Rev. No. 00 - 03/01/17 ANNUAL AUDIT PLAN For the Year: Revision: Process Process Owner Time Frame Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec Prepared by: ____________________________________ National Quality Management Representative Reviewed and Approved by: ________________________________ National Quality Manager Date: Date:
TESDA-QP-03-F03 (page 1 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST ACTIVITY SUB-ACTIVITIES DOCUMENTS NEEDED Opening Meeting Set the scene Explain objective Confirm Audit Scope and Auditee Confirm Time Audit Plan Conduct Audit Prepare Guide Questions Quality Manual Procedures Manual Work Instructions Procedure Closing Meeting Thank the Auditee Summarize Positive aspects Deficiencies (general) Indicate whether report will be received Have outcome signed IQA Report CARs (page 2 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Requirements / Guide Questions Remarks/ Evidences C NC P Major NC Minor NC 4 Context of the organization OF I
for the effectiveness of the QMS? How is QMS integrated into the business process? -Planning and objectives 5.1.2 Are customer requirements and applicable statutory and regulatory requirements: -Determined? -Met? -Communicated? How? Are risks and opportunities that can affect conformity of products and services and the ability to enhance customer satisfaction.. -Determined? -Addressed? How? -Evidence of consultation with stakeholders/ customers -Customer feedback reports 5.2 5.2.1 How are policy and objectives for the QMS -Compatible with the context and strategic direction of the organization? -Established? Doc. Info: Policy 5.2.2 Policy communicated and understood? Available to interested parties if appropriate? -frameables/ materials/website of review/ discussion 5.3 Does the organization establish and communicate the responsibilities and authorities for the effective operation of the QMS? - QMS Manual -TESDA Order/ other issuances questions / notes: TESDA-QP-03-F03 (page 4 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ Evidences C NC OFI P NC NC 6 Planning
7.1 7.1.1 How to determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the QMS? Internal and external issues considered? -OPCRs /Plans -RROs 7.1.2 How to determine and provide the persons necessary for the effective implementation of its QMS and for the operation and control of its processes? - relevant issuances -procedures manual -workforce dev't plan 7.1.3 How to determine and provide Infrastructure necessary for the operation of processes? -OPCR/ -relevant TOR 7.1.4 How to determine and provide Environment necessary for the operation of processes? -OPCR/ Plans -relevant TOR 7.1.5 What are the monitoring and measuring resources? How to ensure fit? With calibration / verification? Doc Info: Evidence for fitness for purpose, calibration / verification 7.1.6 How to determine and preserve the knowledge necessary for the operation of its processes and achievement of conformity of products and services? - Procedures manual -KM initiatives Other questions / notes: TESDA-QP-03-F03 (page 6 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ Evidences C NC OFI P NC Minor NC 7 Support
Guide Questions Evidences Major NC Minor NC 8 Operation 8.5 8.5.1 How is production / service provision controlled? Use of controlled conditions: -The availability of documented information that defines the characteristics of the products to be produces or the services to be provided? -The availability of documented information that defines the results to be achieved? -Monitoring and measurement activities at appropriate stages? -Ensuring the people carrying out the tasks are competent? Doc. Info: For activities on Control of externally provided processes, products and services For Control of production and service provision: -Characteristics of products or services to be produced or performed -Results to be achieved 8.5.2 What methods of ensuring identification and traceability of the outputs during production and service provision? Doc. Info: To enable traceability 8.5.3 How to control property belonging to customers or external providers? Doc Info: On property belonging to customers or external providers 8.5.4 How to preserve the outputs during production / service provision? -Evidence of control on blank CTPR/NC Other questions / notes: (page 10 of 14) Rev. No. 00 - 03/01/17 CHECKLIST Clause Requirements / Questions Remarks/ Evidences C NC P Major NC Minor NC