QMS AUDIT CHECKLIST

Audit Checklist Documents to Prepare Concerned Divisions

7.1 Resources -Procurement plan -PDD
- Annual budgeting
How does the organization determine and provide resources needed for the - PPMP
QMS and operations requirements? - APP
-WFP
-BEDs/BFARs
7.1.2 People -Procedure for -PRMD
Recruitment
1. How does the organization determine and provide the person -Selection and
necessary for the implementation of QMS and requirements of Appointment
operation? responsibility and
2. What is the procedure for the recruitment, selection and appointment? authority
- Job function
- Manpower requirement
-Approved Plantilla
-CSC Qualification
Standards
7.1.3 Infrastructure -Procedure for the -Logistics
Corrective/Preventive
1. How does the organization determine, provide and maintain the Maintenance
infrastructure needed for the QMS and requirements of operation? - Job Request
2. What is the procedure for the corrective and preventive maintenance - Maintenance Schedule
of buildings/utilities, equipment, transportation and ICT? - Maintenance Checklist
- Maintenance Report
- Inventory
-Equipment performance
7.1.4 Environment for the operation of processes -Relevant Employees’ -PRMD (MWD)
 Welfare Policy (MC)
1. How does the organization determine, provide and maintain the -Absenteeism Rate
environment necessary for the QMS and operation? -Turnover Rate
2. Is the temperature, heat, humidity, light, air flow, hygiene, noise,
- 7S Standard
where applicable provided and monitored? - CR Checklist
-workplace investigation
-HSD
-Safety Seal Certificate
7.1.5 Monitoring and measuring resources - Calibration Procedure -Logistics
- Calibration Report
1. What is the procedure for the measurement traceability? - Calibration Sticker
2. Are the measuring equipment calibrated/verified and traceable to -List of Equipment for
International and National Standard? Calibration

7.1.6 Organizational knowledge - Succession Planning, -PDD

- Flexibility of employees -PRMD
How does the organization determine the knowledge necessary for the QMS - Re-echoing of training, -HRDD
and operation? lessons learned,
implementation of
successful projects, etc
7.2 Competence - Competency Profile -HRDD
- L&D Procedure
1. How does the organization determine competent people necessary for - Training Survey
the QMS and operation? - Training Needs
2. What is the procedure for Learning and Development? Analysis
3. How does the organization determine training needs and evaluate - Training Program and
effectiveness of training? monitoring
4. Are the training records retained as documented information? Show - Training Effectiveness
evidence. and
Training Certificates
7.3 Awareness - Interview on the -All Divisions
awareness -Internal Auditors
 1. How does the organization ensure that persons under the organization on the Quality Policy
are aware of the Quality Policy, Relevant Objectives, contribution to - Relevant Quality
the QMS and implication of nonconformity to the QMS requirements? Objectives
- QMS requirements
- Job Function
7.4 Communication - Memorandum -PDD
- e-mails
1. What is the procedure for internal and external communication? - website (process flow) -RICTM
- information boards -ORCDS
- meetings with minutes

7.5 Documented information - Master list of internal -PDD

and external
1. What is the procedure for controlling ISO documents? documents
2. Do the ISO documents have identification, description and format? - master list of obsolete
Show evidence. documents
3. Are the ISO documents reviewed and approved prior to issuance? - list of retained
Show evidence. documented
4. What is the procedure for the distribution, access, retrieval, storage, information and
archiving and disposal of ISO documents? retention period
- storage and labeling
- master copy stamp
-controlled copy stamp
- uncontrolled copy
stamp
- obsolete stamp
- accomplished and
approved Document
Review Request Form
- document coding
- document cover page
 - ISO document portal
- hard copy of master
ISO document
8.1 Operational planning and control -Approved -PDD
procedures/flowcharts
1. How does the organization plan, implement and control the processes of service
needed for the QMS and operation? - creation of relevant
2. What are the processes identified for each service? checklist/forms
3. What are the resources needed for the service requirement? - procurement plan
- training plan
8.2 Requirements for products and services - received -RIPD
inquiry/feedback
1. How does the organization communicate the requirements for services from client
with the customer? - memorandum
2. Who handles inquiries, feedback, changes and complaints? - instructions
- customer requirements
- contracts
- MOA
- applicable legal and
other
requirements
1. How does the organization determine the requirements for services to -List of legal and other -Legal Section
be offered to customers? requirement
2. What are the applicable legal and other requirements applicable to the - relevant checklist -Food Service Council
service? - permit to operate
3. Who reviews the requirements for services? -MOA
4. Is the result of the review documented? Show evidence. - contracts
- process flow
8.2.4Changes to requirements for services -revised procedures -Legal Section
- amended MOA
1. How does the organization ensure that relevant documents are
 amended when there are changes? - orientation
2. Are relevant persons or Functional Divisions made aware of the
change requirement? Show evidence.

