Title Page

  • Audit date :

  • Audit reference :

  • Auditor :

  • Auditee :

Mandatory Audit Questions

  • Are procedures being audited meeting the requirements of the where applicable e.g., ISO 9001:2015 and customer-specific codes of practise?

  • Are documents accessible and readily available on the master register?

  • Are documents in use the correct revisions?

  • Have the relevant staff been trained on these documents?

  • Are training records up-to-date with the current documents?

  • Previous Audit Reviewed

  • Any NC Raised in Previous Audit Closed

Audit Specific Questions

  • Has the organisation determined the risks and opportunities to be addressed

  • Evidence :

  • Has the risks and opportunities considered the context of your organization & any interested parties

  • Evidence :

  • Has risk identification methodology been assigned – is it realistic

  • Evidence :

  • Does risk methodology include probability or likelihood and risk impact

  • Evidence :

  • Is their evidence that methodology is used consistently and effectively

  • Evidence :

  • Where risks are identified are controls in place

  • Evidence :

  • Has the organisation identified response actions to improve control measures

  • Evidence :

  • Are actions planned to address identified risks and opportunities recorded e.g mitigation plan

  • Evidence :

  • Does the organisation evaluate & review effectiveness of actions at addressing the risks

  • Evidence :

  • Is the action taken proportionate to the risk or opportunity

  • Evidence :

  • Does the risk & opportunity register record the date that risks are identified or modified

  • Evidence :

  • Is risk identification conducted by knowledge, competent persons

  • Evidence :

  • Does the organisation includes all sources of risk, including those beyond our organization’s control e.g acts of god, political risk etc

  • Evidence :

  • Does the organisation identify all significant risks that could impact our organization from all risks.

  • Evidence :

  • Is a risk owner established for development of the response

  • Evidence :

  • Is a response action owner for each action established

  • Evidence :

  • Is a response strategy to treat, terminate, tolerate or transfer the risk identified

  • Evidence :

  • Is there evidence that the risk is reassessed to reflect any newly introduced control measure

  • Evidence :

  • Are risk and opportunities monitored to determine whether they are current or updated when new emerging issues are identified.

  • Evidence :

  • Are clear objectives defined for relevant functions, levels and processes within the management system?

  • Evidence :

  • Where group objectives are in place, are these understood & communicated at site level?

  • Evidence :

  • Are objectives established throughout the organization?

  • Evidence :

  • Do objectives support the quality policy?

  • Evidence :

  • Has the organizations established and maintained one or more management improvement programme for achieving their objectives

  • Evidence :

  • Are the objectives documented, include targets with clear measures of success? S.M.A.R.T

  • Evidence :

  • Has a designated responsible person from the relevant function/level of the organization to support in the achievement of the objective been defined.

  • Evidence :

  • Is an action plan describing how each target will be achieved documented?

  • Evidence :

  • Has a time-frame or a schedule for achieving each target been defined?

  • Evidence :

  • Are objectives clearly communicated to staff?

  • Evidence :

  • Are objectives monitored

  • Evidence :

  • Is progress against targets reviewed & reported to site senior management

  • Evidence :

  • Are sufficient resources available to realise objectives

  • Evidence :

  • Is there a system for determining changes to Processes and procedures

  • Evidence :

  • Is there a system for determining changes to Quality manual

  • Evidence :

  • Is there a system for determining changes to Documented information

  • Evidence :

  • Is there a system for determining changes to Infrastructure

  • Evidence :

  • Is there a system for determining changes to Tooling & Process equipment

  • Evidence :

  • Is there a system for determining changes to Employee training

  • Evidence :

  • Is there a system for determining changes to Supplier evaluation

  • Evidence :

  • Is there a system for determining changes to Stakeholder management

  • Evidence :

  • Is there a system for determining changes to Interested party requirements

  • Evidence :

  • Are quality management system changes that affect processes communicated to personnel

  • Evidence :

  • Are changes monitoring to ensure that changes are effectively implemented

  • Evidence :

  • Where changes that impact the management system are made are records available

  • Evidence :

  • Is organizational knowledge reviewed before changes are made

  • Evidence :

  • Has the organisation considered the potential consequences of the change (risk and opportunities)

  • Evidence :

  • Has the organisation consider how the change effects the current process

  • Evidence :

  • Are resources allocated to affect change

  • Evidence :

  • Where required by the change are allocation or reallocation of responsibilities and authorities assigned?

  • Evidence :

Opportunity For Improvement

  • Number of OFI raised :

  • Details

  • Have the OFI details been added to HubSpot

Non-conformance

  • Number of Non-conformances raised :

  • Details

  • Have the Non-conformance details been added to the HubSpot

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. You should independently determine whether the template is suitable for your circumstances.