ISO 9001 Check List Template
ISO 9001 Check List Template
A B C D E
SCORE Mark
Conf. Nonconforming Maximum "X" if No
Total Findings
No. VERIFICATION POINTS 2 1 0 achievable
score Applies
score
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4 QUALITY MANAGEMENT SYSTEM
A ppl
4.1 General Requirements
ica
Has the organization determined the processes required for the quality
4.1.1 management system and their implementation through
the organization ?
4.1.2 Have you determined the sequence and interaction of these processes, do you
have a process map?
Have you determined the criteria and methods necessary to ensure that both
4.1.3 the operation and the
effective control of these processes?
Does the organization ensure the availability of the resources and information
4.1.4 necessary to support the operation and the
monitoring of these processes,?
4.1.5 Does the organization perform monitoring, measurement where applicable,
and analysis of these processes?
does it implement the actions necessary to achieve the planned results and
4.1.6 continuous improvement of
these processes?
Does the quality manual include the scope of the QMS, a description of the
4.2.2. interaction of the processes and the precedents established for the QMS or
reference to them?
Are the organization's documents controlled, is there a documented procedure
4.2.3. for the control of internal and/or external documents, is there a master list of
documents?
4.2.4. Are the organization's records controlled, is there a documented procedure for
the control of records, is there a master list of records?
5 MANAGEMENT'S RESPONSIBILITY
5.1. Management commitment
5.1.1. Does senior management communicate the importance of meeting customer,
legal and regulatory requirements?
5.1.2. Has top management established the quality policy and objectives, and does it
conduct management reviews?
5.1.3. Does senior management ensure the availability of resources?
5.4.1. Are the Quality objectives established at the relevant functions and levels
within the organization, are they measurable and consistent with policy?
4.4.2.1. QMS Planning is carried out to meet the requirements of section 4.1. and the
objectives?
5.4.2.2. Is the integrity of the QMS maintained when changes to the QMS are planned?
Has the RED been designated, does he/she have authority and responsibility
5.5.2 for ensuring that the QMS processes are established, implemented and
maintained, reporting to top management on the performance of the QMS and
any need for improvement, and ensuring that awareness of customer
requirements is promoted at all levels of the organization.
Are appropriate communication processes in place within the organization and
5.5.3
is communication taking into account the effectiveness of the QMS?
5.6.2 Input information for the review includes: audit results, customer feedback,
process performance, service conformity, CA and PA status, previous reviews,
changes that could affect the QMS and OM, and the results of the review.
Do the review results include decisions and actions related to improving the
4.4.3 effectiveness of the QMS, processes, service and resource needs?
6 RESOURCE MANAGEMENT
6.1. Provision of resources
6.1.1. Are resources identified and provided to implement and maintain the QMS and
improve its effectiveness, increase customer satisfaction?
Does the organization determine the competence required for the personnel?
6.2.2. Do you provide training or take other actions to achieve the necessary
competence and evaluate the effectiveness of the actions?
Do you ensure that your staff is aware of the relevance and importance of
6.2.3. their activities and how they contribute to the achievement of quality
objectives?
6.2.4. do you maintain appropriate records of education, training, skills and
experience?
6.3. Infrastructure
7 PRODUCT REALIZATION
7.1. Product realization planning
Has the organization planned and developed the processes necessary for the
7.1.1 performance of the service; is it consistent with the requirements of the other
QMS processes?
During planning, the organization should determine, where appropriate, the
following:
a) the quality objectives and requirements for the product, b) the need to
establish processes and documents, and to provide resources specific to the
product, c) the required verification, validation, monitoring, tracking,
7.1.2 measurement, inspection and test activities specific to the product as well as
the criteria for product acceptance, d) the records that are necessary to provide
evidence that the realization processes and the product specific resources are
in place, andc) the required verification, validation, monitoring, measurement,
inspection and testing activities specific to the product and the criteria for
product acceptance
resulting product meet the requirements?
7.2. Customer-related processes
7.2.2. Does the organization conduct a Review of the requirements prior to the
commitment to provide the service?
