ISO9001 Internal Audit Questionnaire

Agility Internal Audit Questionnaire ISO9001 "Support Function"
Human Resources
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1 7.1.2 Do you have a hiring policy or process in place describes background checks?
Are there checklists available for hiring new employees
2 7.2
(Former Job/experience/education)?
3 7.2 Are Job description available for all tasks & functions?
Is there an Onboarding and Training process in place?
4 7.2
(Seek evidence of the last few New Hire records)
Is there a training matrix existing describing different mandatory training needs as per function including frequency
5 7.2
(initial/re-fresher) of trainings?
6 7.2 How is the effectiveness/ evaluation of trainings conducted (verified how the effectiveness is done)?
Are annual appraisal conducted and reviewed?
7 7.2
In addition, are development plans for employees available?
Are trainings documented and maintained?
8 7.2
(Seek evidence of a couple of examples)
Do you measure the turnover of employees?
9 7.2
(If yes, ask for the actual turnover rate)
Are organizational charts available with titles and reporting lines?
10 7.2
(Crosscheck with Job Descriptions)
Are employees aware of our quality policy, objectives, their contributions to QMS and the implications of not
11 7.3
conforming with the QMS?
How are personal objectives/goals set?
12 7.3
(Seek evidence of how they are monitored)
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Internal Audit Questionnaire ISO 9001:2015 Agility US
Version Nr. 1 Page 1 of 15
Management
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Does the Management determined external and internal issues that are relevant to its purpose and its strategic
13 4.1
direction and that affect its ability to achieve the intended result(s) of its quality management system?
14 4.1 How does the management monitor and review information about these external and internal issues?
Does the management determine the interested parties and the requirements of these interested parties that are
15 4.2
relevant to the quality management system?
Does the management have determined the boundaries and applicability of the quality management system to
16 4.3
establish its scope?
Does the organization has established, implemented, maintained and continually improve a quality management
17 4.4 system, including the processes needed and their interactions and has determine the processes needed for the quality
management system?
Do employees understand the consequences of failing to meet requirements? Is there a quality policy?
Are quality objectives defined?
18 5.1 Are management reviews being conducted regularly?
Are adequate resources necessary for the quality system provided?
Are there specific examples how management promotes improvement?
What measures are implemented to ensure that customer requirements are determined and met (processes,
19 5.1.2 procedures, training, monitoring, auditing, etc.)?
Are there any risks related to customer satisfaction determined?
20 5.2 & 6.2 Is there a quality policy & objectives set by the top management available?
Check whether the Top Management ensured that the responsibilities and authorities for relevant roles are assigned,
21 5.3
communicated and understood within the organization?
5.2.2, 6.2 Are the company, quality objectives and the policy communicated to the employees?
22
& 7.3 (Seek evidence)
Do you ensure that employees are aware of new or revised quality documents, customer SOP, etc.?
23 7.5
(Seek evidence to get a couple of examples)
24 5.1.2 Are the customer requirements determined by management?
Does management monitor customer satisfaction and how further actions are defined to improve customer
25 9.1.2
satisfaction?
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Management
26 9.3 Are the quality objectives measured and monitored (Management Review, Reports)?
27 9.3 Is the effectiveness of the quality management system measured and monitored (Management Review, Reports)?
Are regular management review meetings conducted and meeting minutes available?
a) Management review meeting policy in place describing the importance of meeting customers, internal meetings
and regulatory requirements?
28 9.3 (Cross check with meeting minutes and action lists)
(Are quality related matters part of the Agenda (customers new/lost, result of internal or external audits, action plan
incl. follow up, etc.)
(Is the resource planning an agenda item of the management review)
When planning for the quality management system, Check whether the organization has considered the issues
29 6.1 referred to in 4.1 and the requirements referred to in 4.2 and determined the risks and opportunities that need to be
addressed as a part of cl. 6.1?
When the organization determines the need for changes to the quality management system, check whether the
changes has been carried out in a planned manner?
