ISO 44001 Checklist

Use this ISO 44001 Audit Checklist to assess CBRMS compliance, the 8-stage lifecycle controls, for an internal audit and gap analysis preparing ISO 44001 certification.

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ISO 44001 Checklist

ISO 44001 Checklist

Clause 4 — Context Of The Organization

Clause 5 — Leadership

Clause 6 — Planning

Clause 7 — Support

Clause 8 — Operation: Awareness And Knowledge (Stages 1–2)

Clause 8 — Operation: Internal Assessment And Partner Selection (Stages 3–4)

1. An internal assessment process is documented to evaluate the organization's own collaborative capability, including cultural alignment, leadership behaviours, risk appetite, and process readiness, before entering into new collaborative relationships.

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7. A relationship-specific Relationship Management Plan (pRMP) is developed for each significant collaborative relationship, incorporating the outputs of internal assessment and partner selection, and documenting joint governance arrangements, communication protocols, issue resolution processes, and exit provisions.

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Clause 8 — Operation: Working Together And Value Creation (Stages 5–6)

Clause 8 — Operation: Staying Together And Exit Strategy (Stages 7–8)

4. An exit strategy is documented for each significant collaborative relationship, covering the conditions that would trigger disengagement, the process for winding down or transferring joint activities, and the responsibilities of each party during exit.

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Clauses 9–10 — Performance Evaluation And Improvement

11. Management review inputs include CBRMS performance data, relationship health assessment outcomes, audit results, progress against collaborative relationship objectives, status of corrective actions, and changes in the external collaborative environment.

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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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ISO 44001 Checklist

Use this ISO 44001 Audit Checklist to assess CBRMS compliance, the 8-stage lifecycle controls, for an internal audit and gap analysis preparing ISO 44001 certification.

1. Internal and external issues relevant to the organization's purpose and that affect its ability to achieve the intended outcomes of its Collaborative Business Relationship Management System (CBRMS) are identified and documented.

2. Internal issues are reviewed and include organizational culture, leadership commitment to collaboration, existing relationship management practices, and workforce capability for collaborative working.

3. External issues are reviewed and include market conditions, regulatory requirements, sector norms for partnering, and the expectations of parties with whom the organization collaborates.

4. Interested parties relevant to the CBRMS are identified, including current and potential collaborative partners, customers, regulators, supply chain members, and internal stakeholders affected by collaborative relationships.

5. The requirements and expectations of each interested party are documented and reviewed at defined intervals.

6. The scope of the CBRMS is documented, defining which collaborative relationships, organizational units, programmes, or projects are included.

7. Any relationships or organizational units excluded from the CBRMS scope are listed with documented justification.

8. The scope is made available to relevant interested parties.

9. The processes needed to establish, implement, maintain, and continually improve the CBRMS are determined and documented.

1. Top management has demonstrated commitment to the CBRMS through active sponsorship of collaborative relationships, resource allocation, and visible endorsement of the collaborative working approach.

2. A Senior Executive Responsible (SER) for collaborative business relationships is appointed and their authority and accountability are formally documented.

3. The SER's role includes championing the collaborative approach at executive level, resolving escalated relationship issues, and ensuring alignment of collaborative objectives with organizational strategy.

4. A collaborative business relationship policy is documented and approved by top management.

5. The policy includes a commitment to developing and maintaining collaborative relationships that deliver mutual benefit and to continually improving the CBRMS.

6. The policy provides a framework for setting collaborative relationship objectives.

7. The policy is communicated to all personnel involved in managing or participating in collaborative relationships.

8. The policy is made available to relevant collaborative partners and other external interested parties.

9. Roles, responsibilities, and authorities for managing collaborative relationships are documented and assigned at both corporate and relationship levels.

10. Evidence that CBRMS roles and responsibilities have been communicated to relevant personnel is available.

11. Leadership behaviours that support collaborative working — including openness, trust, joint problem-solving, and shared accountability — are visibly modelled and actively promoted by senior management.

1. The organization has a documented process for identifying risks and opportunities relevant to the CBRMS and to individual collaborative relationships.

2. Risks specific to collaborative relationships are assessed and documented, including relationship dependency risk, knowledge-sharing risk, partner performance risk, and reputational risk arising from partner conduct.

3. Risk treatment plans are documented with assigned owners and target completion dates for each identified CBRMS risk.

4. Collaborative relationship objectives are established, documented, and measurable at both corporate and individual relationship levels.

5. Collaborative relationship objectives are consistent with the policy and aligned with organizational strategic objectives.

6. Plans to achieve collaborative relationship objectives include assigned responsibilities, required resources, timelines, and methods for evaluating results.

7. A Relationship Management Plan (RMP) framework is documented at the corporate level (cRMP), defining the organization's overall approach to establishing, managing, and exiting collaborative relationships.

8. The cRMP is available to guide the development of relationship-specific RMPs for individual partnerships, alliances, or programmes.

9. A change management process is in place for planned changes to the CBRMS or to individual collaborative relationship arrangements that could affect intended outcomes.

1. Resources required to establish, implement, maintain, and continually improve the CBRMS are identified and provided, including personnel, training, tools, and financial resources.

2. Competence requirements are defined for all personnel involved in managing collaborative relationships, including relationship managers, steering group members, and the SER.

3. Evidence of competence is available for personnel in CBRMS roles, including training records, qualifications, and assessed performance in collaborative working.

4. Training in collaborative working behaviours, relationship management techniques, and the requirements of ISO 44001 is provided to relevant personnel.

5. Training records are maintained and evidence that training effectiveness has been evaluated is available.

6. Personnel involved in collaborative relationships are aware of the collaborative business relationship policy, the objectives of the specific relationships they participate in, and their responsibilities within the CBRMS.

