/** * Integrated Management System (ISO 9001 + ISO 14001 + ISO 45001) seed for clause_library. * Taken from the Form 04-2a IMS Word reports in ../samples: * IMS_Stage1 _Audit Report.docx -> readiness list (Stage 1) * IMS_Stage2_Surveillance_Recert_Report final.docx -> full clause table + sections 10-13 * Seeded under standards.id 1 ("ISO 9001, 14001 & 45001"); also used by the COMBINED report of an audit booked for * two or more of these standards (see report.standards.ts, library_standard_id). * Several clause numbers appear twice (6.1.2 EMS / 6.1.2 OH&S, 8.2 QMS / 8.2 EMS+OH&S ...): the code carries a suffix * so the row is unique, and `title` holds the number that is printed. * default_evidence = the wording shown when the auditor marks a row C. Format: "• " bullets, **bold**. */ import type { SeedRow } from './iso9001.seed'; const C4 = 'Clause 4. Context of the Organization'; const C5 = 'Clause 5. Leadership'; const C6 = 'Clause 6. Planning'; const C7 = 'Clause 7. Support'; const C8 = 'Clause 8. Operation'; const C9 = 'Clause 9. Performance Evaluation'; const C10 = 'Clause 10. Improvement'; const PERF = 'Management System Effectiveness — Core Elements Verification (QMS / EMS / OH&S)'; const DOCREF = 'Doc. Ref. / Rev. / Date: ______________________________\n\n'; export const IMS_FULL_CLAUSES: SeedRow[] = [ { group_key: 'clause', code: '4.1', heading: C4, title: '', requirement: 'Understanding the organization and its context — external and internal issues relevant to the purpose and strategic direction that affect the ability of the IMS to achieve its intended results, determined, monitored and kept under review.', default_evidence: 'During the audit, it was verified that the organization has determined, monitors and reviews the external and internal issues relevant to its purpose and strategic direction that affect its ability to achieve the intended results of the Integrated Management System, including environmental conditions and OH&S related issues.\n\nUnderstanding Context of Organization' }, { group_key: 'clause', code: '4.2', heading: C4, title: '', requirement: 'Understanding the needs and expectations of interested parties — incl. customers, workers and other interested parties (ISO 45001), regulators and external providers; relevant requirements determined, incl. those that become legal and other requirements / compliance obligations.', default_evidence: 'During the audit, it was noted that the organization had identified its interested parties (customers, workers, regulators, external providers and the community) and their needs and expectations, and determined which of these become legal and other requirements / compliance obligations.\n\nNeeds & Expectations of Interested Parties' }, { group_key: 'clause', code: '4.3', heading: C4, title: '', requirement: 'Determining the scope of the IMS — boundaries and applicability determined for each standard, incl. justification for any ISO 9001:2015 requirement determined as not applicable; scope maintained as documented information and available to interested parties.', default_evidence: 'During the audit, the organization has defined the scope and boundaries of its Integrated Management System for each standard, including the justification for any ISO 9001:2015 requirement determined as not applicable. The scope is maintained as documented information and is available to interested parties.\n\nIMS Manual / Scope Statement' }, { group_key: 'clause', code: '4.4', heading: C4, title: '', requirement: 'Management system and its processes — IMS established, implemented, maintained and continually improved, incl. the processes needed, their sequence and interaction, criteria and methods, resources, responsibilities, risks and opportunities, and evaluation and improvement of processes.', default_evidence: 'During the audit, the organization demonstrated that the processes needed for the Integrated Management System, together with their sequence and interaction, criteria and methods, resources and responsibilities, have been identified, documented, implemented and maintained, and are continually improved.' }, { group_key: 'clause', code: '5.1', heading: C5, title: '', requirement: 'Leadership and commitment — top management demonstrates leadership and commitment, takes accountability for IMS effectiveness, integrates requirements into business processes, promotes risk-based thinking and customer focus (ISO 9001, 5.1.2), protects workers from reprisals (ISO 45001), and supports continual improvement.', default_evidence: 'During the audit, it was observed that top management demonstrated leadership and commitment to the Integrated Management System, took accountability for its effectiveness, integrated the IMS requirements into the organization’s business processes, promoted customer focus and risk-based thinking, supported the consultation and participation of workers, and provided the necessary resources.' }, { group_key: 'clause', code: '5.2', heading: C5, title: '', requirement: 'Quality, environmental and OH&S policies — established, documented, communicated, understood and applied; appropriate to purpose and context; incl. commitments to satisfying applicable requirements, protection of the environment and prevention of pollution (ISO 14001), safe and healthy working conditions, eliminating hazards and reducing OH&S risks, consultation and participation of workers (ISO 45001), and continual improvement; available to interested parties.', default_evidence: 'Top management has established, documented and communicated the Quality, Environmental and OH&S Policy (integrated). The policy is appropriate to the purpose and context of the organization and includes the commitments required by each standard: satisfying applicable requirements, protection of the environment and prevention of pollution, safe and healthy working conditions, elimination of hazards and reduction of OH&S risks, consultation and participation of workers, and continual improvement. It is available to interested parties.' }, { group_key: 'clause', code: '5.3', heading: C5, title: '', requirement: 'Organizational roles, responsibilities and authorities — assigned, communicated and understood at all levels; responsibility and authority for ensuring conformity and for reporting on IMS performance to top management.', default_evidence: 'During the audit, it was verified that the organizational chart, job descriptions and IMS responsibility matrix are established and communicated, and that the responsibilities and authorities for relevant roles within the Integrated Management System are assigned and understood, including reporting on IMS performance to top management.' }, { group_key: 'clause', code: '5.4', heading: C5, title: '', requirement: 'Consultation and participation of workers (ISO 45001) — processes for consultation and participation of workers at all applicable levels and functions in the development, planning, implementation, performance evaluation and improvement of the OH&S MS, with barriers removed and emphasis on non-managerial workers.', default_evidence: 'During the audit, the OH&S committee minutes, worker consultation records and toolbox talk records were reviewed. The organization has established processes for the consultation and participation of workers at all applicable levels and functions, including non-managerial workers, in the development, planning, implementation, performance evaluation and improvement of the OH&S management system.' }, { group_key: 'clause', code: '6.1.1', heading: C6, title: '', requirement: 'Actions to address risks and opportunities — General: risks and opportunities determined considering context (4.1), interested parties (4.2) and the scope of the IMS; actions planned, integrated into IMS processes and evaluated for effectiveness.', default_evidence: 'During the audit, the Risk and Opportunity Register was made available for verification. The organization has established criteria for assessing risks and opportunities based on probability and impact, considering its context, interested parties and the scope of the IMS. Identified risks were assessed in accordance with the established criteria, with appropriate controls and actions identified and integrated into the IMS processes.' }, { group_key: 'clause', code: '6.1.2-EMS', heading: C6, title: '6.1.2', requirement: 'Environmental aspects (ISO 14001) — aspects of activities, products and services that the organization can control or influence, and their associated impacts, determined considering a life cycle perspective; criteria applied to determine significance; significant environmental aspects communicated and maintained as documented information.', default_evidence: 'During the audit, the Environmental Aspects and Impacts Register was reviewed. The organization has identified the environmental aspects of its activities, products and services that it can control or influence and their associated impacts, considering a life cycle perspective. Significant aspects were determined using the established significance criteria, communicated and maintained as documented information.' }, { group_key: 'clause', code: '6.1.2-OHS', heading: C6, title: '6.1.2', requirement: 'Hazard identification and assessment of risks and opportunities (ISO 45001) — ongoing and proactive hazard identification covering routine and non-routine activities and situations, human and social factors, past incidents and potential emergency situations; OH&S risks and opportunities assessed using defined methodology and criteria.', default_evidence: 'During the audit, the Hazard Identification and Risk Assessment (HIRA) records were reviewed. Hazards are identified on an ongoing and proactive basis for routine and non-routine activities and situations, including human and social factors, past incidents and potential emergency situations, and OH&S risks and opportunities are assessed using the defined methodology and criteria.' }, { group_key: 'clause', code: '6.1.3', heading: C6, title: '', requirement: 'Compliance obligations / legal and other requirements (ISO 14001 / ISO 45001) — determined, accessed, kept up to date and taken into account within the IMS; how they apply to the organization determined and maintained as documented information.', default_evidence: 'During the audit, the Legal & Other Requirements / Compliance Obligations Register was reviewed. Environmental and OH&S legal and other requirements have been determined, are accessible and kept up to date, their application to the organization has been determined and they are taken into account within the IMS. The register is maintained as documented information.' }, { group_key: 'clause', code: '6.1.4', heading: C6, title: '', requirement: 'Planning action (ISO 14001 / ISO 45001) — actions to address significant environmental aspects, hazards and OH&S risks, compliance obligations, and risks and opportunities, integrated into IMS and business processes and evaluated for effectiveness.', default_evidence: 'During the audit, it was verified that actions to address the significant environmental aspects, hazards and OH&S risks, compliance obligations and risks and opportunities have been planned, integrated into the IMS and business processes, and that the method of evaluating their effectiveness has been determined.' }, { group_key: 'clause', code: '6.2', heading: C6, title: '', requirement: 'Objectives and planning to achieve them — quality, environmental and OH&S objectives established at relevant functions and levels; measurable (where practicable), monitored, communicated and updated; plans define what will be done, resources required, responsibilities, timeframes and how results will be evaluated, incl. indicators for monitoring progress.', default_evidence: 'During the audit, the Quality, Environmental and OH&S Objectives were established at relevant functions and levels, consistent with the policy, measurable, monitored and communicated. Planning actions for achieving these objectives (what will be done, resources, responsibility, timing, evaluation of results and indicators) were available.' }, { group_key: 'clause', code: '6.3', heading: C6, title: '', requirement: 'Planning of changes (ISO 9001) — changes to the QMS carried out in a planned manner, considering the purpose of the change and its potential consequences, the integrity of the system, availability of resources, and allocation or reallocation of responsibilities and authorities.', default_evidence: 'During the audit, the organization demonstrated that arrangements for planning changes to the IMS have been established through the Management of Change Procedure, which addresses the purpose and potential consequences of changes, the integrity of the system, resources, and responsibilities and authorities.\n\nNo significant changes requiring implementation under the procedure were identified during the audit period; therefore, no implementation records were applicable for verification.' }, { group_key: 'clause', code: '7.1', heading: C7, title: '', requirement: 'Resources — determination and provision of the resources needed for the establishment, implementation, maintenance and continual improvement of the IMS, incl. people, infrastructure, environment for the operation of processes and organizational knowledge (ISO 9001).', default_evidence: 'The organization determines and provides the resources needed to establish, implement, maintain and continually improve the Integrated Management System, including people, infrastructure, environment for the operation of processes, monitoring and measuring resources and organizational knowledge.' }, { group_key: 'clause', code: '7.1.5', heading: C7, title: '', requirement: 'Monitoring and measuring resources (ISO 9001) — resources suitable for the type of monitoring and measurement and maintained; measurement traceability where required: calibration or verification against traceable standards, identification of status, and safeguarding from adjustment, damage or deterioration.', default_evidence: 'During the audit, the equipment list and calibration records were reviewed and confirm that the monitoring and measuring resources are suitable for the type of monitoring and measurement, calibrated or verified at specified intervals against traceable standards, identified, and safeguarded from adjustment, damage or deterioration.' }, { group_key: 'clause', code: '7.2', heading: C7, title: '', requirement: 'Competence — necessary competence of persons whose work affects IMS performance determined; competence ensured on the basis of appropriate education, training or experience; actions taken to acquire competence and their effectiveness evaluated; documented information retained as evidence.', default_evidence: 'During the audit, competence records for the personnel affecting the performance of the Integrated Management System were reviewed. Training records, qualifications, legally required training certificates and evidence of competence were available and confirm that the necessary competence is determined and maintained, and that the effectiveness of training is evaluated.' }, { group_key: 'clause', code: '7.3', heading: C7, title: '', requirement: "Awareness — persons doing work under the organization's control are aware of the policies and relevant objectives, significant environmental aspects and OH&S hazards relevant to their work, their contribution to the effectiveness of the IMS, and the implications of not conforming, incl. the ability to remove themselves from situations of imminent and serious danger (ISO 45001).", default_evidence: 'During the audit, personnel interviewed demonstrated awareness of the IMS policy and objectives, the significant environmental aspects and OH&S hazards relevant to their work, their contribution to the effectiveness of the IMS, the implications of not conforming, and their ability to remove themselves from work situations that present an imminent and serious danger.' }, { group_key: 'clause', code: '7.4', heading: C7, title: '', requirement: 'Communication — internal and external communications relevant to the IMS determined: what, when, with whom and how to communicate; legal and other requirements taken into account; communicated information consistent with information generated within the IMS and reliable.', default_evidence: 'During the audit, the Communication Procedure and communication matrix were reviewed. The organization has determined the internal and external communications relevant to the IMS (what, when, with whom and how), taking its legal and other requirements into account. Evidence of communications (meeting minutes, notice boards, toolbox talks, e-mails) was retained.' }, { group_key: 'clause', code: '7.5', heading: C7, title: '', requirement: 'Documented information — creation, updating and control (identification and description, format and media, review and approval, availability and suitability for use, protection, distribution, access, retrieval and use, storage and preservation, control of changes, retention and disposition), incl. documented information of external origin.', default_evidence: 'During the audit, the Control of Documented Information Procedure and the master list of documents and records were reviewed. Creation, updating, approval, distribution, access, storage, retention and disposition of documented information, including documents of external origin, are controlled for all three standards.' }, { group_key: 'clause', code: '8.1', heading: C8, title: '', requirement: 'Operational planning and control — processes needed to meet IMS requirements planned, implemented, controlled and maintained; operating criteria established; planned changes controlled and consequences of unintended changes reviewed; outsourced processes controlled or influenced; a life cycle perspective applied, incl. environmental requirements in design, procurement and communication of requirements to external providers, and consideration of end-of-life information (ISO 14001).', default_evidence: 'During the audit, the operational control procedures and records were reviewed. The organization has established operating criteria and controls for its processes, including those associated with significant environmental aspects, controls planned changes and reviews the consequences of unintended changes, and controls or influences outsourced processes. Environmental requirements are considered in design and procurement and communicated to external providers, considering a life cycle perspective.' }, { group_key: 'clause', code: '8.1.2–8.1.4', heading: C8, title: '', requirement: 'Eliminating hazards and reducing OH&S risks (ISO 45001) — hierarchy of controls applied; management of change: planned temporary and permanent changes reviewed for their impact on OH&S; procurement: control of procured products and services, coordination of activities with contractors, and control of outsourced functions and processes.', default_evidence: 'During the audit, it was verified that OH&S risk controls are determined following the hierarchy of controls (elimination, substitution, engineering controls, administrative controls, PPE), that planned temporary and permanent changes are reviewed for their impact on OH&S through the Management of Change Procedure, and that procured products and services, contractor activities and outsourced processes are controlled