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Audit Checklist 1

The audit assessed the quality management system of an office in light of changes brought about by the COVID-19 pandemic. The office was found to have adequately addressed risks and opportunities in its planning. It also properly controlled externally generated documents. While its strategic and development plan aligned with relevant laws and regulations, there was no evidence found of training or workshops during the pandemic period. The office documented its functions and main activities, and made some changes to its strategic plan and operations in response to the pandemic and new procurement strategies. It was also found to have appropriate communication protocols and an operational plan, though its communication of service changes to customers could be improved. The office reviewed and documented changes to its service provision but did not fully maintain records of these

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300 views2 pages

Audit Checklist 1

The audit assessed the quality management system of an office in light of changes brought about by the COVID-19 pandemic. The office was found to have adequately addressed risks and opportunities in its planning. It also properly controlled externally generated documents. While its strategic and development plan aligned with relevant laws and regulations, there was no evidence found of training or workshops during the pandemic period. The office documented its functions and main activities, and made some changes to its strategic plan and operations in response to the pandemic and new procurement strategies. It was also found to have appropriate communication protocols and an operational plan, though its communication of service changes to customers could be improved. The office reviewed and documented changes to its service provision but did not fully maintain records of these

Uploaded by

Jagi Nik
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd
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AC No.

: _______________

Auditee/s: Unit/Office Process: Page ___ of ___

Audit Type: Date of Duration IQA Auditor/s:


Audit: Start End
Nov 16, 2021 9:00 AM 11:00AM
Scheduled Follow-up Spot
Audit Criteria Auditor’s Notes/
Item (The requirement that must be satisfied Objective Evidence
i.e. customer requirements, regulatory Results/Remarks
No. requirements, ISO 9001 requirements,
(Description of observation on the extent of
conformance with the specified requirements)
etc.)

1 SPAR issued October 18, Strategic Plan 2018-2022


2019 re: *see if Risk and Opportunities were
indicated (SWOT, etc.)
Clause 6.1 Actions to
address risks and
opportunities
 6.1.1 Address Risk and
Opportunities in Planning
 6.1.2 Plan to address
these risk and
opportunities
2 SPAR issued October 18, Registered externally generated
2019 re: documents
Section 6.7.15 SOI on
Document Control Procedure
states that “Control of
Externally Generated
Documents”
3 Strategic and Development Enrolled SOIs
Plan 2018-2022
Full compliance to RA 9184 Training/Seminar/Workshop activity
design, proceedings/report
 Aligning SOIs with the law
 Educating, cascading and
capacitating employees
and stakeholders
4 Function of the Office OMS
4.4 QMS and its Processes Unit/Office Descriptions documented
4.4.1a determination of inputs in Manuals
required and the outputs *ask the main function of the
expected from the process unit/office
*Main activities this pandemic

This would be the basis on the


services of the office
5 Planning Look for changes in the Strategic Plan
6.3 Planning of Changes in response to the COVID 19
When the organization Pandemic/Flexible Procurement
determines the need for Strategies
changes to the quality
management system, the
changes shall be carried out
in a planned manner
AC No.: _______________

6 Communication Ask on communication protocols,


7.4 Communication especially for Policies affecting the
services of the unit, look for
Memorandums/Policies.
7 8.1 Operational Planning and Look for the Operational Plan
Control 2020-2021
8 8.2.1 Customer How were the services of the unit
Communication communicated to the
customers/stakeholders during the
pandemic
9 Changes in the Service During the pandemic, changes in the
Provision unit’s operations were done. Look for
8.2.4 Changes to the evidences that these were:
requirements for products 1. Documented
and services 2. Communicated

8.5.6 Control of changes


The organization shall review
and control changes for
production or service
provision, to the extent
necessary to ensure
continuing conformity with
requirements
10 8.5.6 Control of changes Documentation of changes for
production or service provision
Does the organization 1. Communication of changes for
document, control, and production or service provision
maintain records of changes
for production or service
provision to ensure
continuing conformity with
requirements?
11 Clause 9.1.2 Customer Customer Satisfaction Survey
Satisfaction

How does the office


determine the quality
performance of its QMS?

How does the office deal


with complaints?
12 Clause 10.1 General Minutes of Meeting

How does the office Other forms of communication


implement changes /
development to its
processes?

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