact evaluated for all such utilities? Are you employees aware of all such aspects?

42. How do you come to know that the pressure vessels/receivers and lifting tools




and tackles are tested as per the factory acts, periodically?

43. Are your employees are aware of fire frightening and use of fire extinguishers?

44. Is access to such fire frightening equipments and personal protective equipments are open? Have you trained all employees for not to block such access way?

45. Have you displayed safety slogan and environmental protection slogan through – out the department to create employee awareness?

46. Are you maintaining documented information of communication? Where is such documented information? Show me such documented information.

47. Are you monitoring and measuring the non-compliance observed in routine production activities?

48. Are you having documented information of all such non-compliances and corrective actions taken an all such non – compliances?

49. Are equipments / instruments used by your departments are calibrated? What is your mechanism for calibration?

50. Are you participating in internal audit? What are the requirements of Auditor? Which department did you audit?

51. What you do, if spillages of oil / grease etc. observed through equipments?

52. Are the stability certification is being done for your plant building?

53. Brief your processes to manufacture all products and how do you monitor parameters affecting the Quality and environment?

54. What are the temperature limits and frequency for monitoring it?

55. How do you control filtrate and cake during filtration and washing?

56. What are the losses during distillation Of solvents?

57. Have you defined yield for each product? How you control and monitor for the same?

58. Are you monitoring the scrubber system pH on regular basis? How many scrubbers are not working?

59. Are you recording target for corrective actions for completion of non–compliance?

60. How do you define chemical reaction stages and identified in the aspect?

61. How can you ensure that implemented control of the processes is as per defined criteria? How do you Control planned changes and review the consequences of unintended changes? Who is responsible for the same?

62. What will be your actions when temperature shoots up? What will you do when in process emergency comes out?

63.

How do you ensure that outsourced process is controller or influenced. What type and extent of control or influence is applied to the Process is defined within the EQHSMS for such outsourced process? Have you established system for selection of vendors and outsourced activities and how do you communicate such controls to them?

64. What methods for monitoring, measurement, analysis and evaluation are followed




to ensure valid results?

5. Environment Monitoring Department and ETP plant

1. Are you having Aspect / Impact register for effluent treatment plant, air pollution control system and solid waste management system?

2. Are you having documented instruction, which specifies manner of effluent treatment etc.?

3. Are you having defined operational control points for each stage of effluent treat meant plant?

4. Are you treated effluent matches with the requirements of legal authority as compliance obligations for inlet norms? If not what are the parameters out side the limit?

5. Are you conduction Environment Audit? When do you submit Environment Audit to the authority?

6. Are you submitting Environment statement? When you have submitted the last statement? Show me documented information of Environment statement and Audit?

7. Are you maintaining daily discharged quantity? Show me the documented information.

8. Daily treated effluent quantity discharged by you matches with the GPCB discharged authorized?

9. What are the parameters you monitor for process emission stack? Are all stack heights are as per consent requirements? Are stack emission conforms to the required GPCB norms?

10. Is there any process established by organization for and respond to potential emergency situation?

11.

How do you respond as planning actions to prevent or mitigate adverse environmental impacts from emergency situations? How do you respond to actual emergency situations? Who is responsible for the same? What action is taken to prevent the consequences of emergency situation?

12. Have you establish, implement and maintain a process for potential emergency situations and potential accidents?




6. Stores

1. Have you under gone training related to Material safety date sheet? Are your employees trained for it? Are you having copy of all MSDS of Row materials?

2. Have you defined stack height for raw materials stored by you? What is method of storage and handling through out the stores?

3. Do you know which two categories of chemicals cannot be stored together? What is mechanism of storage of such raw materials? Are your all employees aware of it?

4. Have you prepared Aspect / Impact register? What are the significant aspects of your department?

5. Where do you stare liquid materials? Do you have defined standard operating procedure for loading, unloading and storage for such liquid materials?

6. Where do you store solvents? Are they in open area? Whether “ No smoking “ Board is displayed near solvent storage area?

7. Have you prepared Environmental aspects, OHS Hazards, impacts and risk associated register? What are the significant aspect and OHS Hazards of your department?

8. Where do you store waste oil / grease? Are such covered in Aspect register? What is the method of disposal of such waste oil / grease? To whom do you sold?

9. What is the care taken by you during receipt and issue of the materials from the stores?

10. Are your all raw materials stored on pallets? Is the method for Preserving material adequate? How do you take care for the preservation of materials?

11.