and coordinated.' }, { group_key: 'clause', code: '8.2-QMS', heading: C8, title: '8.2', requirement: 'Requirements for products and services (ISO 9001) — customer communication; determination and review of requirements for products and services, incl. delivery and post-delivery activities and applicable statutory and regulatory requirements; changes to requirements controlled and communicated.', default_evidence: 'During the audit, sampled enquiries, quotations, orders and contracts were reviewed and confirm that customer requirements, including delivery and post-delivery activities and applicable statutory and regulatory requirements, are determined and reviewed before commitment, and that changes to requirements are controlled and communicated.' }, { group_key: 'clause', code: '8.2-EMS-OHS', heading: C8, title: '8.2', requirement: 'Emergency preparedness and response (ISO 14001 / ISO 45001) — processes established to prepare for and respond to potential emergency situations; planned response actions to prevent or mitigate impacts and risks; periodic testing and exercising of planned responses; review and revision after tests or occurrences; information and training provided to relevant interested parties, incl. workers and contractors.', default_evidence: 'During the audit, the Emergency Preparedness and Response Plan, drill records, fire-fighting equipment inspection records and first-aid arrangements were reviewed. Potential environmental and OH&S emergency situations have been identified, planned responses are periodically tested, the plan is reviewed after tests or occurrences, and relevant information and training are provided to workers and contractors.' }, { group_key: 'clause', code: '8.3', heading: C8, title: '', requirement: 'Design and development of products and services (ISO 9001, where applicable) — design and development planning, inputs, controls (reviews, verification, validation), outputs, and control of design and development changes, with documented information retained.', default_evidence: 'During the audit, design and development records (where applicable) were reviewed and confirm that planning, inputs, controls (reviews, verification, validation), outputs and changes are documented and that design outputs meet the input requirements prior to release.' }, { group_key: 'clause', code: '8.4', heading: C8, title: '', requirement: 'Control of externally provided processes, products and services (ISO 9001) — evaluation, selection, monitoring of performance and re-evaluation of external providers based on their ability to provide conforming processes, products and services; type and extent of control determined; adequacy of information communicated to external providers ensured.', default_evidence: 'During the audit, the approved supplier list, supplier evaluation and re-evaluation records and purchase orders were reviewed and confirm that external providers are evaluated, selected, monitored and re-evaluated based on their ability to provide conforming processes, products and services, with the type and extent of control determined and requirements communicated to them.' }, { group_key: 'clause', code: '8.5', heading: C8, title: '', requirement: 'Production and service provision (ISO 9001) — controlled conditions incl. documented information and work instructions, suitable equipment, monitoring and measurement, process validation where output cannot be verified, identification and traceability, property belonging to customers or external providers, preservation, post-delivery activities, and control of changes.', default_evidence: 'During the audit, records of production and service provision were reviewed and confirm that products and services are provided under controlled conditions, including work instructions, suitable equipment, monitoring and measurement, identification and traceability where required, care of customer property, preservation, post-delivery activities and control of changes.' }, { group_key: 'clause', code: '8.6', heading: C8, title: '', requirement: 'Release of products and services (ISO 9001) — planned arrangements verified at appropriate stages; release not proceeding until arrangements are satisfactorily completed unless approved by relevant authority/customer; documented evidence of conformity and traceability to the person(s) authorizing release.', default_evidence: 'During the audit, inspection and release records were reviewed and confirm that the planned arrangements are verified at appropriate stages before release, with documented evidence of conformity to the acceptance criteria and traceability to the person(s) authorizing the release.' }, { group_key: 'clause', code: '8.7', heading: C8, title: '', requirement: 'Control of nonconforming outputs (ISO 9001) — outputs not conforming to requirements identified and controlled to prevent unintended use or delivery; correction, segregation, containment, return or suspension, customer notification and concessions as applicable; documented information retained.', default_evidence: 'During the audit, the Control of Nonconforming Outputs Procedure and the nonconformity records were reviewed and confirm that outputs not conforming to requirements are identified and controlled to prevent their unintended use or delivery, with correction, segregation, customer notification or concession applied as applicable and re-verification recorded.' }, { group_key: 'clause', code: '9.1.1', heading: C9, title: '', requirement: 'Monitoring, measurement, analysis and evaluation — what needs to be monitored and measured determined, incl. methods, criteria and appropriate indicators; when monitoring and measuring shall be performed and when results shall be analysed and evaluated; calibrated or verified equipment used and maintained; IMS performance and effectiveness evaluated with documented information retained.', default_evidence: 'During the audit, the monitoring and measurement records and performance indicators were reviewed. The organization has determined what needs to be monitored and measured, the methods, criteria and indicators and the timing of monitoring and analysis. Calibrated / verified equipment is used and the results are analysed and evaluated to assess the performance and effectiveness of the IMS.' }, { group_key: 'clause', code: '9.1.2-QMS', heading: C9, title: '9.1.2', requirement: "Customer satisfaction (ISO 9001) — customers' perceptions of the degree to which their needs and