Audit checklist QMS. Check internal audit sheet QMS

Remember, we highlighted two parts of the requirements of ISO 9001: 2015 for internal audits. We just basically talked about the first part. Practical implementation at the enterprise of the remaining provisions of ISO 9001 will be more difficult to verify. However, this task is on the shoulder of anyone. Depends on the specifics of the particular process being tested, of course. As you know, many companies resort to key performance indicators (KPI - Key Performance Indicators, - Ed.), Including when they achieve compliance with ISO 9001: 2015. , measuring a specific indicator of which we can confidently draw conclusions about the state of the process.

I’m saying that if you have implemented KPIs and are supported by process owners, then an assessment of the effectiveness of the QMS based on existing KPIs can be included as one of the elements of the internal audit checklist. If KPIs are not included in the practice of the audited company, it will be good to include in the checklist a question for the process owner: how does he determine for himself that his process is effective. By figuring this out, you will achieve more from the internal audit process.

For more information on key performance indicators, visit the "" page.

The object of the audit may be: QMS (upper level), process, unit, information system, etc.

The model of this procedure is shown in Fig. thirteen.

When conducting an internal audit of the QMS of the bank, it is also recommended to use the international standard ISO 19011 “Guidelines for the audit of quality management systems and / or environmental management systems”.

The templates of documents that are necessary for conducting an audit of the QMS of the bank and auditing the processes of the bank are given in [1].

Since the architecture of the QMS consists of 2 levels (see Fig. 3 and 4), the internal audit of the QMS includes 2 corresponding stages (procedures) plus the general stage “Preparation for the audit”.

1. Preparation for the audit. Contractor: quality service.
2. Internal audit of the QMS (top level). Contractor: quality service.
3. Process audit. Contractor: process team.

Consider these steps in more detail.

3.1. Audit Preparation

Consists of the following functions.

• Development, coordination and approval of the internal audit program

Exit: internal audit program. This document provides a list of all types of audits with names (for the coming year). For each audit, the following shall be indicated: a list of objects of the audit, name of the head of the audit, the duration of the audit.

• Formation and training (if necessary) of a group of bank internal auditors

In parallel with the development of the audit program, the need for auditors is determined, a group of auditors is formed and trained (if necessary), auditors are appointed for each process team, auditors are appointed to audit the top-level QMS, and the chief auditor is approved.

• Preparation and publication of the Order on conducting internal audits

Input: internal audit program.
  Output: an order to conduct internal audits.
  The order approves the audit program, the composition of the group of auditors and their responsibilities, the responsibilities of members of process teams, heads of departments and employees of the bank during audits.

• Preparation of training materials on internal audit

Output: training materials on internal audit

• Development of a Single Checklist for process audit

Output: checklist for process audit (single template).
  A checklist is a table that is used by the auditor to verify compliance with established requirements. A fragment of the checklist (3 columns of the table) for the audit process is given in Table. 1.

Checklist consists of 6 columns.

• Line number
• Checkable Requirement
• Clarifying questions (if necessary)
• Method for assessing compliance with requirements (study of documentation, observation, survey, etc.)
• Compliance / Non-Compliance Mark
• Audit evidence (entry and comments by the auditor)

A single checklist for process auditing is necessary so that all process teams and auditors audit processes according to the same requirements.

• Distribution of internal audit documentation to process teams

Exit: internal audit documentation for process teams. Includes all documents developed in previous procedures.

Tab. 1. Checklist for process audit (fragment)

3.2. QMS audit (top level)

Consists of the following functions.

• Development of the Checklist and Plan for the audit of the QMS (top level)

Output: checklist and QMS audit plan (top level)

A sample checklist (fragment) for the QMS audit (top level) is presented in Table. 2.

It lists the general requirements for the components of the QMS (top level). These requirements should be detailed and supplemented by the requirements of ISO 9001 and the bank's own requirements.

For example, the requirement "1.1. The list (completeness) of documentation - compliance with the requirementsISO 9001 "details on the requirements of the sectionISO 9001 "4.2. Documentation RequirementsISO 9001 ”, where the composition of the necessary documentation is indicated.

“The documentation of the quality management system should include:

a) documented statements of quality policy and objectives;
b) quality manual ... "

Based on the checklist, a QMS audit plan is developed.

The audit plan consists of 5 columns.

• Line number
• Checklist number, or section (group of checked requirements) of the checklist
• Name of auditor
• Date and time of verification
• Name and position of the team member / process executives responsible from the process members

The auditor selects requirements from the checklist and prescribes in the plan when, how and with the help of whom he will check them.

For example, to check the requirement "1.2. Relevance of documentation ”, the auditor appoints several interviews with bank employees who are responsible for certain documents, and writes this to the Plan.

• Conducting an audit of the QMS (top level) according to the Plan and filling out the Checklist

Entrance: checklist and QMS audit plan (top level).

Output: a completed checklist of the QMS audit (top level).

