IVRCL LIMITED

IMS Audit Checklist – Sites

S No. Clause No. Check Point – HR & Administration Department Yes No

1 9/4.2.1, 14-18/4.4.4 Check availability of IMS Manual

2 9/5.5.1, 14-18/4.4.1 Check Department Organization chart, Roles & Responsibilities

3 9/5.3, 14-18/4.2 Check Display of Renewed IMS Certificate & Updated Policy

4 9/4.2.3, 14-18/4.4.5 Check master list of Files & retention period

5 9/8.2.3, 14-18/4.5.1 Department Key Result Area (KRA)

6 9/8.2.2, 14-18/4.5.5 Ask for previous internal and external audit reports

All legal documents like muster roll, wages register, O.T register,
7 14-18/4.3.2
fine register, Labour License etc.

Workmen compensation (WC), Employee State Insurance (E.S.I)

8 14-18/4.3.2
with validity

9 14-18/4.4.7 Emergency treatment procedure

10 14-18/4.3.3 Health checkup for labour and staff

11 14-18/4.3.3 Medi claim policy for all the staff

12 9/5.5.3, 14-18/4.4.3 Communication with external/internal bodies

13 14-18/4.4.7 Roles in emergency situation defined

Third party certification for Drinking water, lifting equipments,
14 9/7.6, 14-18/4.5.1 noise monitoring, DG stack emission, air ambient, PUC for all
vehicles
15 14-18/4.3.2 Child labour prohibition at site and offices

16 9/8.2.3, 14-18/4.5.2 Exit Interview for the resigned employees

17 14-18/4.3.1 Check guest house facilities & House keeping

18 14-18/4.3.1 Check site canteen for hygiene and condition

19 14-18/4.3.1 Check food for distribution system

20 14-18/4.3.1 Check site security system

21 14-18/4.4.7 Check the display of emergency contact numbers

 IVRCL LIMITED
IMS Audit Checklist – Sites

S No. Clause No. Check Point – HSE Department Yes No

 IVRCL LIMITED
IMS Audit Checklist – Sites

1 9/4.2.1, 14-18/4.4.4 Check availability of IMS Manual

2 9/5.5.1, 14-18/4.4.1 Check Department Organization chart, Roles & Responsibilities
3 9/5.3, 14-18/4.2 Check Display of Renewed IMS Certificate & Updated Policy
4 9/4.2.3, 14-18/4.4.5 Check master list of Files & retention period
5 9/8.2.3, 14-18/4.5.1 Department Key Result Area (KRA)
6 9/8.2.2, 14-18/4.5.5 Ask for previous internal and external audit reports
7 14-18/4.3.2 HSE Legal Register and their compliance evaluation
8 14-18/4.4.4 Site specific HSE Manual is available at the Site?
9 14-18/4.4.4 Ensure site specific safety plan of sub contractors
Control measures for the Significant Environmental Aspects,
10 14-18/4.3.1
identified in the Environmental Aspects Register
Control measures for the OHS hazards having Medium or High
11 14-18/4.3.1 Risk, as identified in the OHS Risk Register, are documented in
HIRA Record
Check whether Safety Committee has been formed at the site &
12 18/4.4.1 Their minutes. (Note: Safety committee include Client, & Sub
contractors)
Check whether HSE Incidents are recorded at the site? Check
13 18/4.5.3.1 whether such incidents are properly investigated and corrective
actions are implemented?
Make a site round to identify any unsafe condition / unsafe
14 18/4.3.1
practice?
Check whether emergency plan is available at the site? Check
15 14-18/4.4.7
whether it is up-to-date?
Check whether fire extinguishers are inspected/ tested
16 9/8, 14-18/4.5
periodically
Check whether mock drill against emergency plan is carried out
17 14-18/4.4.7
periodically?
18 9/6.2.2, 14-18/4.4.2 Check whether tool box talks are carried out regularly?
Check whether employees are aware of Health, safety, environmental
19 9/6.2.2, 14-18/4.4.2
& Quality requirements related to their work?
Check whether test certificates from external agencies are
20 9/7.6, 14-18/4.5.1 available for the Lifting tools and tackles such as Chain pulley
bock, D-shackle, Hydra etc?
21 18/4.4.7 Emergency exits identified
22 14-18/4.5.1 Drinking water quality check
23 18/4.4.7 Emergency vehicle available
24 18/4.5.3 Accident lesson learnt report of pervious incident

25 9/6.2.2, 14-18/4.4.2 Conducting the IMS & Awareness training program

26 18/4.3.1 Check the Near Miss, First Aid & Incident Records

S No. Clause No. Check Point – Planning Department Yes No

1 9/4.2.1, 14-18/4.4.4 Check availability of IMS Manual

 IVRCL LIMITED
IMS Audit Checklist – Sites

2 9/5.5.1, 14-18/4.4.1 Check Department Organization chart, Roles & Responsibilities

3 9/5.3, 14-18/4.2 Check Display of Renewed IMS Certificate & Updated Policy

4 9/4.2.3, 14-18/4.4.5 Check master list of Files & retention period

5 9/8.2.3, 14-18/4.5.1 Department Key Result Area (KRA)

6 9/8.2.2, 14-18/4.5.5 Ask for previous internal and external audit reports

7 9,14,18/4.1 Scope of work

8 9/5.4, 14-18/5.4 Base planning record

9 9/5.4, 14-18/5.4 Resource planning

10 9/8.2.3, 14-18/4.5.1 Monitoring system during project execution

11 9/8.4 Delay analysis

12 9/8.2.3 Weekly progress review meetings(internal & external)

13 9/5.5.3, 14-18/4.4.3 Communication with external & internal departments

14 9/8.4 Short fall analysis

S No. Clause No. Check Point – QA & QC Department Yes No

1 9/4.2.1, 14-18/4.4.4 Check availability of IMS Manual

 IVRCL LIMITED
IMS Audit Checklist – Sites

2 9/5.5.1, 14-18/4.4.1 Check Department Organization chart, Roles & Responsibilities

3 9/5.3, 14-18/4.2 Check Display of Renewed IMS Certificate & Updated Policy

4 9/4.2.3, 14-18/4.4.5 Check master list of Files & retention period

5 9/8.2.3, 14-18/4.5.1 Department Key Result Area (KRA)

6 9/8.2.2, 14-18/4.5.5 Ask for previous internal and external audit reports

7 9/4.2.1 Project specific Quality Assurance Plan

Inspection of incoming purchased materials is being carried out

8 9/7.4.3
as per project QA Plan & its records

9 9/8.2.3 Monitoring system during execution and its record

10 9/8.2.4 Calibration certificates of all the listed lab equipments

11 9/8.2.4 Test certificates of cement, add mixture ,TMT bars available

12 9/8.2.4 Test registers of cubes, aggregates ,sand available

S No. Clause No. Check Point – Mechanical Department Yes No

1 9/4.2.1, 14-18/4.4.4 Check availability of IMS Manual

 IVRCL LIMITED
IMS Audit Checklist – Sites

Check Department Organization chart, Roles &

2 9/5.5.1, 14-18/4.4.1
Responsibilities

3 9/5.3, 14-18/4.2 Check Display of Renewed IMS Certificate & Updated Policy

4 9/4.2.3, 14-18/4.4.5 Check master list of Files & retention period

5 9/8.2.3, 14-18/4.5.1 Department Key Result Area (KRA)

6 9/8.2.2, 14-18/4.5.5 Ask for previous internal and external audit reports

7 9/4.2.3, 14-18/4.4.5 List of plant and machinery

8 9/7.6 Daily progress report of heavy earth moving machinery

9 9/7.6 Daily report on breakdown and idling of vehicles

10 9/7.6 Monthly performance report of machinery available at site

11 9/8.2.3 Preventive maintenance schedule of plant machinery

12 9/8.2.4 Procedure for the deployment of plant & machinery

13 9/8.2.4 Procedure for the hiring of Plant and machinery

14 9/8.2.4 Procedure for the transfer of plant & machinery

Records for the Repairs & Maintenance of machinery and their
15 9/7.2.2
expenses
Preventive maintenance of plant and machinery updated in history
16 9/4.2.3
book
17 9/7.2.1, 14-18/4.3.2 Diesel consumption report of equipments and vehicles updated
RC Book/Fitness Certificate and insurance for new
18 9/8.2.4
equipment/machinery

S No. Clause No. Check Point – Electrical Department Yes No

1 9/4.2.1, 14-18/4.4.4 Check availability of IMS Manual

 IVRCL LIMITED
IMS Audit Checklist – Sites

Check Department Organization chart, Roles &

2 9/5.5.1, 14-18/4.4.1
Responsibilities

3 9/5.3, 14-18/4.2 Check Display of Renewed IMS Certificate & Updated Policy

4 9/4.2.3, 14-18/4.4.5 Check master list of Files & retention period

5 9/8.2.3, 14-18/4.5.1 Department Key Result Area (KRA)

6 9/8.2.2, 14-18/4.5.5 Ask for previous internal and external audit reports

7 9/4.2.3, 14-18/4.4.5 List of Electrical equipments available in the site.

8 14-18/4.3.1 DG Set monitoring record and its emission test, & Noise record

9 9/4.1, 14-18/4.1 All circuits identified at panel board

All metallic structure and the non current carrying metal parts
10 9/4.1, 14-18/4.1
properly grounded
Work permit obtained from operating personnel for working on
11 9/4.1, 14-18/4.1
discharged electric apparatus
Lock Out/Tag Out (LOTO) Procedure adopted for all the electrical
12 14-18/4.3.1
equipments
Whether the electrical appliances are provided with proper insulation,
13 14-18/4.3.1
ELCB’s Ground fault circuit interrupters
14 14-18/4.4.7 Emergency lighting are provided
Whether Switches/plugs sockets for various equipments
15 9/4.1, 14-18/4.1
available
16 14-18/4.3.1 Is earthling provided in electrical lights/equipments

17 14-18/4.3.1 Identification of Electrical hazards

18 14-18/4.3.1 Any underground electrical cable laying in the site

S No. Clause No. Check Point – Stores & Purchase Department Yes No
 IVRCL LIMITED
IMS Audit Checklist – Sites

1 9/4.2.1, 14-18/4.4.4 Check availability of IMS Manual

2 9/5.5.1, 14-18/4.4.1 Check Department Organization chart, Roles & Responsibilities

3 9/5.3, 14-18/4.2 Check Display of Renewed IMS Certificate & Updated Policy
4 9/4.2.3, 14-18/4.4.5 Check master list of Files & retention period
5 9/8.2.3, 14-18/4.5.1 Department Key Result Area (KRA)
6 9/8.2.2, 14-18/4.5.5 Ask for previous internal and external audit reports
7 9/4.2.3, 14-18/4.4.5 List of hazardous materials with MSDS
8 9/4.2.3, 14-18/4.4.5 Material inward register updated
9 9/4.2.3, 14-18/4.4.5 Stock register available and updated
10 9/4.1, 14-18/4.1 Stock Transfer Note (STN) Register available
11 9/7.4.3 Inventory procedure
12 14-18/4.3.1 Storing system of diesel and gas cylinders
13 14-18/4.3.1 Diesel issue record & reconciliation
Communication with other departments for material indent and
14 9/5.5.3, 14-18/4.4.3
issue
15 9/7.4.1 Local material purchase system

16 9/7.4.1 List of suppliers and cost index

17 9/7.4.1 Purchase procedure of steel, cement, sand, aggregates, etc…
18 9/7.5.1 Rejection record details
19 9/7.5.5 Disposal of absolute items and non-moving scrap
20 9/8.5.1 New cost cutting initiation
21 9/4.2.1, 14-18/4.4.4 Stores IMS Manual
Record for the periodic verification of Quality deterioration of
22 9/4.2.3, 14-18/4.4.5
stored material
23 14-18/4.3.1 Safety procedure for the Material handling

24 9/4.2.3, 14-18/4.4.5 List of Equipments and Measurement devices in the stores

Procedure for the Collection & Disposal of waste material i.e.
25 14-18/4.3.1
Lubricant oil, Steel scrap, wood, cement bag etc.
26 14-18/4.3.1 Scrap register

S No. Clause No. Check Point – Site Incharge Yes No

 IVRCL LIMITED
IMS Audit Checklist – Sites

Key result areas have been identified for monitoring and

1 9/8.2.3, 14-18/4.5.1
measurement of objectives
Check Display of Renewed IMS Certificate & Updated Policy at
2 9/5.3, 14-18/4.2
prominent places

3 9/8.2.2, 14-18/4.5.5 Ask for previous internal and external audit reports

4 18/4.4.1 Involvement in the site Safety committee meeting regularly

5 9/5.1, 14-18/4.6 Involvement of Site incharge in the IMS implementation

6 9/5.1, 14-18/4.6 Actively Participation in the Site Walk through

Check if IMS Policy has been communicated and understood by all

7 9/5.3, 14-18/4.2
personnel working in the site

8 9/5.3, 14-18/4.2 Check implementation of each of the 9 parameters of IMS policy

9 9/8.5.2, 14-18/4.5.3 Status of Preventive and corrective action

10 14-18/4.3.2 Any legal compliance

Environmental clearance from local bodies for crushing & Batching

11 14-18/4.3.1
plant

12 18/4.5.3 Notice of accident and enquiries