expectations have been fulfilled monitored; methods for obtaining, monitoring and reviewing this information determined (e.g. surveys, feedback, complaints, meetings).", default_evidence: 'During the audit, the customer satisfaction survey results and the customer feedback and complaints register were reviewed and confirm that customer perception is monitored at planned intervals, with results analysed and retained as documented information.' }, { group_key: 'clause', code: '9.1.2-EMS-OHS', heading: C9, title: '9.1.2', requirement: 'Evaluation of compliance (ISO 14001 / ISO 45001) — processes established to evaluate fulfilment of compliance obligations / legal and other requirements; frequency determined; compliance evaluated and action taken if needed; knowledge and understanding of compliance status maintained; documented information retained as evidence.', default_evidence: 'During the audit, the compliance evaluation records were reviewed. The organization has established the frequency of evaluating its environmental and OH&S legal and other requirements / compliance obligations, has evaluated compliance and taken action where needed, and maintains knowledge and understanding of its compliance status. Results are retained as documented information.' }, { group_key: 'clause', code: '9.1.3', heading: C9, title: '', requirement: 'Analysis and evaluation (ISO 9001) — data and information arising from monitoring and measurement analysed and evaluated to assess conformity of products and services, customer satisfaction, IMS performance, effectiveness of planning and of actions on risks and opportunities, performance of external providers, and the need for improvements.', default_evidence: 'During the audit, it was verified that the data arising from monitoring and measurement is analysed and evaluated to assess the conformity of products and services, customer satisfaction, IMS performance, the effectiveness of planning and of the actions taken on risks and opportunities, the performance of external providers and the need for improvement. The results are an input to the management review.' }, { group_key: 'clause', code: '9.2', heading: C9, title: '', requirement: 'Internal audit — conducted at planned intervals per the audit programme(s), considering the importance of processes, changes and previous audit results; audit criteria and scope defined; auditors selected to ensure objectivity and impartiality; results reported to relevant management; corrections and corrective actions taken without undue delay; documented information retained.', default_evidence: 'During the audit, the Internal Audit Procedure, audit programme, audit plan, checklist and internal audit report covering all three standards were reviewed. Internal audits are conducted at planned intervals by trained auditors, the audit criteria and scope are defined, objectivity and impartiality are ensured, results are reported to the relevant management and nonconformities are addressed through corrective action.' }, { group_key: 'clause', code: '9.3', heading: C9, title: '', requirement: 'Management review — top management reviews the IMS at planned intervals to ensure continuing suitability, adequacy and effectiveness; required inputs addressed (status of previous actions, changes in issues and requirements, performance trends incl. customer satisfaction, objectives, audit results, compliance evaluation, consultation and participation of workers, adequacy of resources, risks and opportunities); outputs incl. improvement decisions, changes needed and resource needs; documented information retained.', default_evidence: 'During the audit, the Management Review minutes were reviewed. Top management reviews the Integrated Management System at planned intervals. The inputs addressed the status of previous actions, changes in issues and requirements, performance trends including customer satisfaction, objectives, audit results, compliance evaluation, consultation and participation of workers, adequacy of resources and risks and opportunities; the outputs include decisions on improvement, changes to the IMS and resource needs. Records are retained.' }, { group_key: 'clause', code: '10.1', heading: C10, title: '', requirement: 'Improvement — General: opportunities for improvement determined and necessary actions implemented to meet customer requirements and enhance customer satisfaction (ISO 9001), and to achieve the intended outcomes of the environmental and OH&S management systems.', default_evidence: 'During the audit, it was verified that the organization determines opportunities for improvement from the results of analysis and evaluation, compliance evaluation, internal audits and management review, and implements the necessary actions to meet customer requirements, enhance customer satisfaction and achieve the intended outcomes of the environmental and OH&S management systems.' }, { group_key: 'clause', code: '10.2', heading: C10, title: '', requirement: 'Nonconformity and corrective action — reaction to nonconformities and incidents (ISO 45001) incl. timely reporting and investigation with the participation of workers; dealing with consequences; evaluation of the need for action to eliminate root cause(s) so that nonconformities do not recur or occur elsewhere; effectiveness of corrective actions reviewed; changes made to the IMS if necessary; documented information retained.', default_evidence: 'During the audit, the Nonconformity, Incident Investigation and Corrective Action Procedure and records were reviewed. Nonconformities and incidents are reported and investigated in a timely manner with the participation of workers, consequences are dealt with, root causes are evaluated, corrective actions are implemented and their effectiveness reviewed, and changes to the IMS are made where necessary. Records are retained.' }, { group_key: 'clause', code: '10.3', heading: C10, title: '', requirement: 'Continual improvement — suitability, adequacy and effectiveness of the IMS continually improved to enhance quality, environmental and OH&S performance, promote a culture that supports the management system, and involve workers (ISO 45001) in implementing improvement actions.', default_evidence: 'During the audit, it was verified that the organization continually improves the suitability, adequacy and effectiveness of the IMS to enhance its quality, environmental and OH&S performance, promotes a culture that supports the management system and involves workers in implementing improvement actions. Results of continual improvement are retained as documented information.' }, ]; const COMMON = 'Common Requirements — ISO 9001 / ISO 14001 / ISO 45001'; const QMS = 'ISO 9001 — Quality-specific Requirements'; const EMS = 'ISO 14001 — Environment-specific Requirements'; const OHS = 'ISO 45001 — OH&S-specific Requirements'; const GEN = 'General'; export const IMS_READINESS_ITEMS: SeedRow[] = [ { group_key: 'clause', code: '4.1/4.2', heading: COMMON, title: '', requirement: "Are the organization's context and needs/expectations of interested parties (incl. workers, statutory & regulatory requirements and compliance obligations) documented for the IMS?", default_evidence: '• Understanding Context of Organization\n• Needs & Expectations of Interested Parties (incl. workers and compliance obligations)' }, { group_key: 'clause', code: '4.3/4.4', heading: COMMON, title: '', requirement: 'Is the scope of the IMS clearly defined and documented for each standard (incl. justification for any ISO 9001 requirement determined as not applicable), and are the processes and their sequence and interaction determined (process map)?', default_evidence: '• YES – Reference: Integrated Management System Manual (scope statement, process map)' }, { group_key: 'clause', code: '5.2', heading: COMMON, title: '', requirement: 'Are the quality, environmental and OH&S policies (separate or integrated) documented, dated, and signed/approved by top management, incl. the specific commitments required by each standard?', default_evidence: '• YES – Reference: Integrated QHSE Policy, signed by MD' }, { group_key: 'clause', code: '5.3', heading: COMMON, title: '', requirement: 'Are IMS roles, responsibilities and authorities documented (org chart / responsibility matrix)?', default_evidence: '• YES – Reference: Organization chart, job descriptions and IMS responsibility matrix' }, { group_key: 'clause', code: '6.1', heading: COMMON, title: '', requirement: 'Are risks and opportunities relevant to the IMS determined and documented (risk & opportunity register)?', default_evidence: '• YES – Reference: Risk & Opportunity Register' }, { group_key: 'clause', code: '6.2', heading: COMMON, title: '', requirement: 'Are quality, environmental and OH&S objectives documented at relevant functions/levels with plans to achieve them (incl. indicators for monitoring progress)?', default_evidence: '• YES – Reference: QHSE Objectives and Action Plan' }, { group_key: 'clause', code: '7.2/7.3', heading: COMMON, title: '', requirement: 'Are competence and awareness/training records or plans available (incl. legally required trainings)?', default_evidence: '• YES – Reference: Training plan, training records, competence matrix, legally required training certificates' }, { group_key: 'clause', code: '7.5', heading: COMMON, title: '', requirement: 'Is the documented information control procedure (creation, approval, retention, version control) available, covering all three standards?', default_evidence: '• YES – Reference: Control of Documented Information Procedure, master list of documents and records' }, { group_key: 'clause', code: '9.1', heading: COMMON, title: '', requirement: 'Are monitoring, measurement, analysis and evaluation arrangements documented, incl. calibration/verification records where applicable?', default_evidence: '• YES – Reference: Monitoring and Measurement Procedure, performance indicators, calibration records' }, { group_key: 'clause', code: '9.2', heading: COMMON, title: '', requirement: 'Is the internal audit programme / procedure documented, and has at least one internal audit cycle been completed covering all three standards?', default_evidence: '• YES – Reference: Internal Audit Procedure, audit programme, internal audit report (QMS / EMS / OH&S)' }, { group_key: 'clause', code: '9.3', heading: COMMON, title: '', requirement: 'Is the management review procedure documented, and has at least one management review been conducted addressing QMS, EMS and OH&S inputs?', default_evidence: '• YES – Reference: Management Review Procedure, management review minutes' }, { group_key: 'clause', code: '10.2', heading: COMMON, title: '', requirement: 'Is the nonconformity and corrective action procedure documented?', default_evidence: '• YES – Reference: Nonconformity and Corrective Action Procedure, corrective action register' }, { group_key: 'clause', code: '7.1.5', heading: QMS, title: '', requirement: 'Are monitoring and measuring resources determined, with calibration/verification records available where measurement traceability applies?', default_evidence: '• YES – Reference: Equipment list and calibration certificates' }, { group_key: 'clause', code: '8.1/8.2', heading: QMS, title: '', requirement: 'Are operational planning & control arrangements and requirements for products and services (customer communication, review of requirements / order & contract review) documented?', default_evidence: '• YES – Reference: Operational control / sales and contract review procedure' }, { group_key: 'clause', code: '8.3/8.4', heading: QMS, title: '', requirement: 'Are design and development processes (where applicable) and controls for externally provided processes, products and services (supplier evaluation & approval) documented?', default_evidence: '• YES – Reference: Design and development procedure (where applicable), purchasing and supplier evaluation procedure, approved supplier list' }, { group_key: 'clause', code: '8.5–8.7', heading: QMS, title: '', requirement: 'Are production and service provision controls (identification & traceability, customer property, preservation, post-delivery), release of products and services, and control of nonconforming outputs documented?', default_evidence: '• YES – Reference: Production / service provision procedures, inspection and release procedure, control of nonconforming outputs procedure' }, { group_key: 'clause', code: '9.1.2-QMS', heading: QMS, title: '9.1.2', requirement: 'Are methods for monitoring customer satisfaction documented?', default_evidence: '• YES – Reference: Customer satisfaction survey and complaints handling procedure' }, { group_key: 'clause', code: '6.1.2-EMS', heading: EMS, title: '6.1.2', requirement: 'Are environmental aspects and associated impacts identified considering a life cycle perspective, with criteria for significance and the significant environmental aspects documented (aspect–impact