M.

Sullivan & Son Limited INTERNAL AUDIT CHECKLIST

Area Audited:
Auditor:
Date of Audit:

Company Process: Management Responsibility

AD NC OFI
Standard Area/Procedure/Process Comments
Management Commitment
5.1 For the QMS, does top management
provide evidence of commitment to:
 Development
 Implementation
 Continually improving effectiveness
(What has management done in the past six months
to further develop the QMS, have any new
policies/procedures been put into practice recently or
been analyzed. What was the result?)

5.1 Does commitment include:

 Communication regarding the
importance of meeting customer as
well as statutory and regulatory
requirements
 Ensuring objectives for quality are
established
 Conducting management reviews
 Ensuring availability of resources
 Are resources (management time,
money, people) available when
needed?
 Establishment of a Quality Policy
Quality Policy
5.3 Has top management ensured that the
quality policy:
 Is appropriate to the purpose of the
organization
 Includes a commitment to comply with
requirements of the QMS and
continually improve effectiveness of
the QMS
 Provides a framework for establishing
and reviewing quality objectives
 Is communicated and understood
 Is reviewed for continuing suitability

4.2.3
4.2.4
6.2
6.3/6.4
7.6
1
SQF 685 rev004
January 13, 2012
 M. Sullivan & Son Limited INTERNAL AUDIT CHECKLIST

Area Audited:
Auditor:
Date of Audit:

Company Process: Management Responsibility

AD NC OFI
Standard Area/Procedure/Process Comments
Customer Focus
5.2 With the aim of enhancing customer
satisfaction, how does top management
ensure customer requirements are
determined and met?
Quality Objectives
5.4.1 Has top management ensured quality
objectives are established at relevant
functions and levels with the organization,
including those needed to meet project
requirements? (KPI’s)

5.4.1 Are quality objectives (KPI’s):

 Measurable
 Consistent with the quality policy
Quality Management System Planning
5.4.2 Does top management ensure:
 Planning is carried out to meet
purpose and scope requirements?
 Integrity of the Quality Management
System is maintained when changes
to the system are planned and
implemented.
(Have changes to improve QMS efficiency been
undertaken with the aim to preserve effectiveness?)

Responsibility and Authority

5.5.1 Within the organization, does top
management define and communicate:
 Responsibility
 Authority
(Are there Job Role Documents, is there an
Organizational Chart)

Management Representative
5.5.2 Have appropriate communication
processes been established within the
organization?
(what are the communication processes
established?)

4.2.3
4.2.4
6.2
6.3/6.4
7.6
2
SQF 685 rev004
January 13, 2012
 M. Sullivan & Son Limited INTERNAL AUDIT CHECKLIST

Area Audited:
Auditor:
Date of Audit:

Company Process: Management Responsibility

AD NC OFI
Standard Area/Procedure/Process Comments
5.5.2 Does communication take place regarding
the effectiveness of the Quality
management System at planned
intervals?
(Are Management Reviews conducted?)

5.5.2 Has top management appointed a

member of management to have
responsibility and authority that includes:
 Ensuring processes for the Quality
Management System are established,
implemented and maintained
 Reporting to top management on
performance of the Quality
Management System.
 Ensuring awareness of customer
requirements is promoted throughout
the organization.

5.5.2 Does the review of the Quality

Management System ensure:
 Continuing suitability
 Adequacy
 Effectiveness
Management Review
5.6.1 Do Management Reviews include:
 Assessing opportunities for
improvement
 Assessing the need for change to the
Quality management System
 Review of Quality Policy (annually)
 Review of quality objectives
(performance and appropriateness)

Have records of reviews been

maintained?
(Look for records of meeting agendas and minutes)

4.2.3
4.2.4
6.2
6.3/6.4
7.6
3
SQF 685 rev004
January 13, 2012
 M. Sullivan & Son Limited INTERNAL AUDIT CHECKLIST

Area Audited:
Auditor:
Date of Audit:

Company Process: Management Responsibility

AD NC OFI
Standard Area/Procedure/Process Comments
Review Input
5.6.2 Does input to management review
include:
 Results of audits
 Customer feedback
 Process performance and product
conformity
 Status of preventive and corrective
actions
 Follow-up actions from previous
reviews
 Planned changes that could affect the
Quality Management System
 Recommendations for improvement
(Look at agendas and minutes to determine)

Review Output
5.6.3 Does output of the Management Review
include decisions and actions related to:
 Improvement of effectiveness of the
Quality Management System and its
processes
 Improvement of product related to
customer requirements
 Resource needs
(Look at agendas and minutes to determine)

Provision of Resources
6.1 Has the organization determined and
provided the resources needed to:
 Implement and maintain the Quality
Management System and continually
improve its effectiveness
 Enhance customer satisfaction by
meeting customer requirements.
(Dedicated positions and what are they? How has
the organization made efforts to increase customer
satisfaction)

Human Resources
6.2.1 How are all personnel performing work
affecting quality determined to be
competent?
(Experience, education, certification and training)

4.2.3
4.2.4
6.2
6.3/6.4
7.6
4
SQF 685 rev004
January 13, 2012
 M. Sullivan & Son Limited INTERNAL AUDIT CHECKLIST

Area Audited:
Auditor:
Date of Audit:

Company Process: Management Responsibility

AD NC OFI
Standard Area/Procedure/Process Comments
6.2.1 Does the basis for determination include:
 Appropriate education
 Training
 Skills and experience
Competence, Awareness and Training
6.2.2 How is it determined who receives
training?
(Part of employee review)

6.2.2 How are job requirements determined?

6.2.2 What documents are available as

guidance and reference to support
Training and personnel functions?
(Job Role Documents)

What records are produced?

(Education, Certification and Training Record SQF
705)

What rules exist with regards to record

maintenance, distribution and retention
times?
Monitoring and Measurement of Processes
8.2.3 What performance indicators exist for the
process?
(Key Performance Indicators)

What data is collected to assess

performance and what is the current level
of performance?

4.2.3
4.2.4
6.2
6.3/6.4
7.6
5
SQF 685 rev004
January 13, 2012