ISO 9001-2015 Process Audit Checklist

 

 

Process Audit Checklist  

System & Process Compliance Auditing

 

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ISO 9001:2015 Process Audit Checklist Auditing  System & Process Compliance Auditing

Guidance About this Checklist The audit checklist is just one of the many tools which are available from the auditor’s toolbox that help ensure your audits address the necessary requirements. It stands as a reference point before, during and after the audit process and if developed for a specific audit and used correctly will provide the following benefits:

 

Ensures the audit is conducted systematically;

 

Promotes audit planning;

 

Ensures a consistent audit approach;

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Actively supports your organization’s organization ’s audit process (ISO process (ISO 9001:2015, Clause 9.2.1); Provides a repository for notes collected during the audit;

 

Ensures uniformity in the performance of different auditors;

 

Provides reference to objective evidence.

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This audit checklist comprises tables of the certifiable (‘shall’) requirements, requirements, from Section 4.0 to Section 10.0 of ISO 9001:2015, each required is phrased as a question. This audit checklist may be used for element compliance audits and for process audits. If you wish to create separate process audit checklists, select the clauses from the tables below that are relevant to the process and copy and paste the audit questions into a new audit checklist. We suggest that you retain this audit checklist as your ‘master copy’.

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ISO 9001:2015 Process Audit Checklist Auditing  System & Process Compliance Auditing

Audit Scoring Criteria A risk-based internal audit approach allows the internal audit to concentrate on reviewing the major risks to your organization. The audit’s role is to provide provi de assurance that key risks to your organization’s organization ’s objectives are being well controlled. The audit findings ‘traffic lights’ are intended to visually communicate the risk posed by the audit finding of any system or processes being audited. The rating system is stratified from ‘compliant’ to ‘major ‘major non-conformance’ non-conformance’ to  to convey a concise and consistent method for scoring each audit finding. At the end of the audit, you can transfer the findings into an Excel spreadsheet to create charts, summary tables and trend data to paste into your audit report or management review documentation. This methodology should be uniformly applied to all types of internal audit (gap analysis, system audits and process audits) that your organization will likely undertake. Finding

Definition/Impact

Action/Mitigation

COMPLIANT   COMPLIANT

Compliant means adherence with the requirements of the standard and the QMS. The process is implemented and documented and records exist to verify this.

Continue to monitor trends/indicators.

OFI  OFI 

A low risk issue that issue that offers an opportunity to improve current practice. Processes may cumbersome or overly complex but meet their targets and objectives. Unresolved OFIs may degrade over time to become non-compliant.

Review and implement actions to improve the process(s). Monitor trends/indicators to determine if improvement was achieved.

N/C   MINOR N/C

A medium risk, minor non-conformance resulting in deviation from process practice not not result in the likely to result in the failure of the management system or process that will not result delivery of non-conforming products nor reduce the effectiveness of the QMS.

Investigate root cause(s) and implement corrective action by next reporting period or next scheduled audit.

MAJOR N/C  N/C 

A high risk, major non-conformance which directly impacts upon impacts upon customer requirements, likely to likely  to result in the customer receiving non-conforming products or services, or which may reduce the effectiveness of the QMS.

Implement immediate containment action, investigate root cause(s) and apply corrective action. Re-audit in 4 weeks to verify correction.

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ISO 9001:2015 Process Audit Checklist

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Auditing  System & Process Compliance Auditing

Process Activity Map EQUIPMENT & FACILITIES:

PERSONNEL:

CONTROL PROCESSES:

What equipment and resources are required? Is equipment suitable and properly maintained? Is the work environment maintained? Is there evidence of appropriate maintenance of all equipment used by this process?

Review employee skill lists for the process. Are there lists of skills for each position? Do they show enough detail? This is often a finding, where lists are generic with inadequate detail. Training is a key process of any system. Are there particular skills you want to evaluate?

How is the process defined and who is responsible? How are customer requirements defined? What specifications apply defined? What objectives and targets apply process? What controls/check points are there? What acceptance criteria exist?

PROCESS INPUTS:  INPUTS: 

PROCESS NAME/DESCRIPTION:

PROCESS OUPUTS:  OUPUTS: 

What triggers the process? What inputs are required? Where do the inputs come from? Are they received in a timely manner? Are they fit for purpose?

What steps are involved in the process? What happens at each step in the process? What documents and records are generated? Is the process implemented in accordance with procedures, instructions or plans? Are controls applied as described?

What is the product produced by this process? Are product measures in place to ensure that product meets requirements? How are processes measured? Are product and process measures achieved? What feedback is received from customers?

INSTRUCTIONS & PROCEDURES:

SUPPORT PROCESSES:

KEY PERFORMANCE INDICATORS:  INDICATORS: 

Review the documents that describe and control the process. Review all the important steps and activities of the process being audited. This info must be documented within the QMS. Evaluate how effectively the process flows through the steps. Do you see roadblocks or issues?

