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    Aduti Checklist ISO 9001:2015 sample

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    Aduti Checklist ISO 9001:2015 sample

    Copyright:

    © All Rights Reserved
    Download as PDF or read online from Scribd
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    25 views25 pages

    Audit Checklist

    Uploaded by

    Iqah Fauzi
    Aduti Checklist ISO 9001:2015 sample

    Copyright:

    © All Rights Reserved
    Download as PDF or read online from Scribd
    Flag for inappropriate content
    of 25
    DNV-GL DNV GL Assessment Checklist ISO 9001:2015 Rev 0 - December 2015 DNV-GL 4 Context of the Organization No. Question Proc. Ref. ‘Comments 4.1 Understanding the Organization and its context 7 | Has the organization determined external and internal issues that are relevant to its purpose, strategic direction and that affect its ability to achieve the intended result(s) ofits quality management system? 2 _ | Isthe organization monitoring and reviewing information about these external and internal 4.2. Understanding the needs and expectations of interested parties 3 _ | Has the organization: 2) Determined the interested parties that are relavantto the quality management syste? b) Determined the requirements of these interested parties that are relevant to the uality management system? 4 _| Isthe organization reviewing and monitoring information about these interested parties and their relevant requirements? 4.3. Determining the scope of the quality management system 5 _| Has the organization determined the boundaries and the applicability of he quality management, system in order to establish its scope? % _ | When establishing the scope has the organization taken into consideration: 2) The external and internal issues referred to int? b} The requirements of relevant interested parties referred to in 4.2? ©) The products and services of the organization? 7 _ | Has the organization applied all ofthe requirements of the ISO 9001:2015 International Standard (if applicable) within the determined scope ofits quality management system? | lsthe scope of the organization's quality ‘management system available and maintained as documented information? 9 | Does the organization's scope state the types of products and services covered? Page 2 of 25 DNV-GL 10 | Does the scope provide any justification for any requirement of the ISO 9001:2015 international Standard that the organization determines is not applicable to the scope of its quality management system? 41 _ | Can the organization claim conformity to the ISO 9001:2015 International Standard by’ ') Ensuring that requirements determined as not applicable do not affect the organization's ability or responsibilty to ensure the conformity of ts products, services and enhancement of customer satisfaction? 4.4 Quality Management System and its Processes 44d 412 | Has the organization established, implemented, maintained and continually improved the quality management system including the processes needed and their interactions? 43 _ | Has the organization determined the processes: sded for the quality management system and their application throughout the organization by: '@) Determining the inputs required and the outputs expected from these processes? b) Determining the sequence and interaction of these processes? ©) Determining and applying the criteria and ‘methods (including monitoring, measurements and related performance indicators) needed to ensure the effective operation and control af these processes? 4) Determining the resources needed for these processes and ensuring their availabilty? @) Assigning responsibility and authority for these processes? ¥) Addressing the risks and opportunities as determined in accordance with the requirements of 6.1? 9) Evaluating these processes and implementing any changes needed to tensure that these processes achieve their intended results? 1h) Improving the processes and the quality management system? 442 14 | Has the organization to the extent necessary Page 3 of 25 DNV-GL '@) Maintained documented information to support the operation of its processes? 'b) Retained documented information to have confidence that the processes are being carried out as planned? 5 Leadership No. Questi Proc. Ref. Comments 5.1 Leadership and commitment 5.1.1 General 7 | Has top management demonstrated leadership and commitment with respect to the quality management system by: '@) Taking accountability for the effectiveness of the quality management system? 'b) Ensuring that the quality policy and quality objectives are established for the quality ‘managment system and are compatible with the context and strategic direction of the organization? ©) Ensuring the integration ofthe quality ‘management system requirements into the organization's business processes? {)_ Promoting the use of the process approach and risk-based thinking? €) Ensuring that the resources needed for the ‘quality system are available? 4) Communicating the importance of effective {quality management and of conforming to the quality management system requirements? {9} Ensuring that the quality management system achieves its intended results? h) Engaging, directing and supporting persons to contribute to the effectiveness of the quality management system? |) Promating improvement? }) Supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility? 