7. Internal and external communication requirements for the CBRMS are documented, including communication protocols with collaborative partners covering frequency, format, escalation routes, and information-sharing boundaries.

8. A document control procedure is in place covering the creation, approval, version control, access management, and retention of CBRMS documented information, including RMPs, partner assessments, and joint governance records.

9. Documented information required by ISO 44001 is identified, controlled, and accessible to those who need it, while protected from unauthorized access where confidentiality obligations exist.

1. The organization has documented its strategic rationale for collaborative working, including the business case for adopting a collaborative approach and the types of relationships it intends to develop.

2. A corporate awareness programme is in place to ensure that personnel at all relevant levels understand the collaborative working approach, its benefits, and the behaviours required to support it.

3. The organization has assessed its own cultural and structural readiness to engage in collaborative relationships, including leadership commitment, workforce capability, and existing process maturity.

4. Knowledge requirements for collaborative engagement are defined, including what the organization needs to understand about potential partners' organizations, objectives, values, and ways of working before committing to collaboration.

5. Processes are in place to gather and document knowledge about the collaborative working environment, including sector trends, regulatory developments, and the collaborative practices of potential partners.

6. The outputs of awareness and knowledge activities are documented and used to inform the internal assessment and partner selection stages.

1. An internal assessment process is documented to evaluate the organization's own collaborative capability, including cultural alignment, leadership behaviours, risk appetite, and process readiness, before entering into new collaborative relationships.

2. The internal assessment is completed and its findings are documented prior to initiating engagement with potential partners.

3. Partner selection criteria are defined and documented, covering strategic fit, cultural alignment, collaborative capability, financial stability, performance track record, and values compatibility.

4. A partner evaluation and selection process is applied consistently for each significant collaborative relationship, with documented outcomes and rationale for selection decisions.

5. Due diligence on potential partners is conducted and documented, covering their organizational values, collaborative working history, governance arrangements, and any relevant risks.

6. Relationship-specific objectives, joint value propositions, and key performance indicators are agreed and documented with the selected partner before the relationship is formally established.

1. The relationship-specific RMP is implemented and used as the active governance document for the collaborative relationship, with all parties aware of their obligations under it.

2. Joint governance arrangements are in place and operating, including a steering group or equivalent body with SER-level participation from each partner organization.

3. Regular joint review meetings are held, with documented agendas, attendance records, and actions.

4. An issue resolution process is documented and applied when disputes, misalignments, or performance concerns arise within the relationship, with escalation routes defined and agreed by all parties.

5. Issue resolution records are maintained, tracking issues raised, actions agreed, and outcomes achieved.

6. Performance of the collaborative relationship is monitored against agreed key performance indicators, with results shared openly between all parties.

7. Mechanisms are in place to identify, capture, and realize joint value creation opportunities arising from the collaborative relationship, including innovation, efficiency gains, cost reduction, and risk sharing.

8. Value creation outcomes are documented and reviewed at defined intervals to confirm that the relationship continues to deliver mutual benefit.

9. Information and knowledge sharing between partners operates within agreed boundaries, with protocols in place to protect commercially sensitive or confidential information.

10. Collaborative behaviours are monitored and any behavioural issues affecting the effectiveness of the relationship are addressed through the issue resolution process.

1. Relationship health assessments or equivalent reviews are conducted at defined intervals to evaluate the ongoing effectiveness, alignment, and mutual benefit of the collaborative relationship.

2. The outputs of relationship health assessments are used to identify improvement actions, renegotiate objectives, or adjust governance arrangements as the relationship evolves.

3. Changes to the collaborative relationship — including changes in partner leadership, organizational structure, strategic priorities, or contractual arrangements — are managed through a documented change process and reflected in an updated RMP.

4. An exit strategy is documented for each significant collaborative relationship, covering the conditions that would trigger disengagement, the process for winding down or transferring joint activities, and the responsibilities of each party during exit.

5. The exit strategy is agreed by all parties and reviewed as part of regular relationship governance, not only when disengagement is imminent.

6. Exit criteria are linked to the relationship's key performance indicators and strategic objectives, providing objective triggers for reviewing whether continuation remains mutually beneficial.

7. Upon exit or conclusion of a collaborative relationship, a lessons learned review is conducted and documented, with findings used to improve the CBRMS and inform future partner selection and relationship management.

8. Knowledge, intellectual property, data, and other shared assets are managed and returned or disposed of according to agreed protocols upon exit.

1. The organization has determined what to monitor and measure for CBRMS performance, including the health of individual collaborative relationships, achievement of collaborative relationship objectives, and the overall effectiveness of the CBRMS.

2. Methods, frequency, responsibility, and criteria for evaluating CBRMS monitoring and measurement results are documented.

3. Performance data from individual relationships is collated, analyzed, and reported to the SER and top management at defined intervals.

4. An internal audit programme for the CBRMS is documented, covering audit scope, criteria, frequency, and auditor selection.

5. Internal auditors conducting CBRMS audits have appropriate competence in collaborative working principles, relationship risk management, and occupational behavioural process management, in addition to general audit skills.

6. Auditor independence from the relationships and processes being audited is ensured and documented.

7. At least one complete internal CBRMS audit cycle has been completed before the certification audit, covering both management system clauses and operational relationship lifecycle controls.

8. Internal audit reports document findings, evidence reviewed, conformities, and nonconformities across both the management system and individual relationship governance.

9. Audit findings are communicated to relevant management and to the SER, and are tracked to closure.

10. Management reviews of the CBRMS are conducted at planned intervals by top management, with SER participation.