Kapco Manufacturing, Inc.

INTERNAL QUALITY AUDIT (IQA)
Audit Checklist
Section / Dept.: TOP MANAGEMENT
AUDIT GUIDE QUESTIONS

Audit Date: ___________
RATING

FINDINGS

1. Does the organization established, documented,
implemented and maintained a Quality
Management System? Being in the Top Mgt., how
do you continually improve its effectiveness in
accordance with the requirements of ISO?
2. How do you ensure the availability of resources
and information necessary to support the
operation and monitoring of processes?
3. How do you monitor, measure and analyze the
processes applied throughout the organization?
4. How do you implement actions necessary to
achieve planned results?
5. What are the evidences of your commitment to
the development and implementation of the
QMS?
6. How do you ensure that customer requirements
are determined and are met with the aim of
enhancing customer satisfaction?
7. How do you ensure that Quality Policy is
communicated and understood within the
organization?
8. How do you ensure that Quality Objectives,
including those needed to meet requirements for
product are established at relevant functions and
levels within the organization?
9. How do you guarantee that the integrity of the
QMS is maintained when changes are planned
and implemented?
10. How do you guarantee that responsibilities
and authorities are defined and communicated
within the organization?
11. How do you guarantee that appropriate
communication processes are established within
the organization?
12. How do you review the organization’s QMS
to ensure its continuing suitability, adequacy and
effectiveness?
Rating:

1 – CONFORMITY

2 – OBSERVATION

Auditee/s:

_________________________________

Auditor:

_________________________________

3 – MINOR NC

4 – MAJOR NC

4 – MAJOR NC . Inc. How does the documented procedure support your role in the Quality Management System? 3. taking into consideration the Quality Policy. CAR and PAR? 4. how did you respond to it? 12. How often do you conduct review? 6. How do you measure the performance of QMS for information relating to the satisfaction of customer requirements? 10. How long does it take to revise and implement any revision? 7. How is the status of your QMS now? 9. How do you rate the performance of IQA? 15. INTERNAL QUALITY AUDIT (IQA) Audit Checklist Section / Dept. Inc. How do you ensure that audit findings of previous audit were addressed progressively? 16. Do you have a documented procedure? 2. How do you continually improve the effectiveness of this role. How do you review and update documents? 5. How do you evaluate the suitability and effectiveness of the results? Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC Kapco Manufacturing. How do you monitor the results? 17.Kapco Manufacturing. Quality Objective. How did you obtain and use this information? 11.: QUALITY MANAGEMENT AUDIT GUIDE QUESTIONS Audit Date: ___________ RATING FINDINGS 1. How effective was the monitoring? 14. How effective was the implementation? 8. How about the changing needs of the organization. How about the departmental goal monitoring? 13.

Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC Kapco Manufacturing. How do you evaluate the need for action to ensure that non-conformities will not recur? 19. Are you having continual ways of improving? 21. How is the direction of QM now? 20. Inc. (Question #18) Look for records of potential non-conformities and review preventive action taken. What are they and how will it bring more effectiveness to the customer and other related parties? Check Items: Look for the continual improvement and evaluate the effectiveness. (Question #17) Review record of NC’s and review corrective action taken. INTERNAL QUALITY AUDIT (IQA) 4 – MAJOR NC .: QUALITY MANAGEMENT AUDIT GUIDE QUESTIONS Audit Date: ___________ RATING FINDINGS 18.INTERNAL QUALITY AUDIT (IQA) Audit Checklist Section / Dept.

: DOCUMENT & DATA CONTROL AUDIT GUIDE QUESTIONS Audit Date: ___________ RATING FINDINGS 1. What are your main functions as DCC Officer? Do you think you are competent enough in the job you are handling? In what way or in what aspects do you think you are competent (skills. personal traits)? 2. How do you control those DCBS found in the area? Are they all updated? What specific documents are included in the DCBS? Was the person in-charge of the DCBS oriented on how to keep these documents? 5. Are your back up diskettes or CD for all documents / procedures updated and free from any virus? 8.Audit Checklist Section / Dept. Why is there a need to control the documents / records and other data? Why are they kept and disposed for a specific period of time? Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC Kapco Manufacturing. Do you have an updated Masterlist or list of all documents? 4. How do you keep records? What is the proper time and way of disposing those records? Do you have period of disposal? How about the process of archiving? (check the archive room) Did you dispose already? 7. Do you have any implemented improvement / progress actions in controlling documents? 3. Inc. ISI and other documents posted in the area updated and kept from lost and damaged? 6. INTERNAL QUALITY AUDIT (IQA) 4 – MAJOR NC . Are WIS. abilities. knowledge.

3). acceptance of changes to contract or order? 6. Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC Kapco Manufacturing. How do you handle customer requirement where it provides no documented statement of requirement? 7. Trail records and registration of criteria of the product. Look for the records of product information. and contracts or order handling including amendments. inquiries. How do you determine requirements specified by the customers. monitoring. inspection and test activities specific to the product and the criteria for product acceptance (Question #9). How do you determine statutory and regulatory requirements related to the product? 5. Inc.: SALES AND MARKETING AUDIT GUIDE QUESTIONS Audit Date: ___________ RATING FINDINGS 1. customer feedback including customer complaints (Question #8). Look for records of verification. INTERNAL QUALITY AUDIT (IQA) 4 – MAJOR NC . How do you handle changes of product requirements? 8. What are the evidences that you determined and implemented effective arrangements for communicating with customer? 9. How do you conclude requirements not stated by the customer but necessary for specified or intended use? 4. acceptance of contracts or order. How do you plan and develop the processes needed for product realization? Check Items: 1). How do you review the requirements related to the product such as submission of tenders. including the requirements for delivery and post delivery activities? 3. validation. 2).Audit Checklist Section / Dept. Do you have new products being processed in the line? How do you ensure that customer requirements are determined and are met with the aim of enhancing customer satisfaction? 2.

inspection and test activities specific to the product and the criteria for product acceptance (Question #9). How do you evaluate or select suppliers? 8. Trail records and registration of criteria of the product. How is the direction of Purchasing Section now? 10. Quality Objective. Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC Kapco Manufacturing. What are they and how it will bring more effectiveness to the customer and other related parties? Check Items: 1). 3). Look for the records of product information. How does this documented procedure support your role in the Quality Management System? 3.Audit Checklist Section / Dept. INTERNAL QUALITY AUDIT (IQA) 4 – MAJOR NC . CAR and PAR? 4. 2). Inc. inquiries. How does legal and statutory requirement affects the provision of these resources? 6.: PURCHASING Audit Date: ___________ AUDIT GUIDE QUESTIONS RATING FINDINGS 1. validation. Look for records of verification. monitoring. How do you establish quality procedures of purchased materials? 7. How do you determine and provide the resources needed by the organization? 5. How do you continually improve the effectiveness of this role. and contracts or order handling including amendments. Do you have a documented procedure? 2. Are you having continual ways of improving the section? 11. customer feedback including customer complaints (Question #8). taking into consideration Quality Policy. How do you ensure that mutually beneficial relationship with suppliers is carried out? 9.

taking into consideration Quality Policy. How do you define your storage area? 10. Inc. PO and DR sampling (Question # 6 & 10 – trail production reject caused by Indirect Materials and Factory Supplies issued. How is the direction of warehouse now? 13.) Follow up previous audit findings. Do you have a documented procedure? 2. How do you receive delivery of purchased products? 8. How do you ensure that purchased product/s conformed to the requirement of the organization? 7.: WAREHOUSE Audit Date: ___________ AUDIT GUIDE QUESTIONS RATING FINDINGS 1. Are you having continual ways of improving your section? 14. How does legal and statutory requirement affects the provision of the resources needed by the organization? 6. How does this documented procedure support your role in the Quality Management System? 3. How was it maintained and monitored? 12. Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC Kapco Manufacturing. How do you determine and provide the resources needed by the organization? 5. Quality Objective. What are they and how will it bring more effectiveness to the customer and other related parties? Check Items: 1). INTERNAL QUALITY AUDIT (IQA) 4 – MAJOR NC . CAR and PAR? 4. How do you ensure that purchased products are properly stored to prevent deterioration? 11.Audit Checklist Section / Dept. How do you continually improve the effectiveness of this role. How do you consider purchased product storage in consideration with environmental issues particularly preventing hazard damage? 9.

What are the means of measuring the competency of your personnel? 4. In what way they can assure the identification and traceability of the products? 7. How familiar are you about the vision. mission. How familiar are you about the scope of your job? 3. What are the measures taken when negative feedback was received? Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC Kapco Manufacturing. How can you ensure that the environment of the production is suitable for the people? For the product? 8. Are production employees allowed to do Preventive Maintenance to the machines and equipment? 11. Inc.: PPC / PRODUCTION / FVI AUDIT GUIDE QUESTIONS Audit Date: ___________ RATING FINDINGS 1. policy and objectives of the company? What are your contributions to attain these? 2. How do you ensure that proper handling of products is carried out? 6. INTERNAL QUALITY AUDIT (IQA) 4 – MAJOR NC . In what way can you ensure that there will be no mixed-up of materials? 12.Audit Checklist Section / Dept. What are the contingency plans when emergency delivery is needed? 10. How do you ensure that customer requirements are determined and are met with the aim of enhancing customer satisfaction? 5. How do you monitor that parameters are always on standard? What actions are taken when out of range? 9.