5.1.2 Customer Focus 2._| Has top management demonstrated leadership and commitment with respect to customer focus by: '@) Ensuring that customer and applicable statutory and regulatory requirements are Page 4 of 25, DNV-GL ‘determined, understood and consistently 'b) Ensuring that the risks and opportunities that can affect conformity of products and services along with the ability to enhance customer satisfaction are determined and addressed? ©) Ensuring that the focus on enhancing customer satisfaction is maintained? 5.2 Policy 5.2.1 Establishing the quality policy 3 | Has top management established, implemented and maintained a quality policy that: '@)_ Is appropriate to the purpose and context of the organization and supports its strategie direction? b) Can provide a framework for setting quality objectives? ©) Includes a commitment to continual improvement to satisfy applicable requirements? )_ Includes a commitment to continual improvement of the quality management system? 5.2.2 Communicating the Quality Policy 4 _ | lsthe quality policy ’@) Available and maintained as documented information? b) Communicated, understood and applied within the organization? ©) Available to relevant interested parties, as appropriate? 5.3. Organizational roles, responsibilities and authorities '5 _ | Hastop management ensured that the responsibilities and authorities for relevant roles are assigned, communicated and understood within the organization? 6 _ | Hestop management assigned the responsibility and authority by: '@) Ensuring that the quality management system conforms to the requirements of the ISO 9001:2015 International Standard? 'b} Ensuring that the processes are di their intended outputs? ©) Reporting on the performance of the: quality management system and on Page 5 of 25 DNV-GL ‘opportunities for improvement (see 10.1) in particular to top management? Ensuring the promotion of customer focus throughout the organization? )__ Ensuring that the integrity of the quality management system is maintained when changes to the quality management system are planned and implemented? 6 Plann No. Question Proc. Ref. Comments 6.1 Actions to address risks and opportunities 610 Has the organization considered the issues referred toin 4.1 and the requirements referred to in 4.2 and determined the risks and opportunities that need to be addressed? Hes the organization’ '@) Given assurance that the quality management system can achieve its intended results? b) Enhanced desirable effects? ©) Prevented or reduced undesired effects? ) Achieved improvement? 612 Has the organization planned 2) Actions to address these risks and opportunities? 'b) How to integrate and implement the actions into its quality management system processes (see 4.4) and evaluate the effectiveness of these actions? Has the organization taken actions to address, Fisks and opportunities that are proportionate to the potential impact on the conformity of products and services? 6.2 Quality objectives and planning to achieve them 620 Has the organization established quality objectives at relevant functions, levels and Page 6 of 25, DNV-GL processes needed for the quality management system? 6 _| Has the organization developed quality objectives that: '@)_Are consistent with the quality policy? b) Are Measurable? ©) Take into account applicable requirements? @)_ Are relevant to conformity of products and services and to enhancement of customer satisfaction? @) Are monitored? 1) Are communicated? @) Areupdated as appropriate? 7 _ | Hes the organization maintained documented information on the quality objectives? 622 @ _ | When planning howto achieve quality objectives has the organization determined: @) What will be done? 'b) What resources willbe required? © Who willbe responsible? )_ When itwill be completed? 2) How the results will be evaluated? 63. Planning of changes {9 _| Hes the organization determined the need for changes to the quality management system and carried those changes out in a planned manner (see 44)? 70 _| When planning for changes has the organization considered! ') The purpose of the changes and their potential consequences? 'b) The integrity of the quality management system? ©) The availability of resources? 4) The allocation or reallocation of responsibilities and authorities? Page 7 of 25 7 Support DNV-GL No. Question Proc. Ref. Comments 7A Resources 7.1.1 General Has the organization determined and provided the resources necessary for the establishment, implementation, maintenance and continual improvement of the quality management system? When providing resources has the organization considered! 2) The capabilities of, and constraints on, existing internal resources? b) What needs to be obtained from external providers? 7.1.2 People Has the organization determined and provided the persons necessary forthe effective implementation ofits quality management system and for the operation and control ofits processes? 7.1.3 Infrastructure Has the organization determined, provided and maintained the infrastructure necessary for the operation ofits processes and to achi conformity of products and services? 7.1.4 Environment for the operation of processes Has the organization determined, provided, and maintained the environment necessary for the ‘operation of its processes and to achieve conformity of products and services? 