Check whether the organization has reviewed and controlled the changes for production or service provision, to the
30 6.3
extent necessary to ensure continuing conformity with requirements?
Check whether the organization has retained documented information describing the results of the review of changes,
the person(s) authorizing the change, and any necessary actions arising from the review.
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Finance
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31 4.4.1 Is there a policy in place describing financial processes?
Is there a process for cutting local checks?
32 4.4.1
(Crosscheck local process with policy)
33 6.2 Are financial objectives set by management?
Are you measuring invoicing performance (e.g. accuracy of invoices, speed of invoicing, customer claims) in regard to
34 9.1.3
invoices?
35 4.4.2 Is there a procedure in place describing how credit limits are set and how it is monitored (responsibility)?
Is there a procedure implemented to create Supplier ID’s?
36 4.4.2
(Seek evidence for last few creations and verify first transaction date)
Compliance
Compliance
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Is there an Authority Matrix available within your organization?
4.2, 5.1.2, (Global Authority Matrix known)
8.2.2,
(Is there a local Matrix in place defining local authority levels)
8.2.3,
37 Have the statutory and regulatory requirements applicable to the products and services has determined?
8.4.2, and
Do you have a list of approved check signers?
8.5.5
(Seek evidence and verify current employees/levels)
(Seek evidence for where Executive Signature stamp is)
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Agility Internal Audit Questionnaire ISO9001 "Supplier Management"
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Do you have a process in place to convey Agility’s (QM) targets to suppliers?
38 8.4
(Seek evidence or examples – NCR Tool?)
Do you have a list of contracted suppliers; Supplier List
39 8.4
(--> is the list up to date?)
Do you have signed contracts/agreements with all your subcontracted suppliers?
40 8.4
(See evidence)
41 8.4 Do you have business reviews with Suppliers, regular meetings, minutes & follow up
42 8.4 Are risk analysis performed, communicated and actioned with your supplier base?
Do you have a Supplier Approval process workflow setup?
43 8.4
(See evidence of recent "approved" suppliers)
Can you show records of Supplier Onsite Audit plan and historical performed audits (seek corrective actions and follow
44 8.4
up) link to CAPA
45 8.4 Is there a supplier Invoice authorization workflow, i.e. confirmation of invoice amount vs. Contracted rates in place?
Do you maintain and monitor Supplier instructions for requested services?

46 8.4
(See evidence)
Are NCR details shared during Management Review meetings?
47 8.4
(Seek evidence --> meeting minutes)
Do you register and communicate claims & damages (irregularities)?
48 8.4
(Seek evidence)
49 8.4 Is a Documentation claim management workflow in place?
50 8.4 Do you have access to a CAPA management system with historical data and corrective actions? (NCR Tool)
How are Supplier discrepancies communicated, registered & resolved with Suppliers?
51 8.4
(Seek evidence to identify recent discrepancy and follow Corrective Action Plan and Continued Monitoring)
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Agility Internal Audit Questionnaire ISO9001 "Cross-Dock and Warehousing"
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Do you have storage and cross docking activities within your organization?
52 8.5.4 a) What kind of goods you store in your facility?
b) Are the activities sub-contracted or in-house?
Do you have adequate documented process in place for storage of goods (i.e. Receiving, Put Away, Pick, Prepare,
53 8.5.4 Ship)?
(Seek evidence)
54 8.5.4 Do you have an active client(s) warehouse agreement(s) in place for stored goods?
55 8.5.4 Are you using an Inventory Control system for the stored goods?
56 8.5.4 Do you have written process(s) in place when receiving goods at warehouse?
Do you have a documented discrepancy procedure in place before goods will be received?
57 8.5.4
(Seek evidence)
58 8.5.4 Do you have a documented process in place for releasing and hand-over the outgoing goods?
1. Do you have cooling facilities in place incl. temperature monitoring system?
a) If yes please explain the set-up?
b) Do you have temperature records of cooling facilities archived and if yes please explain the set-up you have in
place?
c) Do you have an alarm system in place in case the cooling unit break down in a facility?
59 8.5.4
d) Do you have a calibration procedure for temperature sensors of cooling facilities in place?
e) If a cooling unit break down, do you have an adequate emergency procedure in place to protect the goods in view
of temperature deviations?
Do you have storage directives in place for cooling facilities (areas where no goods shall be stored, etc.)?
Do you have records for temperature monitoring, qualification, alarm system?
Do you have a scale?
60 7.1.5.2 a) How often is it calibrated?
b) Show me the records
Do you have material handling and safety equipment training in place?
61 7.2
(Forklifts, fire-extinguisher, saws, nail guns, shrink wrap machines, etc.)
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Do you have material handling equipment maintenance in place?
62 8.5.1 d)
(Seek evidence, i.e. forklifts, saws, order picking equipment, racks, etc.)
Do you have a process in place to alert employees of unusable equipment?
63 8.5.4
(i.e. broken forklifts, damaged racks, RedTag, etc.)
Do you have a designated OS&D area and/or visible identifier for OS&D shipments?
64 8.5.4
(i.e. color labels, placard, cone, etc.)
Do you have a process for disposal of garbage?
65 7.1.4
(i.e. security concerns for unsupervised removal of items from building.)
Do you follow the Global Seal Security process?
66 8.5.4
(Seek evidence of log and proper storage)
67 7.2 Do you have temporary work staff hired?
68 7.3 Do you ensure that the temporary staff are informed about internal procedures?
Do you have a process in place for ensuring temporary staff have the respective certificates and/or training for
69 7.2
handling goods requiring special trainings (like e.g. food, dangerous goods, pharmaceuticals, etc)?
Do you train staff on the proper use of protective equipment?
70 7.2
(If yes show records)
71 7.1.3 Do you have access controls in place to protect restricted access areas against unauthorized access?
72 7.1.3 Do you have a list of people with approved access to restricted areas?
7.1.3 & Do you have designated areas for segregation of specialty items and/or items not to be comingled?
73
7.1.4 (i.e. dangerous goods, food, pharmaceuticals)
Do you have a pest control on a regular base for storage areas?
74 8.5.4
(Seek evidence of last service/pest control map)
75 8.5.4 Do you have standard cargo handling processes and procedures available in writing?
76 7.5 Are the process steps clear and understandable for employees?
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Agility Internal Audit Questionnaire ISO9001 "Job Booking"
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77 9.1.3 Are you aware of KPI targets and monthly trends? ( SOI, SOI ICI, J2J, Inv. Acc., SECT)
Do you have access to customer SOP’s?
78 7.5 a) Can you show me where they are stored?
(Seek evidence)
79 8.2 Do you have access to customer Master Rate Sheets?
80 7.2 Do you get trained on new customer SOPs?
Do you impact SECT, SOI, InvAcc., J2J targets during your daily work?
81 8.5.1
(Can you explain how)?
1. Are people trained on DG Module in CONTROL?
82 7.2
(Seek evidence training records vs. access)
8.5.1
83 Do you use Standard Shipments in CONTROL?
& 8.5.4
Do you enter cost - sales estimates/accruals during job creation?
84 8.2
If no, when do you enter estimates in CONTROL?
Is there a procedure in place to reconcile accruals in
85 8.4, 8.5.1 CONTROL?
(Seek evidence, i.e. accrual report)
Do you have a procedure in place to monitor unbilled jobs?
86 8.5.1 & 4.4 Explain procedure?
Responsibilities?
Do you receive customer approved quotes?
a) What format are they received in?
87 8.2
b) Is the quote number entered in Control?
(Seek evidence)
Check whether the organization has planned, implemented and controls the processes (see 4.4) needed to meet the
requirements for the provision of products and services, and implemented the actions determined in Clause 6 as per
88 8.1
cl.8.1?