How is your monitoring of information relating to customer perception as to whether you met customer requirements? 8. method. Audit Date: ___________ AUDIT GUIDE QUESTIONS RATING FINDINGS 1. INTERNAL QUALITY AUDIT (IQA) 4 – MAJOR NC .Audit Checklist Section / Dept. How do you report to customer any damage. How do you trace the identification of the products? *** Check records and evaluate.: QC – ENG’G. How do you identify product status with respect to quality monitoring and measurement requirements? 3. unsuitable or non-conforming product? *** See records. 7. Inc. How is the provision of resources affect the present status of manpower. 6. How do you use and analyze this information in evaluating whether it is still effective or needs improvement? 9. its nature and subsequent action taken. How is the status and effectiveness of the applicable methods already approved and installed in the area? Are there improvement plans you are considering? How will it work? 10. How did you adjust to the situation? Was the adjustment consistent with the requirements of the product? Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC Kapco Manufacturing. *** See and observe adequacy of the area. what are the actions taken to eliminate detected nonconformity? *** See and evaluate NC. How do you exercise care with customer property while it is under your control? 5. 4. Aside from reporting to customer. machine. Explain briefly the flow of production highlighting the importance of QC Personnel function. inspection instrument and facilities. and materials in your area? 11. 2.

Audit Date: ___________ AUDIT GUIDE QUESTIONS RATING FINDINGS 12. competence and availability of your personnel in helping the organization met and satisfy customer requirements? Do you have any means of checking their capabilities and skills? What is the support needed in uplifting their skills? 14. INTERNAL QUALITY AUDIT (IQA) Audit Checklist 4 – MAJOR NC . Inc. How do you feel about the on-going audit? How would you use and analyze the result of this audit? How far are you willing to commit and support the implementation of the system? Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC Kapco Manufacturing.Audit Checklist Section / Dept. How do you ensure the dedication. What method of monitoring are you using? How relevant is it in meeting customer requirements? 13.: QC – ENG’G.

How do you determine the necessary competence of personnel performing work affecting product quality? 7.Section / Dept. and maintain the infrastructure needed to achieve conformity to product requirements like supporting services such as transport or communication? Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC Kapco Manufacturing. How do you determine and provide the resources needed to implement and maintain the QMS and continually improve its effectiveness? 12. How do you maintain appropriate records of education. How do you conduct Manpower Planning? How about recruitment of employee? (Emergency Workers / For Regularization) 2. What are the bases in providing trainings for personnel? 8. How does the organization determine. How do you handle newly hired employees? 3. provide. selection and training of newly recruited personnel and personnel transferred to new assignments? 10.: HR / TRAINING / HEALTH & SAFETY AUDIT GUIDE QUESTIONS RATING Audit Date: ___________ FINDINGS 1. Is there a particular attention given to qualifications. INTERNAL QUALITY AUDIT (IQA) Audit Checklist 4 – MAJOR NC . How do you determine the performance improvement of employees? 4. Inc. training. How do you determine that the personnel are aware of the relevance and importance of their activities? 9. How does the organization manage the work environment needed to achieve conformity to product requirements? Does the company have environmental programs? 13. skills and experience of employees? 11. How do you motivate your employees? 6. Do you have guide in which an employee can refer about rules and regulation of the company? 5.

How do you participate in the business planning of the company? 6. How do you handle changes in terms of payment? What actions/ adjustments are made in order to prevent delay of payments? Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC Kapco Manufacturing. INTERNAL QUALITY AUDIT (IQA) Audit Checklist 4 – MAJOR NC . How do you treat emergency financial requirement? 4. Inc. What are the changes made in the accounting procedure? How does it affect the authority and approval of the personnel involved? 7. How effective is your inventory for all company assets? 8.: ACCOUNTING AUDIT GUIDE QUESTIONS Audit Date: ___________ RATING FINDINGS 1. profit for each product? 5. How do you determine and provide resources needed to continually improve the effectiveness of QMS? 2. Do you have a system in determining expenses vs. How do you allocate budget for the improvement plans / projects for the company? 3.Section / Dept.

Do you have a documented procedure regarding maintenance of machines and equipment? 2.: MAINTENANCE AUDIT GUIDE QUESTIONS Audit Date: ___________ RATING FINDINGS 1. How does your role affect the organization and how do you help the organization in achieving its goals and objectives? Rating: 1 – CONFORMITY 2 – OBSERVATION Auditee/s: _________________________________ Auditor: _________________________________ 3 – MINOR NC 4 – MAJOR NC . How do you determine future infrastructure needs? Do you make plans for this? 8. How do you maintain good performance of all the equipment and machines in terms of its function and use? 3. How do you support the implementation of Quality Management System? 7. Do you have record of preventive maintenance conducted? How about machine or equipment history? 6.Section / Dept. How do you ensure that all job orders are carried out on time? 9. Do you have system of conducting preventive maintenance in the machines and equipment? How about its calibration? 5. How do you treat machines or equipment that was found to be out of standard parameters? 4.