7.1.5 Monitoring and measuring resources 7.1.5.1 General Has the organization determined and provided the resources needed to ensure valid and reliable results when monitoring and measuring is used to verify the conformity of products and services to requirements? Has the organization ensured that the resources, provided: '@)_Are suitable for the specific type of monitoring and measurement activities being undertaken? b) Are maintained to ensure their continuing fitness for their purpose? Page 8 of 25, DNV-GL 8 | Hes the organization retained documented information as evidence of fness for purpose of the monitoring and measurement resources? 7.1.5.2 Measurement Traceability {9 _ | Hasthe organization ensured that when ‘measurement traceability is a requirement, or is considered by the organization to be an essential part of providing confidence in the validity of measurement results, that measuring equipment '@)_ Calibrated or verified, or both, at specified intervals, or prior to use, against measurement standards traceable to international or national measurement standards and when no such standards exist, the basis used for calibration or verification is retained as documented information? b}_ Identified in order to determine their status? ©) Safeguarded from adjustments, damage or deterioration that would invalidate the calibration status and subsequent measurement results? 40 _ | Has the organization determined ifthe validity of previous measurement results have been adversely affected when measuring equipment is. found to be unfit for its intended purpose, and takes appropriate action as necessary? 7.1.6 Organizational knowledge 71 _ | Has the organization determined the knowledge necessary for the operation of its processes and to achiave conformity of products and services? 42. | Has this knowledge been maintained and made available to the extent necessary? 43 _ | Has the organization when addressing its changing needs and trends, considered its current knowledge and determined how to acquire or access any necessary additional knowledge and required updates? 7.2 Competence 44 _ | Has the organization: 2) Determined the necessary competence of a person(s) doing work under its control that affects the performance and effectiveness of the quality management system? 1b) _Ensured that these persons are competent fon the basis of appropriate education, Page 9 of 25, DNV-GL Taining, oF experience? ©) Ensured where applicable taken actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken? d)_ Retained appropriate documented information as evidence of competence? 7.3. Awareness 45 _ | Has the organization ensured that the persons doing work under the organization's control are: aware of a) The quality policy? b)_ Relevant quality objectives? (©) Their contribution to the effectiveness of the quality management system, including benefits of improved performance? 4) The implications of not conforming with the quality management system requirements? 7.4 Communication 16 | Has the organization determined the internal and external communications relevant to the quality management system including: 8) What twill communicate? b) When to communicate? ©) With whom to communicate? ) How to communicate? @) Who communicates? 7.5 Documented Information 7.5.1 General 47 _ | Has the organization's quality management system included documented information that @)_ Is required by the ISO 9001:2015 International Standard? 'b)_ Is documented information determined by the organization as being necessary for the effectiveness of the quality management system? 7.5.2 Creating end updating 48 | When creating and updating documented information has the organization ensured: Page 10 of 25 DNV-GL '@) The documented information has an appropriate identification and description? 'b) The documented information has an appropriate format? ©) The documented information has been reviewed and approved for suitability and adequacy? 7.5.3 Control of documented information 7531 19 Has the organization ensured that documented information required by the quality management system and by the ISO 9001:2015 standard is controlled to ensure: @) Thats available and suitable for use, where and when itis needed? b) That tis adequately protected (from loss of confidentiality, improper use, or loss of integrity)? 7532 Has the organization, in order to control documented information, addressed a). Its distribution, access, retrieval and use? ) Its storage and preservation, including preservation of legibility? (©) Its control of changes (o.g. version control)? )_ Its retention and disposition? Has the organization determined documented information of external origin necessary for the planning and operation of the quality ‘management system be identilied as appropriate, and be controlled? Has the organization retained documented information as evidence of conformity and protected it from unintended akerations? 8 Operation No. Question Proc. Ref. ‘Comments 8.1 Operational planning and control Has the organization planned, implemented and controlled the processes (see 4,4) needed to meet the requirements for the provision of Page 11 of 25 DNV-GL producis and services and implemented the actions determined in Clause 4, by: ') Determining the requirements for the products and services? 'b) Establishing criteria for the processes and the acceptance of products and services? ©) Determining the resources needed to achieve conformity to the product and service requirements?

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