What are the care taken by your during all your activities to prevent pollution? How do you maintain account for job work materials send with gate pass? What types of controls are established to avoid deterioration of Quality of material during storage? What controls are followed for self-life material used?

12. What are the objectives of your department? What is the plan to achieve it? Have your identified any EMP in your department?

13.

Do you maintain proper inspection and test status for materials lying in store area? Which methods are followed for receipt and issue of materials form store? Are you having persons list for the issue of materials for the same? How do you maintain documented information for the issue and receipt of material?




14.

How do you prevent, or reduce, undesired effects related to risk? Have you define a quality risk assessment process? Show me. Have you update risks based on such investigation in documented information? Do you implement action from risks and opportunities?

15. How do you identify uninspected, O.K. & not O.K. materials? How do you inform concern department person for arrival of materials to carry out necessary inspection? How do you control shelf life material?

16. Have you specified minimum inventory level at any place for critical items? Are you involved in raising the indent for follow up of indent for the indent raised by various departments? How do you keep tack for the pending indents?

17.

What is the process approach in your department? What is the input in the various activities done by you? Have you prepared Quantifiable criteria for your department to monitor the effectiveness? How do you monitor it? Have you conveyed the same to the concerned staff members in your departments?

18.

Are you having MSDS for all the chemicals stored in the raw materials stores? How do you take care for the various symbols put on the packing of raw materials and what is the meaning of the same? Have you got any training for the safety issues?




7. Engineering

1.

Are you having preventive maintenance schedule? Are you having defined preventive maintenance checking points for all equipments? Is it based on manufacturer’s suggestions? Are you timely following it? Where is it documented? Are you having equipment history data? Are you maintaining breakdown maintenance data? Are such checkpoints covers the quality and environmental and occupational, health and safety issues considering operating condition?

2. Are you all moving parts covered by moving guard? Are you having any action plan, where the guards are not there? Are you doing using personal protective equipments? Is it verified?

3.

What is the process approach in your maintenance activity? What is the input and output in your various processes of your utilities as well as plants? Have you prepared Quantifiable criteria for your department to monitor the effectiveness? How do you monitor it? Have you conveyed the same to the concerned person like supervisors and workers? What is action plan for achievement of quantifiable criteria? How do you achieve it?

4. Are you following methods for process control and process monitoring on utility equipment? What is the control parameter during the processes?

5.

Have you prepared Aspect / Impact register as well as Hazard and risk records considering your all activities? Are you having any significant aspects? Are you having plans in your department? Do you monitor the progress on such plan? How?

6.

Have you prepared Environmental aspects, OHS Hazards, impacts and risk associated register considering your all activities? Are you having any significant aspect and OHS Hazards? Are you having OHSMP and EMP in your department? Do you monitor the progress on such EMP? How?

7. Where do you store maintenance wastes, waste oil and grease? How do you dispose such waste? To who do you sold waste oil and grease?

8. Where do you store maintenance wastes, waste oil and grease? How do you dispose such waste? To who do you sold waste oil and grease?

9. What are utilities operated and controlled by you? Which type of waste generated during operation of such utilities? Where do you dispose such waste?

10. Are you having aspects / Impacts for all such utilities and waste disposal and your activity? What are your significant aspects and what actions taken for the same??

11. Do you have system of work permit? Who is authorized to issue work permit? Is there any standard operation procedure for such work permitting system?




12. Are you having all PPEs considering type and nature of work done by you? How do you issue such PPEs to your employees?

13. Is there appropriate control of materials, equipment and critical parameters of utility process? How do you monitor and control your processes? Are you maintaining documented information for process control monitoring?

14. Have you attended management review meetings? What was discussion related to your areas? Have you completed actions decided in management review meeting in your area?

15.

Have you define a quality risk assessment process? Show me.

How do you prevent, or reduce, undesired effects related to risk? Do you implement action from risks and opportunities? Have you update risks based on such investigation in documented information?

16. What competence, education and experience are required for your employees? What have your documented it? Based on that any gap is found in your department? How do you maintain the documented information for the same?

17. How do you ensure competence of persons performing work affecting the Quality? What kind of infrastructure do you provide? How do you identify and convey your need your need for the resources?

9. Quality control and laboratory

1.

Are acceptance & rejection criteria specified for different process parameters and product tested by your company? Have you prepared overall inspection test plan covering references of work instruction, acceptance criteria, format and parameters tested for different types of products for incoming, in process and final stage of inspection?

2. Are you inspecting / verifying all the critical products, new developed products or purchased material? How? Any documented information is kept for the same? Are you testing raw materials? How?

3. Have you trained staff for follow up of operating procedures & work instruction of Q.A., Laboratory & test methods for testing of various products? Have you received any test method given by your customer?

4. How do you carry out calibration of laboratory instruments used by your personnel for department testing work? How do you maintain calibration status? How do you control & maintain instruments in your department?

5.

Have you done calibration of equipment like laboratory instruments, weighing balance, etc? Is it traceable to approved national /International standards? If such traceability is not available then is it calibrated against documented method or established methodology?

6.

How do you identify un-inspected, inspected & non-conforming samples in your department? How do you downgrade the materials after lab testing? How do you identify downgrade material? Are you putting remarks for O.K. / not O.K. in the test reports/ who is authorised for the review and approval of test reports?

7. How do you get details for third party inspection or product approval by customers? How do you get information for the statutory and product related regulatory requirements? How do you ensure fulfillment of the same?




8. How do you get information for the customer requirements and ensure its fulfillment? Are you inspecting reprocessed material? Show us documented information?

9. Are you carrying out testing of all the critical incoming material, in process and final stages for each lot? How do you maintain documented information? How do you maintain status of inspection?

10. What action have you taken after receiving customer complaints? How do you analyse customer complaints?

11.

How do you ensure that product has passed through all the inspection & meet customer requirements? How do you carry out final inspection of product to be supplied to different segment like replacement market, defence, exports etc.? Where are you keeping documented information?

12. Have you attended management review meetings? Which was discussion related to your areas? Have you completed actions decided in management review meeting in your area?

13. How do you get special test requirements of customers and how it is carried out? Do you get any test method for testing of product from the customer? How do you follow it?

14.

How do you maintain master list of documented information with retention period? All type of documented information including computerized documented information maintained by you is covered in the master list of documented information? In your all the files record name and format no. (If applicable) is written? Proper document control is established by you?

15. Have you been audited? How many NCR’s given to you? Have you taken actions to close the same?

16. Are you using any subjective criteria for inspection and testing? How do you establish control for the same?

17.

What is the process approach in your department? What is the input and output in your laboratory? Have you prepared Quantifiable criteria for you area? How do you monitor it? Have you conveyed the same to the concerned person? Have you prepared any action plan for the achievement of Quantifiable criteria?

18. How do you carryout process audit?

19. How do you prevent, or reduce, undesired effects related to risk? What is significant environmental aspect in your areas and what action is taken for the same?

20. Have you define a risk assessment process? Show me. Have you covered all issues and periodically monitoring it?

21. What are the things you consider in your department at the time of change in organization?

22. Is there necessary infrastructure and environment in your department for the operation of process?

23. Do you implement action from risks and opportunities?

24. Have you update risks based on such investigation in documented information?




10. Marketing

1. How do you carryout marketing of your product? Are you having agents? How do you select such channel of distribution? Who is authorised for selection of them? Are you having list of approved Dealer / Agent list for the same?

2. Have you prepared your company brochure? Are you having price list? Who approve it? How do you finalize price for the new product?

3. How do you participate in defining requirements for new products? How do you get information for new products? How do you provide information for your product to you customer as well as plant people?

4. Have you define customer expectations & product requirements? How do you communicate it to Design, Manufacturing, Q.C., packing etc?

5.

How do you sale your products? How do you understand requirements related to the products as below:

1. Requirements specified by the customer.

2. Requirements not specified by the customer for intended use.

3. Statutory and regulatory requirements applicable to the product.

4. Any additional requirements considered necessary by the organisation.

Can you show us evidence that above 4 types of requirements is determined, understood before execution of order? How do you ensure your capability for the above requirements? How do you maintain contract review report? How do you keep tract for completion of order and compilation of all such orders?

6.

What are the Quantifiable criteria for your department? How do you monitor it? Have you given any further criteria for your other sales staff? What process approach do you adopt? What is input and output of your department? Have you done any analysis for timely completion of orders or delay is delivery? How do you amend the order?




7. How do you monitor effectiveness of department? Can you show us your action plan for achievement of your quantifiable criteria? How do you monitor your results for achievement of Quantifiable criteria vs. planned action?

8.

How do you know plant capability for manufacture of different types of product? How do you given delivery schedule? Have you done internal contract review any time? Where are contract review report? How do you convey the same to the plant? How do you confirm capability for new product development with the customer as well as convey the same to plant?


