Information
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
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Is the auditee aware of the ISO9001 Quality Management System?
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Is the auditee able to navigate the intranet to find the Quality Management System documentation area?
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How does the auditee interact with other Business Units within the organisation including handover requirements?
1.0 Requirements and traceability mapping:
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1.1 is the organisation managing requirements and their traceability? Requirements management traceability mapping: contract requirements/ customer specifications - how is it captured and managed? Change management when specifications change or requirements change.
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Validation notes?
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Photographic evidence?
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Level of Conformance?
2.0 Document control and management:
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2.1 Has the organisation established, implemented and maintained document control management?
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What does the host use to manage Document quality?
Tracking of changes
Records of non conforming products
Folder controls
Version controls
Folder access
Review process for document release
Retention policy
Document templates -
Validation notes?
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Photographic evidence?
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Level of Conformance?
3.0 Position descriptions and responsibilities:
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3.1 Position descriptions and responsibilities documented?
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Does the organisation use position descriptions to capture key responsibilities, including WHS and quality aspects?
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Validation notes?
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Photographic evidence?
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Level of Conformance?
4.0 Procedure controls and access:
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4.1 Is the organisation aware of the Quality Management System?<br>
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Is the organisation following the QMS procedures?
Is QMS followed?
Can it be referenced?
Is there awareness and training demonstrated? -
Validation notes?
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Photographic evidence?
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Level of Conformance?
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4.2 Is quality part of the induction process?
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Validation notes?
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Photographic evidence?
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Level of Conformance?
5.0 Measurement controls:
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5.1 Is there evidence of records?<br>Calibration, testing and verification<br>Install approvals<br>Build status, version control, software registers<br>Configuration management
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Validation notes?
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Photographic evidence?
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Level of Conformance?
6.0 Issue Management:
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6.1 Are issues actively tracked and managed?
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Issues are actively tracked by?
Problem or defect management
Tracking of resolution
Tracking of improvements
Corrective and preventative actions
Are owners assigned? -
Validation notes?
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Photographic evidence?
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Level of Conformance?
7.0 Training/competency determination:
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7.1 Does the organisation actively use training analysis to determine training requirements and record progress?
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Is there evidence of training records?
Certificates
Qualifications
Training matrix -
Validation notes?
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Photographic evidence?
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Level of Conformance?
8.0 Customer Satisfction:
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8.1 Does the organisation show evidence of managing customer expectations and corrective action by soliciting customer feedback?
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How does the organisation promote customer feedback?
Feedback & complaint management
Surveys
Information and communication ( minutes, meetings, formalisation and tracking of customer issues -
Validation notes?
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Photographic evidence?
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Level of Conformance?
9.0 Purchasing Controls:
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9.1 Does the organisation show evidence of purchasing controls?
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How does the organisation put quality controls around purchasing?
Supplier checks? Procedures for bringing on suppliers
Workplace systems, and training associated
Project procurement controls
Preferred suppliers? -
Validation notes?
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Photographic evidence?
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Level of Conformance?
10. Conformance of Product (and services) to Requirements:
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10.1 Does the organisation demonstrate practices to show conformance to product and service requirements?
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How does the organisation manage conformance to requirements of services, delivery products?
How is it managed, tracked?
Kept on track how?
Including project delivery ( WBS, resource management, reviews, internal, external) -
Validation notes?
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Photographic evidence?
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Level of Conformance?
11. Sub-contractor Management:
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11.1 Does the organisation show evidence of subcontractor management?
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Does the organisation check or audit sub-contractors? Show record of communication, establishment of baseline quality?
WHS requirements?
Issue Management -
Validation notes?
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Photographic evidence?
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Level of Conformance?
12. Design Management:
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12.1 Does the organisation manage functional and performance determination and management?
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How is it controlled and managed, measured?
Testing, validation
Responsibilities defined
Communication
Design reviews
Peer reviews
Control of changes -
Validation notes?
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Photographic evidence?
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Level of Conformance?
13. Product/ Project Quality Aspects:
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13.1 Are there local quality goals or policy?<br>Project KPI's and project tracking<br>Lead and lag indicators<br>Any quality assurance systems?<br>Analysis of data or metrics<br>Monitoring and measuring performance of processes and products?
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Validation notes?
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Photographic evidence?
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Level of Conformance?
14. Compliance Considerations:
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14.1 is the organisation managing compliance considerations, managing and meeting obligations?
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How does the organisation manage and meet compliance obligations?
Privacy obligations
Security obligations
Certifications
Key government guides
Client requirements for inductions, safety management -
Validation notes?
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Photographic evidence?
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Level of Conformance?
15. Management Review:
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15.1 Is there evidence for the organisation of management input and direction?
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How does the organisation facilitate management input and direction?
Setting of priorities?
Management reporting, weekly or monthly
Reporting against KPI's or milestones
Tracking of project deliverables
Discussion of delays or key issues, escalation assistance -
Validation notes?
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Photographic evidence?
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Level of Conformance?
16. Risk:
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16.1 Does the organisation demonstrate risk management, evidence and considered in decision making?
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What evidence of risk is considered in decision making?
Is the a risk register? For quality, safety, project or operational? -
Validation notes?
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Photographic evidence?
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Level of Conformance?
Office use only:
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Date of audit?
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Host signature
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Assessor signature
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Version: safety cloud/ iauditor V5.1
Created: May 2014 - Modified: june 16 - Review: July 2014