register)?', default_evidence: '• YES – Reference: Environmental Aspects & Impacts Register (incl. significance criteria)' }, { group_key: 'clause', code: '6.1.3-EMS', heading: EMS, title: '6.1.3', requirement: 'Are compliance obligations (environmental legal and other requirements) determined and documented (legal register), incl. how they apply to the organization?', default_evidence: '• YES – Reference: Environmental Legal & Other Requirements Register' }, { group_key: 'clause', code: '8.1-EMS', heading: EMS, title: '8.1', requirement: 'Are operational planning & control procedures for significant environmental aspects documented, incl. life cycle considerations, outsourced processes and environmental requirements for procurement/contractors?', default_evidence: '• YES – Reference: Environmental operational control procedures (waste, chemicals, energy, water), contractor control' }, { group_key: 'clause', code: '8.2-EMS', heading: EMS, title: '8.2', requirement: 'Are emergency preparedness and response procedures for environmental emergency situations documented, incl. arrangements for periodic testing of planned responses?', default_evidence: '• YES – Reference: Emergency Preparedness and Response Plan (spill, fire), drill schedule' }, { group_key: 'clause', code: '5.4', heading: OHS, title: '', requirement: 'Are arrangements for consultation and participation of workers documented (OH&S committee, worker representatives, communication of OH&S matters)?', default_evidence: '• YES – Reference: Consultation and participation procedure, OH&S committee, worker representatives' }, { group_key: 'clause', code: '6.1.2-OHS', heading: OHS, title: '6.1.2', requirement: 'Is the hazard identification process documented, with assessment of OH&S risks and opportunities (HIRA / risk register) covering routine and non-routine activities and situations?', default_evidence: '• YES – Reference: Hazard Identification and Risk Assessment (HIRA) procedure and register' }, { group_key: 'clause', code: '6.1.3-OHS', heading: OHS, title: '6.1.3', requirement: 'Are OH&S legal requirements and other requirements determined and documented (legal register), incl. how they apply to the organization?', default_evidence: '• YES – Reference: OH&S Legal & Other Requirements Register' }, { group_key: 'clause', code: '8.1-OHS', heading: OHS, title: '8.1', requirement: 'Are operational planning & control procedures documented, incl. eliminating hazards & reducing OH&S risks using the hierarchy of controls (8.1.2), management of change (8.1.3), and procurement incl. contractors & outsourcing (8.1.4)?', default_evidence: '• YES – Reference: OH&S operational control procedures, hierarchy of controls, Management of Change Procedure, contractor and procurement control' }, { group_key: 'clause', code: '8.2-OHS', heading: OHS, title: '8.2', requirement: 'Are emergency preparedness and response procedures for OH&S emergency situations documented, incl. arrangements for periodic testing of planned responses?', default_evidence: '• YES – Reference: Emergency Preparedness and Response Plan (fire, medical, evacuation), drill schedule' }, { group_key: 'clause', code: '10.2-OHS', heading: OHS, title: '10.2', requirement: 'Is the incident, nonconformity and corrective action process documented (incl. incident reporting & investigation)?', default_evidence: '• YES – Reference: Incident reporting and investigation procedure, incident register' }, { group_key: 'clause', code: 'GEN-1', heading: GEN, title: 'General', requirement: 'Has discussion been held with client personnel confirming organizational readiness for the Stage 2 (Implementation Verification) audit?', default_evidence: '• YES – Discussed with the management representative; the organization confirmed its readiness for Stage 2.' }, { group_key: 'clause', code: 'GEN-2', heading: GEN, title: 'General', requirement: "Have the client's site-specific conditions relevant to the IMS been evaluated?", default_evidence: '• YES – Site conditions relevant to quality, environmental and OH&S controls were evaluated.' }, { group_key: 'clause', code: 'GEN-3', heading: GEN, title: 'General', requirement: 'If the client is multi-site, has the level of control / sampling approach been established?' }, { group_key: 'clause', code: 'GEN-4', heading: GEN, title: 'General', requirement: 'Are resources (time, competence, information) adequate for the Stage 2 audit?', default_evidence: '• YES – The quoted man-days, audit team competence and available information are adequate for the Stage 2 audit.' }, ]; /** Sections 10 to 13 of the Stage 2 / Surveillance / Recertification form (wording copied from the Word file). */ export const IMS_EXTRA_ELEMENTS: SeedRow[] = [ { group_key: 'performance', code: 'PERF-1', heading: PERF, title: 'Customer Requirements & Order / Contract Review', requirement: '', default_evidence: DOCREF + 'Sampled orders/contracts were reviewed and confirm that customer requirements, incl. delivery, post-delivery and applicable statutory and regulatory requirements, are determined, reviewed and agreed prior to commitment, with changes controlled (ISO 9001, 8.2).' }, { group_key: 'performance', code: 'PERF-2', heading: PERF, title: 'Design and Development Controls (where applicable)', requirement: '', default_evidence: DOCREF + 'Design and development records were reviewed and confirm that planning, inputs, controls (reviews, verification, validation), outputs and changes are managed with documented information retained (ISO 9001, 8.3).' }, { group_key: 'performance', code: 'PERF-3', heading: PERF, title: 'Approved Supplier List & External Provider Evaluation', requirement: '', default_evidence: DOCREF + 'The approved supplier list and evaluation records were reviewed and confirm that external providers are evaluated, selected, monitored and re-evaluated based on their ability to meet requirements (ISO 9001, 8.4).' }, { group_key: 'performance', code: 'PERF-4', heading: PERF, title: 'Calibration & Measurement Traceability', requirement: '', default_evidence: DOCREF + 'Calibration records were reviewed and confirm that monitoring and measuring equipment is calibrated/verified against traceable standards, identified, and safeguarded from adjustment or damage (ISO 9001, 7.1.5).' }, { group_key: 'performance', code: 'PERF-5', heading: PERF, title: 'Final Inspection & Release Records', requirement: '', default_evidence: DOCREF + 'Inspection and release records were reviewed and confirm that