7.3.6. is it verified that the design and development result meets the requirements?
Are records kept?
7.3.7. Are design and development changes recorded?
7.4. Shopping
Does the organization ensure that the purchased product/service meets the
7.4.1. requirements? Are suppliers evaluated, selected and re-evaluated? Are
records kept of such evaluations?
Does the purchasing information include (where appropriate): requirements for
7.4.2. approval of products, procedures, equipment; requirements for qualification of
personnel and QMS requirements?
Does the organization carry out Control of production and service delivery?
Does it include (where applicable): information on service characteristics,
7.5.1. instructions, appropriate equipment, availability and use of monitoring and
measurement equipment, implementation of monitoring, measurement and
release, delivery and post-delivery activities?
Does the organization validate all production processes at those points where
output cannot be verified by measurement and monitoring? Have the following
7.5.2. been established for these processes (where applicable): review and approval x
criteria, equipment approval and personnel qualification, use of methods,
records, re-validation?
7.5.3. Does the organization perform identification and traceability of the service
(when necessary)?
Does the organization take care of the customer's property while it is in its
custody, does it inform the customer if such property is lost and/or damaged,
7.5.4. does it keep records?
Does the organization preserve (identification, handling, packaging, storage,
7.5.5. protection) the product during the internal process?
8.5. Improvement
Does the organization seek continuous improvement using quality policy and
8.5.1. objectives, audit results, corrective and preventive action data analysis,
management review?
8.5.2. is there a procedure for corrective and preventive actions?
Comment (only for non-
Recommendation
closed)
Closed
Yes No
1 1
CHECK LIST FOR ISO 9001:2008 STANDARD
SUMMARY
5.4.1. Are the Quality objectives established at the relevant functions and levels
within the organization, are they measurable and consistent with policy?
4.4.2.1. QMS Planning is carried out to meet the requirements of section 4.1. and the
objectives?
5.4.2.2. Is the integrity of the QMS maintained when changes to the QMS are planned?
Has the RED been designated, does he/she have authority and responsibility
5.5.2 for ensuring that QMS processes are established, implemented and
maintained, reporting to top management on the performance of the QMS and
any need for improvement, and ensuring that awareness of customer
requirements is promoted at all levels of the organization.
Are appropriate communication processes in place within the organization and
5.5.3
is communication taking into account the effectiveness of the QMS?
5.6.2 Input information for the review includes: audit results, customer feedback,
process performance, service conformity, CA and PA status, previous reviews,
changes that could affect the QMS and OM, and the results of the review.
CHECK LIST FOR ISO 9001:2008 STANDARD
4.4.3 Do the review results include decisions and actions related to improving the
effectiveness of the QMS, processes, service and resource needs?
6.1. Provision of resources
6.1.1. Are resources identified and provided to implement and maintain the QMS and
improve its effectiveness, increase customer satisfaction?
6.3. Infrastructure
4.2.1. Are procedures P-3-01 (preparation of technical and economic proposals) and
P-3-02 (client evaluation) updated and implemented?
4.2.2. Do you know the process map and scope of the QMS?
4.2.3. Are you familiar with the Area Process Sheet and the documents mentioned
therein?
4.2.4. Do you have up-to-date records? (Business partner information, customer visits,
customer directory)
5.3. Quality Policy
5.4.1. Do you know the GIS policy?
5.4 Planning
5.4.1. Do you know the quality objectives, have you implemented the management
indicators for your area?
5.4.2. Do you plan your activities? Do you have a work plan?
5.5. Responsibility, authority and communication
5.5.1 Do you know your roles and responsibilities?
5.5.3 Do you know the communication channels and do you use them?
5.6 Management review
5.6.1. Did you present the area's management report at the last management review?
5.6.2 Do you follow up on the Management Review agreements that apply to your
area?
6.2. Human Resources
6.2.1. Do you know the document OD-7-01 that refers to your job profile
(responsibilities, functions)?
6.2.2. what is the last training you have received?
6.2.3. Are you aware of how your activities influence the achievement of quality
objectives?
