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:
4.1 How to determine external and internal issues, monitor and review info? -QMS Manual -RRO 4.2 How to Due to their effect or potential effect on the org.’s ability to consistently provide prods & servs that meet customer and applicable statutory and regulatory req.., the org. shall determine the interested parties that are relevant to the QMS and their requirements? How to monitor and review these information? -QMS Manual -Any policy issuance - Any documentation -RRO 4.3 QMS scope determined taking into account the following: -External and internal issues? -Interested parties? -Organization’s products and services? Doc. Info: Scope 4.4 4.4.1 QMS established including the processes needed and their sequence and interaction? Procedures manual 4.4.2 To the extent necessary: -maintain doc. Info -retain doc. Info Other questions / notes: TESDA-QP-03-F03 (page 3 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ Evidences C NC P Major NC Minor NC 5 Leadership 5.1 5.1.1 How does Top management show that it takes accountability -Conduct of management reviews OF
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 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: (page 4 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / 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 risks and opportunities? - RRO Action plans - IQA Procedures Manual
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 6 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ Evidences C NC OFI P Major NC Minor NC
Questions Evidences Major NC 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 10 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Remarks/ NC
Clause Requirements / Questions Remarks/ Evidences C NC 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 results? -When the results from monitoring and measurements 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 providers? -the need for improvements? -Customer satisfaction reports -OPCR -Survey results Other questions / notes: TESDA-QP-03-F03 (page 12 of 14) Rev. No. 00 - 03/01/17 AUDIT CHECKLIST Clause Requirements / Guide Questions Remarks/ NC
Clause Requirements / Questions Remarks/ Evidences C NC P Major NC Minor NC 10 Improvement 10.1 How to determine opportunities for improvement and implemented the necessary actions to meet customer requirements and enhance customer satisfaction? -IQA reports -RROs 10.2 10.2.1 Processes for managing nonconformities and the related corrective actions? How to update risk and opportunities during planning, if necessary? How to make changes to QMS if necessary? -CA Procedures Manual -RRO/Planning output 10.2.2 Retain doc. Info on: -the nature of the NC and any subsequent actions taken -the results of any CA Doc Info: NC / CA 10.3 How to continually improve the suitability adequacy and effectiveness of the QMS? Consider: -outputs of analysis and evaluation -outputs of Management Review -RRO -IQA report -Minutes of N/RQMC meeting Other questions / notes: TESDA-QP-03-F04 Rev. No. 00 - 03/01/17 INTERNAL QUALITY REPORT (Note: See 6.4.7: To be submitted by the ROPODO IQA Focal to the Central Office within five (5) working days after the conduct of audit) Process: Audit Scope: Date: