QUALITY MANAGEMENT SYSTEM AUDIT CHECKLIST

ISO 9001:2015

Area Audited: Area Head:

Date/s of Audit:
Auditor:
Clause No. GUIDE QUESTIONS OBJECTIVE OBJECTIVE AUDIT FINDINGS CRITICALITY
EVIDENCES EVIDENCES NOT  Conformity
SHOWN SHOWN  Non-Conformity
 Opportunity for
Improvement
4.1 What are the identified Office tasks based on the Office KRAs?
6.2 In understanding the Context of the Organization (Office), how many
quality objectives have been formulated? Are these objectives Specific,
Measurable, Achievable, Realistic and Time-bound?
4.1 What are the surrounding issues, both internal and external, that are
identified relevant to the quality objectives that have been
formulated?
4.2 Who are the interested parties, both internal and external, that have
been identified, and what are their needs and expectations?
6.1 What are the risks identified by the Office and what are the results of
the risk assessment made?

Are there opportunities identified? If yes, how do these opportunities

support the implementation of Quality Management System?
6.2 What plans have been identified to address the identified risks by the
Office?

Are there processes established to address such risks? How do these

processes help address the identified risks?

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9.1 What monitoring and evaluation measures are undertaken to achieve
targets, especially those stated in the Quality Objectives?
What monitoring tools have been developed and utilized?
What are the results of the monitoring and evaluation?
4.4 How many processes have been crafted in the Office? Do they include
the following?
- Inputs and outputs
- Sequence and interaction
- Criteria, method and performance indicators
- Resources needed
- Defined responsibility and authority for all personnel
- Risks and opportunities
- Method for monitoring and change to ensure intended results
- Opportunities for improvement of the processes
4.4 What documents are available to show that processes are undertaken
as planned?
7.1 What resources are made available by the Office to ensure that the
tasks, processes and procedures are carried out?
7.2 How many personnel are there at the Office and what measures are
undertaken to ascertain their Competence?
7.3 How is Communication (going out, coming in) managed by the Office?
What are the evidences available that support the claim that
Communication is efficiently carried out?
7.4 What files are available supporting the claim that all the legal basis
(laws, amendments, orders, memorandum, guidelines) are considered
in carrying out tasks?
8.1 What are the products/services “delivered” and “received” by the
Office?
8.2 How are the requirements of these products/services established?
8.3 What controls are in place to ensure conformity of the
products/services, whether incoming or outgoing?
8.4 What measures are in place to deal with non-conforming outputs,
products or services, whether incoming or outgoing?
10.2 How does the Office deal with the Non-Conformities and Opportunities
for Improvement that are observed by the Auditor/s?
What corrective actions are in place?
7.1 Is the physical upkeep of the Office given priority?

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Version 2.0
jllagata/03.15.2021

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