ISO Certification DNV Risk Management

Section 1: Contact Information

Company or Organisation Name*:

Parent Company (if applicable):

Contact Firstname*:

Contact Lastname*:

Position:

Head Office Street*:

Head Office City*:

Head Office Postcode*:

Telephone Number*:

Fax Number:

Email*:

Website Address:

Please indicate the management system standard(s) required

Integrated: Please indicate which standards you wish to combine*

How did you hear about DNV Certification*

Section 1: Important general information relevant to the company obtaining a quotation

If you have used an independant consultant to develop/implement your management system, please supply details of the individual or company involved

Please describe fully the products, process and/or services of your organisation*

If you are subcontracting/outsourcing any of the activities within the scope of certification, please describe below*

Total Number of Employees to be covered by the system*:

Comprising of:

Managerial:

Administration:

Technical:

Production:

Do any staff work shifts?*

Are other sites to be covered?*

Does the system cover offsite activities?*

Do you require a Gap Analysis

If any parts of your management system are certified, please indicate the standard(s) and the certification body*

Please indicate your preferred date of commencement of assessment

Form completed by*:

Position*:

Section 2: Quality Management Systems

Do you have a quality policy?

Have you prepared a process orientated, documented system description?*

Have all staff been made aware of the management system?

Has an internal audit programme started?*

Has a management review been carried out?*

Are there any requirements of ISO 9001:2008 that should be excluded from the certificate scope (e.g. design)? If yes please indicate below.*

Section 3: Environmental Management Systems

Please describe your organisation’s site, its geographical location and environmental setting.*

Please provide outline details of all the key regulations, including permits, consents and licences relating to your organisation.

Please highlight the most important environmental impacts of your organisation.*

Technical Issues

Do you generate Hazardous Waste?

Is your site covered by a Environmental Permit (if so please detail above)

Do you hold consents to discharge to sewer or surface water?

Do you have a licence to abstract water?

Are you a registered waste carrier?

Is your site covered by legal requirements for hazardous installations e.g. COMAH?

Do you own/operate on any contaminated land?

Do you have power generation on-site and/or are covered by the EU ETS?

Do you carry out any effluent treatment on-site?

Management System Development

Has a preparatory environmental review been carried out?

Do you have an environmental policy?*

Have you identified the significant environmental aspects?

Have you identified applicable environmental legislation?

Have you environmental objectives and targets and an environmental management programme?

Have you prepared a system description?

Have all staff been made aware of the management system?

Has an internal audit programme started?*

Has a management review been carried out?*

Has an Environment Statement been drafted?

Section 4: Safety Management Systems

Please describe your organisation’s site, its geographical location and environmental setting.

Please provide outline details of all the key regulations, including permits, consents and licences relating to your organisation.

Please highlight your significant health and safety hazards and risks of your operations below.*

Technical Issues

Do staff carry any form of Safety Passport?

If Yes please specify which:

Are any staff subject to pre-employment or routine medical examination?

Is your site covered by legal requirements for hazardous installations e.g. COMAH?

Management System development

Has a safety management review been carried out?

Do you have an occupational health and safety policy?*

Have you identified occupational health and safety risks?

Have you identified applicable safety legislation?

Have you set health and safety objectives and targets?

Has a programme been put in place to achieve the objectives?

Have you prepared a documented system description?*

Have all staff been made aware of the management system?

Has an internal audit programme started?*

Has a management review been carried out?*

Are emergency plans and procedures in place?

Section 5: Information Security Management Systems

Brief description of the level of security control you require for business or customer reasons (e.g. military, personal privacy, commercial confidentiality):

Number of ‘Core ISMS’ employees:

Number of ‘ISMS Users’:

Major types, numbers and features of information technology in use:

Central processing e.g Wintel servers; Unix servers, Mainframe:

Desktop equipment e.g. PCs; Unix workstations:

Remote/mobile equipment e.g. Laptops; PDAs:

Network features e.g. Ethernet LAN; Wireless LAN; WAN; VPN:

Access by external parties e.g. Internet FTP; Application sharing; VPN:

Any specific security products or tools in use:

Major information processing services for each type of user (e.g. production, development, personnel, finance, sales, customer etc).
Note: List only those services within scope but ensure all affected users are identified.

Information Processing Service	User Group/Department	No. of users (approx)

Management System development

Do you have a ISMS policy?

Do you have a Statement of Applicability (give reference below)?

Have you identified applicable ISMS legislation?

Have you prepared a documented system description?

Have you identified group(s) responsible for administering information security management (give reference below)?

Do you provide a Disaster Recovery Site? (give reference below)

Have all staff been made aware of the ISMS management system?

Has an internal audit programme started?

Has a management review been carried out?

Please provide a brief description of risk analysis method used to identify and evaluate risks and any further information.

Section 6: IT Service Management Systems

Brief description of the IT services you provide

Application Management:

Infrastructure Management:

Other services:

Management System Development

Do you have a service management policy and plan documented?

Do you have service level aggreements in place?

(Indicate Number)

Have you documented the processes and procedures required by the standard?

Has an internal audit programme started?

Has a management review been carried out?

Section 7: Business Continuity Management Systems

Please describe your site(s) within scope, geographical location(s) and type(s) of environment.

Brief description of the business continuity management system structure

Brief description of critical activities

Describe key products and services for the organisation

Management System Development

Do you have a BCM policy?

Do you have a documented Business Continuity Startegy (give reference below)

Have you identified applicable BCMS legislation and regulation?

Have you identified individual/team(s) responsible for administering business continuity management (give reference below)?

Do you have any business recovery sites? (give reference below)

Have staff and stakeholders been made aware of the BCMS?

Has an internal BCMS audit programme started?

Have BCMS management reviews been carried out?

Please provide a brief description of the business impact analysis and risk methodology used to identify and evaluate the organisations activities and risks. Has it been documented? (give reference below)

Have you ever exercised any continuity arrangements, if so provide brief description?

	ISO 9001: Please complete Section 1 and Section 2
	TickIT: Please complete Section 1 and Section 2
	TS16949: Please complete Section 1 and Section 2
	ISO 14001: Please complete Section 1 and Section 3
	EMAS: Please complete Section 1 and Section 3
	OHSAS 18001: Please complete Section 1 and Section 4
	TL 9000: Please complete Section 1
	VCA/SCC: Please complete Section 1 and Section 4
	ISO/IEC 27001: Please complete Section 1 and Section 5
	ISO/IEC 20000: Please complete Section 1 and Section 6
	ISO 22301: Please complete Section 1 and Section 7
	ISO 50001:2011 : Please complete Section 1

Quality ISO 9001

Environment ISO 14001

Health & Safety OHSAS 18001

Why management system certification?

Risk Based Certification

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Integrated Management Systems

Core ISMS’ Group:

ISMS Users: