CSA PLUS 1138
Integrated Checklist for Quality Management Systems and Environmental Management Systems
|Publication Date:||1 March 1998|
The ISO 9000 Series
The ISO 9000 series is an internationally recognized family of standards dealing with management systems and, most notably, with requirements for quality assurance and guidelines for quality management. The best-known of these standards, ISO 9001, ISO 9002, and ISO 9003, may be used to demonstrate an organization's ability to supply products that conform to its customers' expectations.
ISO 9001, the most comprehensive of the three, sets out quality management requirements for suppliers who seek to demonstrate their capability to design and supply conforming product. The standard covers cases in which the supplier undertakes design as well as production, so as to meet product requirements that are expressed mainly in performance terms, and situations where quality assurance consists in satisfactory evidence of a supplier's competence in design, development, production, installation, and servicing.
ISO 9002 differs from ISO 9001 only in that it does not refer to product design. This standard is used in situations where product requirements are stated in designs or specifications supplied to the supplier.
ISO 9003, while it shares the approach to quality management of the other two standards, sets out fewer requirements; it deals with products that can be evaluated for quality by final inspection and testing.
The ISO 9000 series provides requirements, guidelines, and auditing principles that may be applied by organizations of any size, and in any sector of production or service. Throughout the world, organizations both large and small have adopted ISO 9000 procedures, with varying degrees of elaboration and formality, to assure clients and customers of their ability to satis9 expectations for quality.
The ISO 14000 Series
The ISO 14000 series, developed on the basis of the ISO 9000 initiative, reflects the core principles of the ISO 9000 series. The ISO 14000 family is made up of voluntary standards that provide organizations with guidance on how to manage the environmental aspects of their activities, products, and services more effectively. The series has been developed, and is continually reviewed, to support organizations in their efforts to control the environmental impacts of their activities, products, and services in a responsible fashion, and to demonstrate their adherence to environmental policies which satis@ social, legal, and regulatory demands.
The ISO 14000 series sets out the requirements for an environmental management system (EMS) that may be used by organizations of any size and type, operating in any industry, sector, or locale, as well as the requirements for registering and auditing such a system.
The Integrated QMS/EMS Checklist
This checklist is based on Clause 4 of ISO 9001, Quality systems - Model for quality assurance in design, development, production, installation and servicing, and on Clause 4 of ISO 14001 , Environmental management systems - Specification with guidance for use. As the checklist illustrates, the requirements for an effective environmental management system are easily coordinated with, and to some extent subordinated to, the more general requirements for quality management and assurance.
The series of questions may be used in a registration audit, in which qualified auditors review an organization's QMS and EMS performance, or as part of a "self-audit" by an organization's representatives for quality management and environmental management. The checklist questions have been designed to identify every feature of the larger quality management system that should be evaluated, and to incorporate in the same process the related and complementary features of a well-structured environmental management system.
The checklist questions are supplemented by definitions and interpretative comments excerpted from a number of ISO and CSA publications. Readers requiring fixther guidance on QMS andor EMS questions should consult the source documents, as well as related publications (see Appendix A).
Layout of Section 4, Integrated QMS/EMS Checklist
Section 4 presents, on right-hand pages, a list of questions developed to reflect or supplement the requirements set out in ISO 9001 and ISO 14001. The list is based on the structure and numbering of Clause 4 of ISO 9001; questions bearing on Clause 4 of ISO 14001 have been incorporated, and the resulting sequences have been organized, for convenient reference, as lists of numbered 'IQ" questions ("Q" numbering is noted in the left-hand column). Some sequences of "Q" questions extend over several pages. Open boxes indicate the continuation of the questions on the following page.
The facing pages provide a variety of materials that are relevant to each page of questions, including
a) a text box, where relevant, quoting the requirements of CANKSA-ISO 9001;
b) a text box, where relevant, quoting the requirements of CANíCSA-ISO 14001;
c) a left-hand column that contains selected excerpts from PLUS 9001, The ISO 9000 Essentials (Second Edition), CAN/CSA-Q10001, Generic guidelines to the application of the 1994 editions of ISO 9001, ISO 9002, and ISO 9003, CAN/CSA-ISO 14004, Environmental management systems - General guidelines on principles, systems and supporting techniques, and CSA 2825, Guide to ISO 14000 for Auditors and Users; and
d) a right-hand column that contains definitions drawn from CAN/CSA-ISO 8402, Quality management and quality assurance - Vocabulary, and Clause 3 of CAN/CSA-ISO 14001.
A sample of this page layout, showing how ISO 9000 and ISO 14000 materials are distinguished, appears on page 9.