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CLIENT NAME: ADDRESS OF COMPANY: NAME OF CLIENT CONTACT PERSON: POSITION OF CLIENT CONTACT PERSON: STANDARD: AUDIT START DATE: AUDIT END DATE: AUDITOR: {} {} {} {}
{} {} {} {} NUMBER OF {} EMPLOYEES:
SIGNATUR E:
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Questions
Statu s
4.1 General Requirements
Actions/Comments
4.0 QUALITY MANAGEMENT SYSTEM 1. Does the organization manage its processes in accordance with the requirements of the ISO 9001 International Standard? 2. Does the organization establish, document, implement, and maintain a quality management system, and continually improve its effectiveness, in accordance with the requirements of the ISO 9001 International Standard? 3. Does the organization identify the control of outsourced processes? 4.2 Documentation Requirements
4.2.1 General
4. Does the quality management system documentation include: Documented statements of a quality policy and quality objectives? A quality manual?
4.2.2 Quality Manual 5. Has a quality manual been established and maintained that includes: a) The scope of the quality management system, including details of, and justification for, any exclusion (see 1.2)? b) The documented procedures established for the quality management system, or reference to them? c) A description of the interaction between the processes of the quality management system?
4.2.3 Control Of Documents 6. Are documents required by the QMS controlled? Is a documented procedure established to define controls needed:
Approve documents for adequacy prior to issue? update as necessary and re-approve
Review, documents?
Ensure that changes and the current revision status of documents are identified? Ensure that relevant versions of applicable documents are available at points of use?
Ensure that documents of external origin are identified and their distribution controlled?
Prevent the unintended use of obsolete documents, and apply suitable identification if they are retained?
4.2.4 Control Of Records 7. Is a documented procedure established to define controls needed? 8. Are records established and maintained to provide evidence of conformity to requirements and of the effective operation of the quality management system? 9. Is a documented procedure established to define the controls needed for the identification, storage, protection, retrieval, retention time and disposition of records?
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13. Do inputs to management review include information on: Results of audits Customer feedback Process performance and product conformity? Status of preventive and corrective actions? Follow-up actions from previous management reviews? Changes that could affect QMS Recommendations for improvement? 5.6.3 Review Output 14. Do the outputs from the management review include any decisions and actions related to: Improvement of the effectiveness of the quality management system and its processes? Improvement of product related to customer requirements? Resource needs? 6.0 RESOURCE MANAGEMENT 6.1 Provision Of Resources
1.
Does the organization determine and provide the resources needed to: Implement and maintain the QMS and continually improve its effectiveness? Enhance customer satisfaction by meeting customer requirements? 6.2 Human Resources 6.2.1 General
2.
Are personnel competent on the basis of appropriate education, training, skills and experience? 6.2.2 Competence, Awareness And Training
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6.3 Infrastructure
5.
Does the organization determine, provide and maintain the infrastructure needed to achieve conformity to product requirements? Does it include, as applicable: Buildings, workspace and associated utilities? Process equipment (hardware and software) Supporting services (such as transport communication)?
or
Does the organization determine and manage the work environment needed to achieve conformity to product requirements? (physical, environmental and other factors such as noise, temperature, humidity, lighting, weather) 7.0 PRODUCT REALISATION (AS APPLICABLE) 7.1 Planning Of Product Realization
Does the organization plan and develop the processes needed for product realization? 2. Does the organization determine the following, as appropriate: Quality objectives and requirements for the product? Is the output of this planning in a form suitable for the organizations method of operations?
1.
Does the organization determine the requirements specified by the customer, including the requirements for
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7.2.2
CUSTOMER COMMUNICATION
6. Does the organization determine and implement effective arrangements for communicating with customers in relation to: Product information? Inquiries, contracts or order handling, including amendments? 7.3 Design And Development 7.3.1 Design And Development Planning 7. Does the organization plan and control design and development of product? 8. During the design and development planning does the organization determine the: Design and development stages? Review, verification and validation that is appropriate to each design and development stage? Responsibilities and authorities for design and development? 9. Are interfaces between different groups involved in design and development managed to ensure effective communication and clear assignment of responsibility? 10. Is the planning output updated, as appropriate, as the design and/or development progresses? 7.3.2 Design And Development Inputs 11. Are inputs relating to product requirements determined and records maintained (see 4.2.4)? 12. Do these inputs include:
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