Audit Scope

  • Enter the scope:

  • Business functions review during audit:

  • Function:

Review of previous audit findings

  • Have all non-conformance's and areas of concern been completed from previous audit?

  • Complete details for each outstanding NCR:

  • Outstanding NCR
  • NCR Number:

  • Details on incomplete NCR:


Understanding the context

  • Has the site identified risks/opportunities both internal & external which can affect the sites operation and the control of the associated processes? eg. PESTEL Analysis

  • List those identified:

  • PESTEL.jpg

Quality System

  • Can the auditee demonstrate how to locate Quality Management System documentation on the intranet?

  • Quality Policy

  • National Quality Manual

  • National Quality Procedures


Quality policy

  • Does the site have a copy of the quality policy displayed or available for viewing by customers and staff?

  • Do employees demonstrate an understanding and apply the principles of the policy?

  • How?


Actions to address risks & opportunities

  • Have the risks & opprtunities identified been assessed? eg. SWOT

  • What actions have been implemented to address them?

  • 1200px-SWOT_en_svg.png

Quality objectives & planning to achieve

  • What are the sites quality/business objectives? Eg. KPI's, Strategic initiatives.

  • Are the objectives;

  • Consistant with the Quality Policy

  • Measurable and monitored

  • Enhance customer satisfaction

  • Relevant to the conformity of products and services

  • Communicated

Planning of change

  • How does the site plan change?, with consideration to; - Potential consequences - Effects on quality management system - Availability of resources - Roles & responsibility



  • Does the site/department have a resource to implement & maintain the quality management system? Note: this can be part of another role.


  • Does the site/department plan & conduct preventative maintenance on plant and equipment?

  • Does site/department have a separate quality manual and/or departmental procedure manual?

  • Document ID, revision# & date

  • Is there documented evidence procedures/manual has been reviewed?

Monitoring and measuring resources

  • Types of equipment used:

  • Is the equipment identifiable ie. serial numbers?

  • Are there records of calibration and/or internal equipment checks to ensure accuracy?

Organisational Knowledge / Competence

  • Are personnel deemed competent to perform duties related to product requirements?

  • Are records maintained for education, training, skills, experience etc.?


  • Are all employees aware of the quality/business objectives, how they contribute to the effectiveness and implications of not conforming?


  • How does the site communicate internally?

  • Has the site determined the what, when,how & with whom communications are made?

Documented information

  • Using 'NAT-QMS-PRO-001 Quality Document Control' as a reference, review site/department processes for conformance to procedure:

  • Ref 5.2 - Are controlled documents located on intranet?

  • List any documents not currently controlled identified as requiring document control:

  • Document
  • Ref 5.4 - Is the New/Amended Documents process followed?

  • Ref 5.6 - Are obsolete documents removed from intranet and retained for period stipulated in 'ARC Policy Guide - Document Retention'?


Requirements for products and services

  • Are product requirements reviewed prior to commitment to supply, ensuring product order/delivery and general supply requirements are able to be met?

  • Are the customer requirements determined in relation to delivery/post delivery and those specified by the customer?

  • In the event of contract/requirement changes, how is this reviewed and confirmed prior to supply?

  • Does the department/site use or control any customer property - including intellectual property and personal data?
    Eg. Drawings, Customer own material, New designs/Concepts.

  • How is the customers documented information stored, maintained & disposed of (where required)?

  • Are records maintained for any damage or loss to customer property?

Control of externally provided processes, products & services

  • Use 'NAT-QMS-PRO-005 Purchasing critical materials & services' & any site/department based procedures as a reference:

  • Does the site purchase external products which affect the conformity of products provided?
    Eg. Bar/mesh, assessories etc.

  • Are the purchase requirements (product, specifications, acceptance criteria etc.) communicated to the vendor?

  • What processes are in place to ensure conformity to ARC's QMS, specifications/Australian Standards or other customer requirements?

  • Is there a process in place to inspect and verify purchased products?

  • Does the site use any externally sourced processes which affect the conformity of products provided?
    Eg. Pre-fabricators, Bar threading, Scheduling etc.

  • Are these processes in control of ARC in relation to QMS, specifications, conformance verification etc.?

Production & service provision

  • Does the site/department have production facilities?

  • Is the product identified and recorded for traceability purposes?

  • Are production records maintained?

  • Are product checks/measurements specified and recorded?

  • Review operation against instruction/procedure:

  • Are samples collected weekly and sent for mechanical properties testing?

  • Are rib heights measured daily per machine per diameter?

  • Mass/Mtr (Rolling Margin) being calculated as specified?

  • Are weld shear tests being conducted for every batch (1000 sheets or less if specified)?

  • Are Yield/Tensile tests being conducted at the specified intervals?

  • Are there welding pre-qualification procedures in place?

  • Are welds inspected prior to product dispatch?

  • Is a record maintained of weld inspections?

  • Are all products held in stock clearly labelled for identification and traceability purposes?
    Note: At risk items part packs/bundles, stock transfers, off cut material etc.

  • Is there a process in place for product approval prior to release?

Control of non-conforming outputs

  • Use 'NAT-QMS-PRO-004 Non-conforming products & services' and any site/dept based procedures as a reference:

  • Are non-conformance reports being raised for any external and internal errors?

  • Are corrective and preventative actions being documented and effectively implemented?

  • Is non-conformance data analysed and used for continual improvement?


Customer satisfaction

  • Is customer (internal/external) satisfaction measured at a department/site level?

  • Is data received analysed to improve customer service?

Analysis and evaluation

  • Is Data collected and analysed for evaluation and improvement?
    eg. Production, sales, dispatch, product quality & performance.

Internal Audit

  • Use 'NAT-QMS-PRO-002 Internal Audit' and any site/dept based procedures as a reference:

  • Are internal audits scheduled, planned and recorded as per procedure?

  • Are internal audits conducted as scheduled?

  • Are corrective actions completed without undue delay?

  • Have audit results been reported to relevant management?

Management review

  • Does the site/department conduct local management reviews?
    Eg. Departmental / Site / Regional / State meetings covering business goals, current performance, quality issues, general communication etc.




  • Non-Conformances are required to be entered into Symix as per NAT-QMS-PRO-004 Nonconforming Products and Services.

  • Non-Conformance
  • Symix NCR Number:

  • Enter NCR Summary:

Opportunities for improvement

  • Identify any opportunities for improvement

  • Opportunity for improvement

General Summary/Final comments

  • General summary/comments


  • Auditor Initial

  • Department/Site Representative Initial

The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. Any ratings or scores displayed in our Public Library have not been verified by SafetyCulture for accuracy. Users of our platform may provide a rating or score that is incorrect or misleading. You should independently determine whether the template is suitable for your circumstances. You can use our Public Library to search based on criteria such as industry and subject matter. Search results are based on their relevance to your search and other criteria. We may feature checklists based on subject matters we think may be of interest to our customers.