6.2.4. Have you submitted your documented CV?
6.3. Infrastructure
7.2.2. Do you perform the Review of the requirements prior to the commitment to
provide the service? Have contracts been signed with the customer?
7.4.1. Do you use the Goods and Services Request F-6-01 form as a formal means of
requesting purchases addressed to the logistic and mtto area?
8.2. Monitoring and measurement
8.2.1. does the organization track customer satisfaction? Have you determined the
methods for obtaining and using such information?
8.2.2. Have you participated in internal audits? Do you follow up on the actions that
correspond to your area?
Does the organization apply methods for tracking and measuring
8.2.3. of the QMS processes. Do these methods demonstrate the ability of the
processes to achieve the planned results?
Does the organization monitor and measure service characteristics to verify that
8.2.4. requirements are met? Is evidence of compliance with acceptance criteria
maintained?
8.3. Control of non-conforming service
Do you recognize when a service is considered nonconforming, identify it and
8.3.1. treat it?
8.4. Data Analysis
8.4.1. Do you determine, collect and analyze appropriate data to demonstrate the
adequacy of the QMS in your work area?
The analysis provides information on customer satisfaction, conformity to
8.4.2. service requirements, process and service characteristics and trends, and
suppliers?
8.5. Improvement
Does the organization seek continuous improvement by making use of quality
8.5.1. policy and objectives, audit results, corrective and preventive action data
analysis, management review?
8.5.2. do you know how to fill out the F-2-05 Action Request Form?
PROCESS: OPERATIONS
RATING
Conf. Nonconforming
No. VERIFICATION POINTS FINDINGS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4.2. Documentation requirements
Do you know the procedures in your area? Do you consider that they are
4.2.1. sufficient to demonstrate and/or ensure the effectiveness of the operations
process?
4.2.2. Are you familiar with the quality manual that includes the scope of the QMS?
do you know the process map?
Do you keep your records up to date? are they enough? What records are not
4.2.4. controlled within the QMS?
5.3. Quality Policy
5.4.1. Do you know the GIS policy?
5.4 Planning
5.4.1. Do you know the quality objectives, have you implemented the management
indicators for your area?
5.4.2. Do you plan your activities? Do you have a work plan?
5.5. Responsibility, authority and communication
5.5.1 Do you know your roles and responsibilities?
5.5.2 Do you know the communication channels and do you use them?
5.6 Management review
Did you present the area's management report at the last management
5.6.1.
review?
5.6.2 Do you follow up on the Management Review agreements that apply to your
area?
6.2. Human Resources
6.2.1. Do you know the document OD-7-01 that refers to your job profile
(responsibilities, functions)?
6.2.2. what is the last training you have received?
6.2.3. Are you aware of how your activities influence the achievement of quality
objectives?
6.2.4. Have you submitted your documented CV?
6.3. Infrastructure
7.5.3. Does the organization perform identification and traceability of the service
(when necessary)?
Does the organization take care of the customer's property while it is in its
custody, does it inform the customer if such property is lost and/or damaged,
7.5.4. does it keep records?
8.2. Monitoring and measurement
8.2.1. Do you monitor customer satisfaction (satisfaction surveys)? Do you use the
information obtained? How?
8.2.2. Have you participated in internal audits? Do you follow up on the actions that
correspond to your area?
8.3. Control of non-conforming service
Do you recognize when a service is considered nonconforming, identify it and
8.3.1. treat it?
8.4. Data Analysis
8.4.1. Do you determine, collect and analyze appropriate data to demonstrate the
adequacy of the QMS in your work area?
The analysis provides information on customer satisfaction, conformity to
8.4.2. service requirements, process and service characteristics and trends, and
suppliers?
8.5. Improvement
Does the organization seek continuous improvement by making use of quality
8.5.1. policy and objectives, audit results, corrective and preventive action data
analysis, management review?
8.5.2. do you know how to fill out the F-2-05 Action Request Form?
ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD
PROCESS:
SUPERVISION RATING
Conf. Nonconforming
No. VERIFICATION POINTS FINDINGS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4.2. Documentation requirements
Do you know the procedures in your area? Do you consider that they are
4.2.1. sufficient to demonstrate and/or ensure the effectiveness of the operations
process?
4.2.2. Are you familiar with the quality manual that includes the scope of the QMS?
do you know the process map?
Do you keep your records up to date? are they enough? What records are not
4.2.4. controlled within the QMS?
5.3. Quality Policy
5.4.1. Do you know the GIS policy?
5.4 Planning
5.4.1. Do you know the quality objectives, have you implemented the management
indicators for your area?
5.4.2. Do you plan your activities? Do you have a work plan?
5.5. Responsibility, authority and communication
5.5.1 Do you know your roles and responsibilities?
5.5.2 Do you know the communication channels and do you use them?
5.6 Management review
Did you present the area's management report at the last management
5.6.1.
review?
5.6.2 Do you follow up on the Management Review agreements that apply to your
area?
6.2. Human Resources
6.2.1. Do you know the document OD-7-01 that refers to your job profile
(responsibilities, functions)?
6.2.2. what is the last training you have received?
6.2.3. Are you aware of how your activities influence the achievement of quality
objectives?
6.2.4. Have you submitted your documented CV?
6.3. Infrastructure
7.2.1. are the terms of reference of the contracts known? have beat supervisors been
trained?
7.2.2. Is an analysis performed prior to installing the service to ensure that the
contract can be fulfilled?
7.5.3. Does the organization perform identification and traceability of the service
(when necessary)?
Does the organization take care of the customer's property while it is in its
custody, does it inform the customer if such property is lost and/or damaged,
7.5.4. does it keep records?
8.2. Monitoring and measurement
8.2.2. Have you participated in internal audits? Do you follow up on the actions that
correspond to your area?
8.3. Control of non-conforming service
Do you recognize when a service is considered nonconforming, identify it and
8.3.1. treat it?
8.4. Data Analysis
8.4.1. Do you determine, collect and analyze appropriate data to demonstrate the
adequacy of the QMS in your work area?
8.5. Improvement
Does the organization seek continuous improvement by making use of quality
8.5.1. policy and objectives, audit results, corrective and preventive action data
analysis, management review?
8.5.2. do you know how to fill out the F-2-05 Action Request Form?
ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD
PROCESS: RECRUITMENT AND SELECTION OF PERSONNEL
RATING
Conf. Nonconforming
No. VERIFICATION POINTS FINDINGS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4.2. Documentation requirements
Do you know the procedures in your area? Do you consider that they are
4.2.1. sufficient to demonstrate and/or ensure the effectiveness of the operations
process?
4.2.2. Are you familiar with the quality manual that includes the scope of the QMS?
do you know the process map?
Do you keep your records up to date? are they enough? What records are not
4.2.4. controlled within the QMS?
5.3. Quality Policy
5.4.1. Do you know the GIS policy?
5.4 Planning
5.4.1. Do you know the quality objectives, have you implemented the management
indicators for your area?
5.4.2. Do you plan your activities? Do you have a work plan?
5.5. Responsibility, authority and communication
5.5.1 Do you know your roles and responsibilities?
5.5.2 Do you know the communication channels and do you use them?
5.6 Management review
Did you present the area's management report at the last management
5.6.1.
review?
5.6.2 Do you follow up on the Management Review agreements that apply to your
area?
6.2. Human Resources
6.2.1. Do you know the document OD-7-01 that refers to your job profile
(responsibilities, functions)?
6.2.2. what is the last training you have received?
6.2.3. Are you aware of how your activities influence the achievement of quality
objectives?
6.2.4. Have you submitted your documented CV?
During the selection process is the applicant considered to be competent
6.2.1. based on the education, training, skills and experience defined in document
OD-7-01?
7.2.1. Are the terms of reference of the contracts related to the profile of the
applicants known? Have the selection personnel been trained in them?
7.4. Shopping
7.4.1. Do you use the Goods and Services Request F-6-01 form as a formal means
of requesting purchases addressed to the logistic and mtto area?