As you audit, you will see how it connects and interacts with other processes. Interactions with other processes are always important As you audit the, you will see how it connects and interacts with other processes. Audit the relevant links to related processes and support processes.

Review metrics and performance with Managers, Supervisors and operators. They should know how things are running, objectives, customer issues, problem areas. If they do not, the requirements were not met. Is there evidence that quality objectives and targets affected by this process are being achieved?

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ISO 9001:2015 Process Audit Checklist

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Auditing  System & Process Compliance Auditing

Process Audit Checklist Process Definition Audit Findings (Score ‘1’ per box)  box) 

Ref

T I P O C

Is the process owner identified? (Process map, procedure or work instruction, etc.)

3

Is there evidence that process inputs are accurately defined and understood by all employees involved?

4

R IN

J

Opportunities for Improvement (OFI)

Provide reference to documented information to justify the finding

Provide suggestions for process improvement

N

F O

2

R

N

AI M

Is the process defined and documented?

C/

N L

1

/

C

Audit Question 

Audit Evidence

O O

M M

A

Is there evidence that process activities are accurately defined and understood by all employees involved?

5

Is there evidence that process outputs are accurately defined and understood by all employees involved?

6

Are inputs defined and prioritized based on risk?

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ISO 9001:2015 Process Audit Checklist

Insert your company’s name or logo.  

Auditing  System & Process Compliance Auditing Audit Findings Opportunities for

(Score ‘1’ per box)  box) 

Ref

T

Audit Question 

I P O

R

R NI

O C

A

Audit Evidence

Improvement (OFI)

Provide reference to documented information to justify the finding

Provide suggestions for process improvement

N

F M

8

C/ N

IA L

7

C/ N

JO O

M M

Have procedures, instructions, and forms been established as needed to control the process? Are procedures, instructions and forms used in controlling the process readily available?

9

Do procedures, instructions and forms accurately reflect the practices? (Note: Requires the auditor review and observation!)

10

Are there adequate plans in place to achieve the objectives?

11

Is relevant customer feedback available? (Feedback from subsequent processes)

12

Are documents understood by process participants?

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ISO 9001:2015 Process Audit Checklist

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System & Process Compliance Auditing Auditing 

Process Resources Audit Findings (Score ‘1’ per box)  box) 

Ref

T

Audit Question  O C

How many people participate in the process, is this adequate to achieve process requirements?

15

Are participants adequately trained to carry out roles, responsibilities, and authorities?

16

R NI A

Opportunities for Improvement (OFI)

Provide reference to documented information to justify the finding

Provide suggestions for process improvement

N JO O

O M

14

R

I F P

Is there evidence of management commitment, involvement and allocation of resources?

C/ N

IA L

13

/C N

Audit Evidence

M M

Is equipment (e.g. manufacturing, measuring & monitoring equipment; transport/logistics; hardware/software; PPE; etc.) adequate for its intended

17

use? Is equipment identified to allow participants to determine its readiness for safe use prior to and during the operation?

18

Are process owners accountable for the performance and compliance of their processes?

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ISO 9001:2015 Process Audit Checklist

Insert your company’s name or logo.  

System & Process Compliance Auditing Auditing  Audit Findings Opportunities for

(Score ‘1’ per box)  box) 

Ref

T

Audit Question 

I P O O C

20

Is the work area clean and safe?

21

Is there adequate equipment/tools/IT support?

22

Are employees motivated and encouraged to make suggestions for process improvement?

23

Are all employees aware of the organizational objectives and the current status of these measurements?

24

Are all employees aware of who their customers are and whether they are satisfied?

25

Are employees aware of the process metrics which their activities can affect?

Document Ref:

R

R NI A

Audit Evidence

Improvement (OFI)

Provide reference to documented information to justify the finding

Provide suggestions for process improvement

N

F M

Are employees satisfied with their work area?

C/ N

AI L

19

C/ N

OJ O

M M

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ISO 9001:2015 Process Audit Checklist

Insert your company’s name or logo.  

Auditing  System & Process Compliance Auditing Audit Findings Opportunities for

(Score ‘1’ per box)  box) 

Ref

T

Audit Question 

I

C/

P O

R

R IN A

F M O C

Improvement (OFI)

Provide reference to documented information to justify the finding

Provide suggestions for process improvement

N N

AI L

26

C/ N

Audit Evidence OJ

O M M

Are they aware of the current data analysis related to these metrics and the plans in place to achieve them?

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ISO 9001:2015 Process Audit Checklist

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Auditing  System & Process Compliance Auditing

Process Execution Audit Findings (Score ‘1’ per box)  box) 

Ref

T

Audit Question 

I P O O C

28

Is the process flow constructed to avoid unnecessary movement of materials and personnel?

29

Are redundant and non-value adding activities minimized?

30

Is material usage maximized to avoid waste?

31

Is waste material effectively removed and segregated from the process?

32

Are unused materials returned to the correct location in conditions suitable to allow re-use?

33

Are process outputs passed on to subsequent processes only when all planned process activities are completed?

Document Ref:

R

R IN A

Opportunities for Improvement (OFI)

Provide reference to documented information to justify the finding

Provide suggestions for process improvement

N

F M

Is the observed process activity consistent with approved plans and procedures?

C/ N

AI L

27

C/ N

Audit Evidence

OJ O

M M

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ISO 9001:2015 Process Audit Checklist

Insert your company’s name or logo.  

Auditing  System & Process Compliance Auditing Audit Findings Opportunities for

(Score ‘1’ per box)  box) 

Ref

T

Audit Question 

I P O

R

R NI

O C

A

Improvement (OFI)

Provide reference to documented information to justify the finding

Provide suggestions for process improvement

N

F M

35

C/ N

IA L

34

C/ N

Audit Evidence JO

O M M

Is there evidence of continuity between the various support processes? Do the interfaces between the departments operate smoothly?

36

Does product information flow freely between the support processes?

37

Is there evidence for the reduction in measurement system and process variation?

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ISO 9001:2015 Process Audit Checklist

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Auditing  System & Process Compliance Auditing

Process Monitoring Audit Findings (Score ‘1’ per box)  box) 

Ref

T

Audit Question 

I P O O C

39

Are monitoring activities carried out according to approved plans and procedures?

40

Is process monitoring compared against standards to determine the current status of the process?

41

Is process status communicated to appropriate members of the process team?

42

Are records of process monitoring maintained according to approved procedures?

43

Have key performance indicators (KPI) been established to allow the effectiveness of the process to be evaluated?

44

Are KPI consistent with quality and business objectives?

Document Ref:

R

R NI A

Opportunities for Improvement (OFI)

Provide reference to documented information to justify the finding

Provide suggestions for process improvement

N

F M

Is the process monitored, measured, analyzed and improved?

C/ N

IA L

38

C/ N

Audit Evidence

JO O

M M

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ISO 9001:2015 Process Audit Checklist

Insert your company’s name or logo.  

Auditing  System & Process Compliance Auditing Audit Findings Opportunities for

(Score ‘1’ per box)  box) 

Ref

T

Audit Question 

I P O

R

R NI

O C

A

Audit Evidence

Improvement (OFI)

Provide reference to documented information to justify the finding

Provide suggestions for process improvement

N

F M

46

C/ N

AI L

45

C/ N

OJ O

M M

Are KPI consistent with customer requirements?

Are KPI reviewed and communicated to the process team, as appropriate, by process leaders?

47

Is the process measured for effectiveness and efficiency?

48

When a process is not performing, is there evidence of data analysis to determine the root cause?

49

When a process is not performing, is there evidence that the cause(s) are dealt with in accordance with procedure?

50

Are records of process monitoring reviewed regularly to determine opportunities for corrective and preventive action?

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ISO 9001:2015 Process Audit Checklist

Insert your company’s name or logo.  

Auditing  System & Process Compliance Auditing

Process Improvement Audit Findings (Score ‘1’ per box)  box) 

Ref

T

Audit Question 

I P O O C

52

Are process improvement objectives aligned with organizational objectives, e.g. the business plan?

53

Is there evidence of an effective PDCA cycle?

54

Can the process owner demonstrate how PDCA applies to their process?

55

Can the process owner to show examples of improvements driven by their PDCA cycle?

56

Can employees demonstrate areas of previous continual improvement?

57

Are records of process upsets and actions taken reviewed to determine the need for corrective/preventive action?

Document Ref:

R

R NI A

Opportunities for Improvement (OFI)

Provide reference to documented information to justify the finding

Provide suggestions for process improvement

N

F M

Is the performance of the process reviewed at an appropriate frequency by top management?

C/ N

AI L

51

C/ N

Audit Evidence

OJ O

M M

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ISO 9001:2015 Process Audit Checklist

Insert your company’s name or logo.  

Auditing  System & Process Compliance Auditing Audit Findings Audit Evidence

Opportunities for Improvement (OFI)

Provide reference to documented information to justify the finding

Provide suggestions for process improvement

(Score ‘1’ per box)  box) 

Ref

T

Audit Question 

I P O O C

59

Where opportunities for improvement have been implemented, have the action(s) taken been demonstrated as effective?

60

Are all process participants encouraged to be involved in identifying improvements?

Document Ref:

R

R IN A

N

F M

Where corrective/preventive actions have been implemented, have the action(s) taken been demonstrated as effective?

C/ N

IA L

58

C/ N

OJ O

M M

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ISO 9001:2015 Process Audit Checklist

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Auditing  System & Process Compliance Auditing

Findings Summary Non-conformance No.

ISO/Specification Ref.

Summary

Root Cause

NCR No.

Rectification Date

Summary

Root Cause

CAR No.

Rectification Date

Root Cause

PAR No.

Implementation Date

Corrective Action No.

ISO/Specification Ref.

Opportunities for Improvement No.

ISO/Specification Ref.

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Summary

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ISO 9001:2015 Process Audit Checklist Auditing  System & Process Compliance Auditing

Observations, Comments & Notes

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