TESDA-QP-03-F01 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 Audit Procedure Closing Meeting Thank the Auditee Summarize Positive aspects Deficiencies (general) Indicate whether report will be received Have outcome signed IQA Report CARs TESDA-QP-03-F03 (page 2 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ Evidences C NC OFI P Major Minor
Clause Requirements / Guide Questions Remarks/ Evidences C NC OFI P Major NC Minor NC 5 Leadership 5.1 5.1.1 How does Top management show that it takes accountability for the effectiveness of the QMS? How is QMS integrated into the business process? -Conduct of management reviews -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 -proof 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 Other 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 Major NC Minor NC 6 Planning 6.1 6.1.1 Does the organization consider 4.1 and 4.2 for risks and opportunities that need to be addressed? -Plans and objectives -documentation of discussions 6.1.2 What are the planned actions to address these risks and opportunities? How are these integrated into QMS? How are these to be evaluated? - RRO Action plans - IQA Procedures Manual 6.2 6.2.1 What objectives are established at relevant functions, levels and processes for QMS? Are these consistent with the policy? -OPCR/ functional objectives 6.2.2 Are quality objectives established? What are the action plans to achieve them? Doc. Info: Objectives 6.3 What are the plans in place for determining the need for changes to the QMS and managing their implementation? -Minutes of N/RQMC meeting Other questions / notes:
TESDA-QP-03-F03 (page 5 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ Evidences C NC OFI P Major NC Minor NC 7 Support (Note: follow through the implementation of actions from 4.1/4.2/6.1) 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/ Plans -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 7 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ Evidences C NC OFI P Major NC Minor NC 8 Operation (Note: follow through the implementation of actions from 4.1/4.2/6.1) 8.1 Are there defined processes for the provision of products and services that meet specified requirements for the products and services? What documented info are maintained and retained? How to ensure that outsourced processes are controlled? (can link to 8.4) -Procedures Manual -Records of QMS implementation 8.2 8.2.1 Established process for communicating with customers in relation to information relating to products and services, enquiries, contracts or order handling? -procedures manual -documentation of consultation meetings 8.2.2 Established process for determining product / service requirements (incl. legal)? 8.2.3 8.2.3.1 8.2.3.2 Established process to review conducted prior to the organizations commitment to supply products and services? Doc. Info: Results of Review of requirements for products and services or any new requirements 8.2.4 How to ensure that relevant documented info. is amended, and that relevant persons are made aware of the changed requirement if any? Doc. Info: Changes to requirements for products and services 8.3 8.3.1 8.3.2 8.3.3 8.3.4 8.3.5 8.3.6 Design and Development Established process? Planning? Inputs? Controls? Outputs? Changes? Doc. Info: D&D inputs, outputs, controls and changes Other questions / notes:
TESDA-QP-03-F03 (page 8 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ Evidences C NC OFI P Major NC Minor NC 8 Operation 8.4 8.4.1 How to ensure that externally provided processes, products and services conform to specified requirements? Are there established criteria for the evaluation, selection, monitoring of performance and re-evaluation of external providers? Doc. Info: -Externally provided processes, products and services conform to specified requirements? -Criteria for the evaluation, selection, monitoring of performance and of external providers? 8.4.2 How to define both the controls that it intends to apply to an external provider and those it intends to apply to the resulting output? The impact and effectiveness of control considered? 8.4.3 How to The org. shall ensure the adequacy of requirements prior to their communication to the external provider? What and how to The org. shall communicate to external providers? Other questions / notes: evaluation
TESDA-QP-03-F03 (page 9 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ Evidences C NC OFI P 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:
TESDA-QP-03-F03 (page 11 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ Evidences C NC OFI P Major NC Minor NC 9 Performance evaluation 9.1 9.1.1 Established system on: -What needs to be monitored and measured? -The methods for monitoring measurement, analysis and needed to ensure valid results? -When the results from monitoring and measurements shall be analyzed and evaluated? Doc. Info: Evidence of monitoring, measurement, analysis and evaluation of QMS 9.1.2 What are the methods of monitoring customer perceptions? -Customer feedback forms 9.1.3 The org. shallHow to analyze and evaluate appropriate data and info. arising from monitoring and measurement? -conformity of prods & servs? -the degree of customer satisfaction? -the performance and effectivenessof the QMS? -if planning has been implemented effectively? -the effectiveness of actions taken to address risks and opportunities? -the performance of external -Customer satisfaction reports -OPCR -Survey results
of the audits are reported to relevant Top Management? How to take appropriate correction and CA? without undue delay Retain doc. Info as evidence of the implementation of the audit program and the audit results? Other questions / notes: TESDA-QP-03-F03 (page 13 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ Evidences C NC OFI P Major NC Minor NC 9 Performance evaluation 9.3 9.3.1 Established management review process? Frequency? -related TESDA issuances 9.3.2 Management review considerations: -status of actions from previous management reviews -changes in external and internal issues that are relevant to the QMS -info. on the performance and effectiveness of the QMS, incl. trends in: a. customer satisfaction and feedback from relevant interested parties b. the extent to which quality objectives have been met c. process performance and conformity of products and services d. NCs and CAs e. monitoring and measurement results f. audit results g. the performance of external -Minutes of N/RQMC meetings
Rev. No. 00 - 03/01/17 INVENTORY OF INTERNAL QUALITY AUDITORS (Place a check on concerned columns) Name Lead Auditor Auditor Observer Qualification Checklist Rating (in last IQA) With ISO 9001 With Lead/ IQA Training in 1 complete audit Regional and Provincial Code per UACS