Nbr. Clause(s) Questions Ye N N/A
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89 8.5 Check whether that the organization has implemented production and service provision under controlled conditions?
Check whether that the organization has used suitable means to identify outputs when it is necessary to ensure the
conformity of products and services?
Check whether that the organization has identified the status of outputs with respect to monitoring and
90 8.5 measurement
requirements throughout production and service provision?
Check whether that the organization has controlled the unique identification of the outputs when traceability is a
requirement and retained the documented information necessary to enable traceability.
Check whether that the organization has exercise care with property belonging to customers or external providers
while it is under the organization’s control or being used by the organization?
91 8.5.4
Check whether that the organization has identified, verified, protected and safeguarded customers’ or external
providers’ property provided for use or incorporation into the products and services.
Check whether the organization has met requirements for post-delivery activities associated with the products and
92 8.5.5
services.
Check whether the organization has implemented planned arrangements, at appropriate stages, to verify that the
93 8.6 product and service requirements have been met?
Check whether that the organization has retained documented information on the release of products and services?
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Agility Internal Audit Questionnaire ISO9001 "Internal Audit & Document Control"
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94 9.2 & 10.2 Which NCR's was raised during the last internal audit?
Did you follow up and close Findings/NCR's from any previous audit?
a) Were the correction/corrective actions defined?
95 9.2 & 10.2
b) How did you determined the root cause?
c) Can you show records of the actions taken?
Are there procedures in place for handling corrective actions?
a) Can you show the procedure?
96 9.2 & 10.2 b) Were preventive actions defined?
c) How do you evaluate the need for preventive actions?
d) Can you show records of the actions taken?
Are there procedures in place for initiating preventive actions?
97 9.2 & 10.2
a) Can you show the procedure?
Do you verify that corrective/preventive actions were effective?
98 9.2 & 10.2 a) Can you explain how this was done?
b) Please provide examples?
Are the results of the internal audit covered during the management review?
a) Did management initiate action from the results?
99 9.2 & 10.2
b) Were the NCR's communicated within the organization?
c) How was it communicated?
Does the organization conduct internal audits at planned intervals to provide information on whether the quality
100 9.2
management system?
Does the organization plan, establish, implement and maintain an audit program?
101 9.2
Check whether the plan/ audit program include ISO 9001 9.2.2 requirements.
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Does the organization have determined the knowledge necessary for the operation of its processes and to achieve
102 7.1.6
conformity of products and services?
Check whether the organization’s quality management system includes:
a) documented information required by this International Standard;
103 7.5
b) documented information determined by the organization as being necessary for the effectiveness of the quality
management system.
When creating and updating documented information, check whether the organization ensured appropriate:
a) identification and description (e.g. a title, date, author, or reference number);
104 7.5
b) format (e.g. language, software version, graphics) and media (e.g. paper, electronic);
c) review and approval for suitability and adequacy.
Does the organization has ensured that the Documented information required by the quality management system and
105 7.5
by the ISO 9001 are controlled?
Check whether that the Documented information of external origin determined by the organization to be necessary
106 7.5
for the planning and operation of the quality management system are identified as appropriate, and controlled?
Check whether that the Documented information retained as evidence of conformity are protected from unintended
107 7.5
alterations?
Check whether that the organization has ensured and implemented controls related to nonconforming products as per
108 8.7
cl. 8.7 and retained documented information related to nonconforming products?
GIL-AME-QBP-TEM-1.0
Agility Internal Audit Questionnaire ISO9001 "Business Development"
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Do you measure customer satisfaction?
a) What format was used?
109 9.1.3
b) Was the information shared?
c) What actions were taken?
Are sales targets measured ?
110 9.1.3
b) Was the information shared?
c) What actions were taken?
Is there a budget for sales growth?
a) How often do you make review and update of this plan?
111 9.1.3 b) What format was used?
c) Was the information shared?
d) What actions were taken?