10.

How do you handle customer complaints? Any documented information are maintained? When do you close such complaints? How fast you close the customer complaints? Have you done any analysis for customer complaints and warranty claims attended by the company? What corrective actions are taken for the same?

11. How do you convert customer inquiry in to contract? Does the total requirements laid down?


13. How do you identify country specific legal requirements at inquiry or order finalization stages?

14. Have you define a quality risk assessment process? Show me.



17. Who has attended management review meeting? Have you decided any action for your department? How? Does marketing monitor & report customer feedback in management review meeting?

18. How do you maintain documented information in your area ?

19. Have you been audited? How many NCRs are given to you? Have you taken actions to close the same?

20. Have you update risks register based on such investigation in documented information?

21.

How do you determine and implement effective arrangements for communicating customers for product information (List of your brand products), order handling, complaints etc. Have you fixed any timeframe for the effective communication with customer?

22.

How do you measure customer satisfaction? Have you defined methods for the same? Have you analysed such data? Have you taken any corrective action for the same? What is input for customer satisfaction survey? Have you fixed any criteria for customer satisfaction?]




11. Purchase

1. Have you selected vendor and suppliers? Have you prepared Approved Vendor List? What is a selection criterion? Do you maintain documented information for AVL & Vendor selection/ evaluation?

2. How do you prevent, or reduce, undesired effects related to risk for your vendors/subcontractors?



5. Have you prepared any questionnaire for selection of vendor? Can you show the same?

6.

Have you prepared clear specification for all the purchase items? How do you get information on purchasing data form user department? Have you prepared purchase specification for raw materials and are you referring the same document in the purchase order? How are you getting details for the spares and hardware and job work items? How are you getting specification for the same? How do you give codification for part number?

7. Have you made agreement for quality assurance with your subcontractor? Have you established any control on them? How do you select subcontractor for job contract? How do you establish control on them?

8. Can you show me documented information for the trial run or sample approval for the vendor selection/evaluation?

9.

How do you ensure that outsourced process is controller or influenced. What type and extent of control or influence is applied to the Process is defined within the EQHSMS for such outsourced process? Have you established system for selection of vendors and outsourced activities and how do you communicate such controls to them?




10. Have you done periodic evaluation and vendor rating of your supplier? Which items are included for the same?

11. How do you carry out cash purchase? Who is authorised to purchase against letter of indent?


13. Who is reviewing and approving purchase order for adequacy of the specified requirements prior to release? Where is the list of authorised person for the same?

14. How do you carry out purchase of service like labour contract, calibration of instrument, transport etc.? Do you prepare P.O.? Contract / work order for the same?

15. Are you going to vendor’s place for inspection of the product and are you conveying vendors for test certificate requirement as required by you?

16.

How do you keep track for requirement vs. purchase order release vs. materials receipt and monitor your purchase activity? How do you keep track for pending requirements and describe purchase order cancellation procedure? How do you keep track for pending purchase order? How do you amend the purchase order? Show us documented information?

17. Are you using any vendor’s standard documents or master sample and who is controlling the same?

18. Do you Out sourced any of the processes?

19. How do you control the subcontracted processes?

20. Have you been audited? How many NCR’s are given to you? Have you take actions to close the same?


22. Have you attended management review meetings? What was discussion related to your areas? Have you completed actions decided in management review meeting in your area?

23. Have you documented job description with authority and responsibility to all the concerned persons in your department?

24.

What is the process approach in your department? What is the input and output in your various activities done by you? Have you prepared Quantifiable criteria for your department to monitor the effectiveness? How do you monitor it? Have you conveyed the same to the concerned person staff members in your department? What is action plan for achievement of quantifiable criteria? By which data? What is action plan for the same?

25.

What kind of communication process is established within the organisation? How the communication takes place regarding the effectiveness of Quality Management System? Have you made any documented information for the same? How is it implemented?




12. Packing and Despatch

1. Are you putting identification label as per contract made with customer?

2. How do you prevent, or reduce, undesired effects related to risk for packing and dispatch activity?

3. Are you control-packaging materials and follow same packing method as per agreement with customer?

4. Are you inspecting and testing the packing materials? Show the documented information of same.


6. How do you get information for packing and despatch of different types of products?

7. How do you get carrying out a blending of materials? Are you inspecting the blended lot? What is the system of giving the lot number?

8. How do you get information from the Q.C for the inspection test status and who is authorised to release the materials based on final inspection and testing? How are you getting the information for lot ready for despatch?

9. How do you get information for customer requirements for example packing materials, Shipping mark, Packing weight etc.? How do you establish proper control for the same? What care is taken for the same?

10. Have you define a risk assessment process? Show me.


12. Are adequate instructions provided for packing and how do you take care for quality of materials for delivery to destination or customer’s place.

13. What cares are taken for product quality during packing?




14. How do you control and store materials in the packing area? Have you identified areas for storage of different materials? How do you maintain stock for the same?

15. What is input to your department? What is output from your department? Have you identified any Quantifiable criteria? How do you monitor the same?

16. What are the things you consider in your department at the time of change and what is the change management process followed by you?


13. Research and development

1. How do you get information for the new R & D work and product or process related design and development work? Are you carrying out any design and development planning?


3. How do you identify various design and development stages covering design review, verification and validation? How do you maintain he documented information for the same?

4. How do you carryout interfaces with different department for R & D work? How do you assign responsibility for R & D work to various team members?

5.

How do you get input for the design and development activities? Where do you maintain documented information for the new products as well as application related changes in the existing product or input for all the modification projects? How do you document design input?

6.

Have you define risk assessment process? Show me? What are the risk and opportunity related to your activities? What are the issues related to your processes? Have you linked the issues with risk and identified mitigation plans for the same??

7. What are the things you consider in your department at the time of change and how change management is followed by you?


9. Are you considering all the statutory and regulatory requirements like use of Banned products, process limitation, and Maximum pressure limits? ASTM or IS standards? Where of you maintain the documented information for the same?

10. How do you make design calculations? How so you document design outputs?




11. How do you plan for trial production, R & D experiments and new jig development during R & D stage? Where do you maintain the documented information? How do you monitor performance of the trial run?

12.

Hoe do you document design output covering information related to purchase, production etc. Where do you document acceptance criteria for the products? How do you ensure product application for example paper, textile, plastic etc. for the various pigments developed by you?

13.

Where do you document stages of design review in the design plan? How do you carry out design review? Who are the team members for the design review? Are you making any action plan? Where do you document information results of review?

14. How do you carry our design and development verification? Before releasing the product from laboratory are you documenting product specification in documented form? How do you monitor the same?

15. How do you validate the design? Where do you maintain the documented information for the same?


17. What is the different document generated from your departments? How do you establish control for design and development changes?

18.

What is the process approach made by you? What is input to your department? What is output from your department? How do you monitor your quantifiable criteria? How do you analyse results? What is action plant for achieving the same?

19. When do you take corrective actions for the effect of the potential problems? How do you determine potential nonconformities and their causes? How do you document information results of action taken?





14. Top Management (CEO/Director)

1.

How do you demonstrate leadership & commitment with EQHSMS? How are you involved in formulation of Quality & environment policy and Objectives? Does the EQHSMS objectives are in line with strategic direction of the organization? How do you provide evidence of your commitment to the development and implementation of the Quality Management System and continually improving its effectiveness?

2.

How do you make your Quality Policy? How do you demonstrate leadership & commitment with EQHSMS? How? Have you documented your Quality Policy objectives? Where? How do you ensure that it is implemented by all the employees? Does the QMS objectives are in line with strategic direction of the organization?

3. Have you determine external and internal issues in the Quality management system (QMS) and EMS? Does this issues are relevant to its purpose and ability to achieve intended outcome of QMS and EMS?

4. Have you determine the boundaries and applicability of the Environment management system and Quality management system?

5.

Have you considered the context of the organization’s overall business activities and issues and quality and environmental and occupational, health and safety and other conditions affected by your activities? Based on that have you identified risk and opportunity and what actions are planned? What is your next 5 years vision and to achieve goals how do you see organization commitment for Quality and Environmental and occupational, health and safety management system?

6. What is your next 5 years vision and to achieve such goals how do you see organization commitment for quality and environmental and occupational, health and safety management system?

7. How do you ensure the integration of the Environment management system




requirement with the organization Processes?

8.

How do you ensure resources related to Environment management systems (EQHSMS) are available? If any resources are lacking then how is it provided? What is a formal process for getting approval of resources? How do you carry out capacity planning and budget approval for resources related to Environment management system?

9.

Have you define any growth rate %? How do you see future of your industries? What will be company’s role in your industry? What is your future plan? How do you identify training need for senior personnel? How do you give feedback for new product development to R & D? How do you get such information?

10. What are the needs and expectations of interested parties in Quality and Environment management system? What procedure or process is followed to understand interested parties requirements?

11.

Are regular Management Review Meetings held to review EQHSMS system? How Many management review meetings are held? Any agenda or circular for the same? How do you review effectiveness of system with respect to Quality and Quality and environmental and occupational, health and safety objectives and ISO: 9001 as well as ISO 14001 AND OHSAS 18001 requirements? Do you receive any report from HOD for review on effectiveness of system? Which points are discussed in Management Review Meeting?

12. How do you establish the EQHSMS? How do you bring continual improvement in Environment management system in accordance of this international standard?

13. How do you communicate the importance of effective Environment management system implementation and benefits? What are the methods followed for communication?

14. How do you ensure EQHSMS achieves its intended outcome?

15.

How many people are directing and supporting to contribute the effectiveness of EQHSMS system? Have you provided EQHSMS Supporting Team? Who is authorized to take EQHSMS related key decision and is responsibilities defined for them?

16. How do you promote continual improvement for EQHSMS?

17.

What are the roles of the other areas of management? How do you support and demonstrate leadership for EQHSMS? How do you demonstrate your leadership and commitment for ISO 9001 AND ISO 14001 AND OHSAS 18001 EQHSMS system?

18. Have you assigned and communicated job description including responsibilities and authorities for roles relevant to EQHSMS? How?

19. Have you establish, implement and maintain process for EQHSMS planning? Can you explain how it is followed?

20. Have you considered significant environmental aspects, compliance obligations and risk and opportunities in framing these objectives?

21.

Is there Quantifiable objectives defined from Quality Policy? How do you measure Quality Policy objectives? Where? Is it supported with objective evidence? What are the prime objectives for going for ISO 9001:2015 Quality Management System and ISO 9001 AND ISO 14001 AND OHSAS 18001? What is your




experience after implementing ISO: 9001 and ISO 14001 AND OHSAS 18001 systems in last four months?

22. How do you ensure that organization has continually improved the adequacy and suitability and effectiveness of EQHSMS?

23.

How do you ensure customer requirement are determined (Stated product related, Application related or intended use, statutory and regulatory and additional) and met with the aim of enhancing customer satisfaction as a part of customer focus? How do you communicate the same to all the employees?

24.

How do you get information for requirement of resources? Does management provided adequate resources for installation of Quality Management System like (1). Human resources (Competence, awareness and training) (2) Skills (3) Infrastructure (Building, workspace, Machinery, storage’s area, supporting cervices etc. (4) Inspection & test equipment (5). Work Environment.

25. Are you reviewing the status of issues and implemented actions on risk as well as updating based on any changes in the management review meetings?

15. General (common questions for all functional heads)

1.

What are the aspects / Impacts and OHS Hazards / Risk associated of your department? Are you having register of aspects / Impacts and OHS Hazards / Risk associated? Which are the significant aspect and OHS Hazards of your department? Have you made Environmental Health And Safety?

2. What is the mechanism of evaluation of significant aspects and risk related to OHSA? Where it is documented?

3. What are the quality and environmental and occupational, health and safety objectives? Are you monitoring objectives? Are you maintaining objectives of your department?

4.

What are the waste generation points in your department? Have you made any efforts to control such waste? What is method of disposing such waste? Are you neutralizing such waste before disposal? Is there any standard operation procedure for disposal of waste?

5. What are the processes carried out in your department, which directly or indirectly affects environment?

6. Are all activities of your department covered in the Aspect analysis and OHS Hazard analysis?

7. Have you trained all employees of your department for Quality and environmental and occupational, health and safety Management system?




8. What is the mechanism of receipt, review, analysis and closing of complaints received from interested parties?

9.

How do you receive any non-compliance observed in your department? How do you review analysis and take actions, corrective and preventive actions on it? Are maintaining documented information or it? Show me such documented information.

10. What are the legal rules and compliance obligations applicable to your department? Are you complying with all such requirements? What is the action plan to achieve such legal requirements?

11.

Have you identified operation control points for all processes operated by you? Is there any operational control plan for the same? How do you monitor and measure such operational control points? Are you having documented information for the same? Show me such documented information.

Documents

Department wise ISO 14001-2015 EMS and ISO 9001-2015 …greenworld-elearning.com/XML/LM_178/Files/Reference4.pdf · Department wise ISO 14001-2015 EMS and ISO 9001-2015 and OHSAS