8.3 Design and Development of products/services - Designs and -PDD

development -Internal Auditors
1. Has the organization established, implemented and maintained a design inputs and output
and development process? - results of pilot run
2. What are stages and control considered during design and development of - customer approval
products/services? - validation
3. Are the inputs reviewed for adequacy for design and development results
purposes? Show evidence - dry run results
4. Do the design and development outputs meet the input requirements? - deployment status etc.
5. How does the organization review changes to the design and development
inputs and outputs to the extent necessary to ensure that there is no adverse
impact on conformity to requirements?
6. What are the identified reference monitoring and measuring requirements
and acceptance criteria, as applicable?
7. Does the organization maintain documented information about the results
of design and development inputs, outputs and changes? Show evidence.

8.4 Control of externally provided processes, and services -Procedure for -RSAO
8.4.2 Type and extent of control accreditation aligned
8.4.3 Information for external provider with RA 9184
- list accredited supplier
1. What is the procedure for the accreditation/selection of an external approved by HOPE
provider? -performance evaluation,
2. What are the criteria for the selection of an external provider? -inspection report
3. What is the procedure for the evaluation of external provider - stock card
performance? - inventory
4. What are the criteria for the performance evaluation and frequency of - disposal of
 evaluation? unserviceable equipment
5. What is the procedure for the receiving and issuance of supplies and - property tagging
equipment? -PR and PO
6. Who verifies/inspect the received supplies and equipment?
7. What is the procedure for the inventory and disposal of equipment?
8. Is the result of verification documented? Show evidence.
9. How does the organization communicate the requirements to the
external providers?

8.5.1Control of production and service provision -Processes/flowcharts -PDD

- PPMP -PRMD
1. How does the organization ensure that documented information -designation
necessary for the operation are available? - appointment
2. Are the infrastructure and the environment suitable? - calendar of activities
3. Are the personnel competent in their area of responsibility? - etc.
4. What are the validation or monitoring and measurement applicable to
the services?

8.5.2 Identification and traceability - property tagging -All Divisions

- control numbers
1. How does the organization identify conformity of service outputs? - application number
2. How does the organization provide unique identification of these - coding
service outputs and retain documented information for traceability? - received/released
stamps
- logbooks
- etc

8.5.3 Property belonging to customers or external providers - Inventory/list of -Logistics

equipment/tools -RID
How does the organization control and protect the property of interested - intellectual property
parties? and
 personal data
8.5.4 Preservation -Preservation includes -All Divisions
identification
1. How does the organization preserve the outputs of the services? - handling
- packaging
- storage
- labeling
-transmission and
protection
8.5.5 Post-delivery activities -Customer feedback -All Divisions
-after service inquiry
1. How does the organization determine and provide requirements of the - etc.
customer after services have been delivered?

8.5.6 Control of changes -Documented result of -OARDA

review
1. How does the organization review and control changes for services? with approval of Top
2. Who approves and authorizes the changes? Is the result of the review Management
documented? Show evidence.
8.6 Release of services - Release of services -PDD
- Transmittal
1. How does the organization ensure that service requirements have - stamped released
been met prior to their release? documents
2. Does the organization retain documented information of the released - Approved
services? Show evidence. certificate/documents
- applicable forms etc.
8.7 Control of nonconforming outputs - Nonconformity report, -All divisions
- inspection report -Internal Auditors
1. How does the organization identify and control nonconforming service - evaluation report
outputs?
2. Are the nonconforming service outputs documented? Show evidence.
9.1 Monitoring, measurement and evaluation -Relevant monitoring -PDD
9.1.2 Customer satisfaction (Q) -customer survey -ICTM
9.1.3 Analysis and evaluation -customer satisfaction
and
1. How does the organization monitor and measure their processes and tabulation
effectiveness of QMS? -employment data
2. What are the analyses and evaluation identified for services? -recognition
3. Does the organization retain documents for the monitoring and -statistical data related
measurements? Show evidence. to
4. What is the procedure in measuring customer satisfaction? services

9.2 Internal audit -Internal Audit Program -Internal Auditors

and
1. What is the procedure for the conduct of the Internal Audit? plan
2. What is the audit frequency? Audit /criteria and scope? - checklist
3. How does the organization select competent auditors? - report
4. Are the internal audit records retained as documented information? - certificate of auditors
Show evidence. - nonconformity and
observation report
9.3 Management review -MR agenda
-Unit/section
presentation based on
1. What is the procedure for Management Review? the agenda
2. What are the Management Review inputs/agenda? -meeting minutes
3. Is the MR agenda aligned with ISO 9001? Show evidence.
4. What are the MR outputs?
5. Are the Management Review outputs/minutes retained as documented
information? Show evidence.

10.1 General - Correction/corrective

 action
1. How does the organization determine opportunities for improvement - innovation
necessary to meet customer requirements and enhance customer - reorganization
satisfaction? - continual improvement
- customer feedback
10.2 Nonconformity & corrective action - Nonconformity report
with corrective action
1. What is the procedure for the control of nonconformity and corrective - nonconformity log
action?
2. How does the organization verify the corrective action and review the sheet
effectiveness of corrective action? - status of NC
3. Are the nonconformities and corrective actions retained as
documented information? Show evidence.

10.3 Continual improvement -Suggestion log sheet

- CI projects
1. How does the organization continually improve the QMS? -7S program
- etc.