planned arrangements are verified at appropriate stages, with documented evidence of conformity and traceability to the person(s) authorizing release (ISO 9001, 8.6).' }, { group_key: 'performance', code: 'PERF-6', heading: PERF, title: 'Environmental Aspect–Impact Register', requirement: '', default_evidence: DOCREF + 'The Aspect–Impact Register was reviewed and confirms that environmental aspects and associated impacts, incl. evaluation of significance considering a life cycle perspective, are identified and kept up to date (ISO 14001, 6.1.2).' }, { group_key: 'performance', code: 'PERF-7', heading: PERF, title: 'Environmental Legal Register & Evaluation of Compliance', requirement: '', default_evidence: DOCREF + 'The environmental legal register and compliance evaluation records were reviewed and confirm that compliance obligations are identified, kept up to date and periodically evaluated, with actions taken as needed (ISO 14001, 6.1.3 / 9.1.2).' }, { group_key: 'performance', code: 'PERF-8', heading: PERF, title: 'Waste Management & Disposal Records', requirement: '', default_evidence: DOCREF + 'Waste management records were reviewed and confirm segregation, storage and disposal of general and hazardous waste through approved/licensed contractors, with transfer notes and disposal records retained (ISO 14001, 8.1).' }, { group_key: 'performance', code: 'PERF-9', heading: PERF, title: 'Hazard Identification & Risk Assessment (HIRA)', requirement: '', default_evidence: DOCREF + 'The HIRA was reviewed and confirms that hazards are identified for routine and non-routine activities and situations, and OH&S risks are assessed and controlled following the hierarchy of controls (ISO 45001, 6.1.2 / 8.1.2).' }, { group_key: 'performance', code: 'PERF-10', heading: PERF, title: 'OH&S Legal Register & Evaluation of Compliance', requirement: '', default_evidence: DOCREF + 'The OH&S legal register and compliance evaluation records were reviewed and confirm that legal and other requirements are identified, kept up to date and periodically evaluated, with actions taken as needed (ISO 45001, 6.1.3 / 9.1.2).' }, { group_key: 'performance', code: 'PERF-11', heading: PERF, title: 'Incident / Accident Register & Investigations', requirement: '', default_evidence: DOCREF + 'The incident register and investigation records were reviewed and confirm that incidents are reported and investigated with the participation of workers, and that corrective actions are taken and reviewed for effectiveness (ISO 45001, 10.2).' }, { group_key: 'performance', code: 'PERF-12', heading: PERF, title: 'Emergency Preparedness & Drill Records', requirement: '', default_evidence: DOCREF + 'Emergency plans and drill records were reviewed and confirm that potential emergency situations are identified and planned responses are periodically tested, with plans reviewed and revised after tests or occurrences (ISO 14001 / ISO 45001, 8.2).' }, { group_key: 'performance', code: 'PERF-13', heading: PERF, title: 'Worker Consultation & OH&S Committee Records', requirement: '', default_evidence: DOCREF + 'OH&S committee minutes and consultation records were reviewed and confirm that workers are consulted and participate in the development, planning, implementation and evaluation of the OH&S management system (ISO 45001, 5.4).' }, { group_key: 'risk', code: 'RISK-14', heading: 'Risk Management', title: 'Risk & Opportunity Management', requirement: '', default_evidence: DOCREF + "The organization's Risk & Opportunity Management Procedure / Register was reviewed and confirms that internal and external issues, interested parties including workers, environmental aspects, OH&S hazards, and compliance obligations relevant to the IMS are considered, with actions planned, implemented and evaluated for effectiveness." }, { group_key: 'feedback', code: 'FEED-15', heading: 'Customer Feedback and Complaints', title: 'Customer Feedback / Complaints Monitoring', requirement: '', default_evidence: DOCREF + "The organization's system for monitoring customer perception and satisfaction was reviewed, including the mechanism for receiving, recording, and responding to customer feedback and complaints. Evidence of feedback collection was verified, demonstrating a systematic approach to monitoring customer satisfaction.\n\nNumber of complaints received during the audit period: ______ Open: ______ Closed: ______" }, { group_key: 'statutory', code: 'STAT-16', heading: 'Statutory / Regulatory Compliance', title: 'Domestic / Local Legal Requirements', requirement: '', default_evidence: "Doc. Ref.: ________________________\n\nCompliance with applicable domestic / local statutory and regulatory requirements (municipality, civil defense, labour law, etc.) was reviewed and found to be identified and monitored via the organization's Legal & Other Requirements Register." }, { group_key: 'statutory', code: 'STAT-17', heading: 'Statutory / Regulatory Compliance', title: 'International Requirements', requirement: '', default_evidence: "Doc. Ref.: ________________________\n\nApplicable international requirements relevant to the organization's scope of operations were reviewed and found to be identified within the Legal & Other Requirements Register." }, { group_key: 'statutory', code: 'STAT-18', heading: 'Statutory / Regulatory Compliance', title: 'Product / Service Certification Standards', requirement: '', default_evidence: "Doc. Ref.: ________________________\n\nCertification(s) or standards applicable to the organization's products / services were reviewed for validity and relevance to the scope of the IMS." }, { group_key: 'statutory', code: 'STAT-19', heading: 'Statutory / Regulatory Compliance', title: 'Insurance', requirement: '', default_evidence: "Doc. Ref.: ________________________\n\nThe organization's insurance coverage relevant to its operations was reviewed for validity." }, { group_key: 'statutory', code: 'STAT-20', heading: 'Statutory / Regulatory Compliance', title: 'International Registration(s)', requirement: '', default_evidence: "Doc. Ref.: ________________________\n\nApplicable international registrations (if any) relevant to the organization's operations were reviewed." }, { group_key: 'statutory', code: 'STAT-21', heading: 'Statutory / Regulatory Compliance', title: 'Others', requirement: '', default_evidence: 'Doc. Ref.: ________________________\n\n(Specify any other applicable statutory, regulatory, or contractual requirement reviewed.)' }, ];