The auditor evaluates the fulfillment of each requirement from the checklist using the selected assessment method (interviews bank employees, examines documentation, monitors bank activities). He then marks the conformity / non-compliance and indicates the evidence that confirms this.

• Preparation of the Report on the results of the internal audit of the QMS (top level)

Entrance: completed checklist of the QMS audit (top level).

Output: report on the results of the internal audit of the QMS (top level).

The report on the results of the internal audit of the QMS combines all completed checklists in the order that the requirements are followed. The total number of identified discrepancies, conclusions and conclusions is indicated.

Output: corrective and preventive action plan for the QMS (upper level)

The most urgent and important actions are carried out immediately after development.
  Actions requiring the attraction of significant labor and financial resources are carried out during the next period of operation of the QMS.

Tab. 2. Checklist for the internal audit of the QMS (top level)

3.3. Process audit

The rules for conducting an audit of the process are similar to the rules for auditing a QMS (top level), only the object of the audit is the process. Therefore, we give a list of procedures and actions without additional comments.

In order for the process audit to be carried out by the process team methodically correctly and efficiently, it must include a qualified auditor from the quality service.

So, the process team during the audit performs.

• Familiarization with internal audit documentation
• Development of a process audit plan
    Input: process audit checklist (single template)
    Output: process audit plan.
• Auditing the process according to the Plan and filling out the ChecklistEntrance: plan and checklist of the process audit.
    Output: a completed checklist of the process audit.
• Preparation of the Report on the results of the process audit and transfer to the Quality Service
    Input: completed checklist of the process audit.
    Output: process audit report.
• Development of corrective and preventive actions based on audit results
    Output: a plan of corrective and preventive actions for the process.
• Performing corrective and preventive actions

3.4. Receive and aggregate Process Audit Reports from process teams

Reports on the results of all audits should be gathered together for further work with them.

Remember, we highlighted two parts of the requirements of ISO 9001: 2015 for internal audits. We just basically talked about the first part. Practical implementation at the enterprise of the remaining provisions of ISO 9001 will be more difficult to verify. However, this task is on the shoulder of anyone. Depends on the specifics of the particular process being tested, of course. As you know, many companies resort to key performance indicators (KPI - Key Performance Indicators, - Ed.), Including when they achieve compliance with ISO 9001: 2015. , measuring a specific indicator of which we can confidently draw conclusions about the state of the process.

I’m saying that if you have implemented KPIs and are supported by process owners, then an assessment of the effectiveness of the QMS based on existing KPIs can be included as one of the elements of the internal audit checklist. If KPIs are not included in the practice of the audited company, it will be good to include in the checklist a question for the process owner: how does he determine for himself that his process is effective. By figuring this out, you will achieve more from the internal audit process.

For more information on key performance indicators, visit the "" page.

Creative, attentive and serious attitude to work is an important component of modern business. However, the creative principle has always been closely associated with unforeseen expenses of working time, uncertainty in the assessment of labor, the need to clarify the cost of work performed.

There are a large number of tasks that do not require high qualifications and can be solved by accurate and high-quality execution of a sequence of simple actions. A checklist is just such an option for solving a problem.

Scope of the idea

The sequence of simple operations is used both for solving critical tasks that are performed by qualified specialists, and for other tasks that an ordinary worker, student or schoolchild can handle.

A checklist is a sample of the correct one recorded in the form of a sequence of the simplest, most accurate and concise, but complete actions that need to be performed, for example, to:

• the plane took off;
• go to the store and buy what my mother asked;
• build a business;
• to achieve some goal;
• check or do something for something.

The conveyor once made a revolution in industry, and it turned out to be useful in the production of not only simple parts, but also complex machines, mechanisms, food, sporting goods, clothing, shoes.

Ideally, when a checklist is a dozen minimum necessary, simple actions:

• ideal simple action - a simple, unconditional instruction to do something;
• perfect guidance does not create options, but the next action is performed strictly in turn;
• no erratic movements, everything is done strictly according to the plan and according to the content of each item on the sheet.

The goal (task) can be great, and on one sheet not every solution can fit. However, nothing prevents the compilation of several checklists, which are executed sequentially by different workers at certain intervals.

Problem Planning

Planning is an important part of any business. A checklist is also a plan, not just a solution to a problem. You can draw up a plan of action in case of an unforeseen situation, a plan of behavior in case of an accident or natural disaster, a daily routine in a children's recreation camp. The class schedule at the institute or school is also a test product for “simple intelligence”, since there are conditions in this kind of checklist. For example, even or odd days, weeks.

Man has always had planned all that he did, but he did it unconsciously. The emergence of the concept of a “checklist” is an example of how the ordinary and habitual unconscious enters the competence of the conscious, gets a new meaning and a radically new quality.

The term itself is relatively young, but the history of its idea and its application spans hundreds of years. Most likely, the first papyri with the regulation of the sequence of simple actions were used in ancient times, otherwise it is difficult to explain the heyday of ancient civilizations, as well as the reasons for their fall.

Sample: a check-list to install the FTP daemon

This is a sample written once and used for many years. Nothing is beautifully decorated here, it is written in a Unixoid style, but practical.

Generally speaking, such checklists are born as a result of lengthy administration by a system administrator. As a rule, after two or three years, after hundreds of installations, the administrator writes such a memo to himself and his colleagues. This is a real checklist: ugly but practical.

Sample a beautiful impractical checklist

Everything is written correctly here, but this is not a checklist. In particular, the “Logo” is primarily the verbs:

• create;
• how to create;
• what to consider;
• what to discard.

Each such verb should have several recommendations.

The appeal to the slogan is reasonable, but the creation of the slogan is creativity, and its verification is a long practice (in real live Internet with a massive influx of visitors), neither one nor the other relates to the checklist.

And so for each item.

Really “flying” check list (fragment) for Boeing 737

That is how the check list should be drawn up. The phrase is a simple answer. That is a simple action and a simple result.

This is only a fragment of the document, written in English, but in this particular case it is not the language that is important, but the accuracy of the declaration of action and verification of the result of its implementation.

Test Applications

Practical applications of a clear action plan:

• sports
• accounting;
• checking enterprise;
• company audit;
• investigative measures;
• launch of a spaceship, etc.

Virtually any area of \u200b\u200bhuman life and activity can be determined by an assortment of various small plans: checklist No. 1, No. 2, No. 3, etc.

Of particular importance is strict regulation of activities in important areas, such as in the preparation of a surgeon for an operation, when medical staff, all involved doctors and nurses - each within its competence - serves strictly defined list of activities. Usually everything is done “on the machine”, but professional ethics requires all actions to be performed “on a piece of paper”.

A checklist is an indispensable document in the certification and regulation of the production and testing of food products, children's products, checking the operation of machines and mechanisms.

Internet technology and simple operations

Any surgical intervention requires a highly qualified surgeon. But it also requires the proper execution of simple operations. In particular, all the instruments on the operating table should lie strictly in certain places, the patient should be prepared for the operation not only physiologically, but also mentally.

A checklist (an example of a sequence of actions) is not a program, not an algorithm, and it is difficult to attribute it to programming in the direct sense of the word, but Internet technology has led to the need to create and perform many routine, but very important operations.

Creating a web resource requires at least three Apache, PHP and MySQL or its analogue on the basis of another server, another interpreter and database. Installation of this trinity is the minimum necessary clear sequence of actions.

The mistake here is fraught with the inability to work at all. Modern Internet programming is characterized by the fact that the server, interpreter and browser programming language algorithms “don’t think”, but if they don’t understand what, then they definitely “don’t”!

Logging errors must be declared, but often logging is not enough to find the problem.

Internet programming: simple solutions to complex problems

A checklist is a solution to a problem. The practice of Internet programming in JavaScript and PHP, in particular, with an object-oriented style of writing allows only two solutions to the problem:

• Professional intuition.
• Test case.

There is no third. Testing tools in programming have long been very developed. There are also a lot of additional tools for checking the code, and developers of programming languages \u200b\u200bdevote a lot of time and effort to creating tools for debugging and searching for errors.

But to determine in what place, at what level, in which subsystem of objects of the general system an opportunity happened, can only the creator (author) of the code, well, or an advanced test case, to the creation of which an experienced master had a hand in creating.

The ideal solution is to do a checklist at the code level, when not the person, but the object created by him, takes care of the execution of his own functionality, and also controls his condition and his relations with other objects.

Internet promotion, SEO

Since the Internet became available to the general public (and the topic “checklist as a test product” has always been available to the masses), a flood of monotonous ideas has poured into the field of SEO. Absolutely trivial sequences were offered, and completely real money was pounded out of gullible buyers on empty and groundless grounds.

• technical component;
• internal content idealization;
• semantic filling of the resource core;
• content: as it is and how it should become;
• commercial moment, resource monetization;
• external circumstances;
• promotion region;
• behavioral moment in the image of the visitor, etc.

But the purpose of the smart words was money. Trusting buyers, paying for the "work" of the authors of checklists, stimulated the production of such products, which is not good at all. But this process led to the fact that the topic of promotion expanded to the maximum possible limit and created the conditions for the generalization of information.

Reproduction in the field of information is a natural process, and today anyone who wants to receive real promotion of their own resource in any way:

• minimum costs, through own potential;
• maximum costs, through a qualified master.

The checklist today is a real and effective tool for achieving the desired in its formal part and absolutely complete freedom in the creative moment of the achieved goal.

Virtual space of simple ideas

The material component in life, at work, in the socio-economic sphere as a whole has gained stability. The fundamental basis for successfully achieving the desired has become apparent. The checklist is an example of how the creative component went into virtual space.

The level of qualification of consumers and authors of ideas has moved to a new quality. This nullified the position and led to the formation of an assortment of new tasks and the need for new solutions. The world again became more perfect, and again a new quality was due to a simple and natural step forward.