Do you have trade-lane targets established?
a) How often do you make review and update of this plan?
112 9.1.3 b) What format was used?
c) Was the information shared?
d) What actions were taken?
Do you maintain records of customer visits and their requirements?
113 9.1.3
a) How do you ensure information/requirements received from visits is communicated to Operations?
Do you have a procedure in place to communicate new business wins to Operations?
114 4.4
115 7.4 Do you have a procedure in place for communicating changes to existing SOP’s or implementation of new SOP’s?
116 8.2 Check whether the Communication with customers included the below:
a) providing information relating to products and services;
b) handling enquiries, contracts or orders, including changes;
c) obtaining customer feedback relating to products and services, including customer complaints;
d) handling or controlling customer property;
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e) establishing specific requirements for contingency actions, when relevant.
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When determining the requirements for the products and services to be offered to customers, check whether that the
organization ensured that:
a) the requirements for the products and services are defined, including:
117 8.2
1) any applicable statutory and regulatory requirements;
2) those considered necessary by the organization;
b) the organization can meet the claims for the products and services it offers.
Check whether the organization has ensured that it has the ability to meet the requirements for products and services
118 8.2
to be offered to customers.
Are Quotes/Ad hoc rates provided to customers?
119 8.2 a) What format are they provided in? (Looking for QM)
b) How are the quoted rates communicated to Operations?
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Agility Internal Audit Questionnaire ISO9001 "Dangerous Goods"
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Do you handle Dangerous Goods?
120 7.1
(i.e. Road, Air, Ocean, Warehousing)
Do you have a DG Safety Advisor nominated?
121 7.2 Is the DG Advisor’s contact details easy available for staff?
(i.e. Chemtrac, i.e.)
Are regular DG trainings offered to staff to comply with the regulation(s)?
122 7.2
(Seek evidence)
How do you keep DG training records?
123 7.2
(Cross check and ask for an actual training record)
Is there a procedure in place to ensure only DG compliant sub-contractors are used for DG activities?
How are those suppliers selected?
124 8.4
Is there a database available for staff showing DG compliant suppliers?
Who maintains selection list?
Is there a Supplier Management process in place to ensure DG suppliers are qualified?
125 8.4
(Seek evidence)
Do you train warehouse temporary staff on DG?
126 7.2 If no training, how do you ensure untrained temporary staff is not handling DG?
If yes, please provide training records?
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Agility Internal Audit Questionnaire ISO9001 "Security & Facilites"
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Are you using the Facility Inspection Checklist “FIC”?
127 7.1.4 a) How often?
(Seek evidence)
Are you using WeSafe?
a) Who is using it?
128 7.1.4
b) For what reasons?
(Seek evidence)
Are you using the NCR tool in FOCiS?
129 10.2
(Seek evidence)
Do you have an Intrusion Alarm activation/deactivation code list?
130 7.1.3 a) How often is it reviewed?
(Seek evidence)
Do you verify the CCTV system is recording?
a) How many days of footage is retained?
131 7.1.3
b) How often is it verified?
(Seek evidence)
Do you have a maintenance program for cleaning the CCTV camera lenses?
132 7.1.3
a) Is there a log to when it is completed?
Do you have a list of employees with Access Control?
133 7.1.3
a) How often is it reviewed for inactive employees?
Do you have a list of employees that have been issued company property?
134 7.1.3 a) What format is it in?
(Seek evidence)
Do you have routine maintenance schedule for the facility?
(i.e. HVAC, Dock doors, Carpet cleaning, Fire Pump test, Door contacts for alarm, etc.)
135 7.1.3
a) How are records maintained?
(Seek evidence)
GIL-AME-QBP-TEM-1.0

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Agility Internal Audit Questionnaire ISO9001 "Support Function"

Do you maintain and monitor Supplier instructions for requested services?

Nbr. Clause(s) Questions Ye N N/A

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