8.2. Monitoring and measurement
8.2.1. Do you track internal customer satisfaction (exit surveys)? Do you use the
information obtained? How?
8.2.2. Have you participated in internal audits? Do you follow up on the actions that
correspond to your area?
8.3. Control of non-conforming service
Do you recognize when a service is considered nonconforming, identify it and
8.3.1. treat it?
8.4. Data Analysis
8.4.1. Do you determine, collect and analyze appropriate data to demonstrate the
adequacy of the QMS in your work area?
8.5. Improvement
Does the organization seek continuous improvement by making use of quality
8.5.1. policy and objectives, audit results, corrective and preventive action data
analysis, management review?
8.5.2. do you know how to fill out the F-2-05 Action Request Form?
ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD
PROCESS: TRAINING OF PERSONNEL
RATING
Conf. Nonconforming
No. VERIFICATION POINTS FINDINGS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4.2. Documentation requirements
Do you know the procedures in your area? Do you consider that they are
4.2.1. sufficient to demonstrate and/or ensure the effectiveness of the operations
process?
4.2.2. Are you familiar with the quality manual that includes the scope of the QMS?
do you know the process map?
Do you keep your records up to date? are they enough? What records are not
4.2.4. controlled within the QMS?
5.3. Quality Policy
5.4.1. Do you know the GIS policy?
5.4 Planning
5.4.1. Do you know the quality objectives, have you implemented the management
indicators for your area?
5.4.2. Do you plan your activities? Do you have a work plan?
5.5. Responsibility, authority and communication
5.5.1 Do you know your roles and responsibilities?
5.5.2 Do you know the communication channels and do you use them?
5.6 Management review
Did you present the area's management report at the last management
5.6.1.
review?
5.6.2 Do you follow up on the Management Review agreements that apply to your
area?
6.2. Human Resources
6.2.1. Do you know the document OD-7-01 that refers to your job profile
(responsibilities, functions)?
6.2.2. what is the last training you have received?
6.2.3. Are you aware of how your activities influence the achievement of quality
objectives?
6.2.4. Have you submitted your documented CV?
6.2.1. Does it comply with the training and awareness-raising schedule? / have all
personnel joining SINSE received INDUCTION?
Are updated records of instruction (training and retraining regulated by
6.2.4. SUCAMEC), training received (defensive driving, first aid, etc.) kept in the
files?
6.3. Infrastructure
7.2.1. are the terms of reference of the contracts related to the training to be received
by the operating personnel known?
7.4. Shopping
7.4.1. Do you use the Goods and Services Request F-6-01 form as a formal means
of requesting purchases addressed to the logistic and mtto area?
8.2. Monitoring and measurement
8.2.2. Have you participated in internal audits? Do you follow up on the actions that
correspond to your area?
8.3. Control of non-conforming service
Do you recognize when a service is considered nonconforming, identify it and
8.3.1. treat it?
8.4. Data Analysis
8.4.1. Do you determine, collect and analyze appropriate data to demonstrate the
adequacy of the QMS in your work area?
8.5. Improvement
Does the organization seek continuous improvement by making use of quality
8.5.1. policy and objectives, audit results, corrective and preventive action data
analysis, management review?
8.5.2. do you know how to fill out the F-2-05 Action Request Form?
ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD
RATING
Conf. Nonconforming
No. VERIFICATION POINTS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4.2. Documentation requirements
Does the quality manual include the scope of the QMS, a description of the
4.2.2. interaction of the processes and the precedents established for the QMS or
reference to them?
Are the organization's documents controlled, is there a documented procedure
4.2.3. for the control of internal and/or external documents, is there a master list of
documents?
4.2.4. Are the organization's records controlled, is there a documented procedure for
the control of records, is there a master list of records?
5.3. Quality Policy
Is it adequate, does it include commitment to meeting requirements and
continual improvement of QMS effectiveness, does it provide a framework for
5.4.1. quality objectives, is it communicated, understood and reviewed for continuing
suitability, is it communicated, understood and reviewed for continual
suitability, is it communicated, understood and reviewed for continual
5.4 Planning
5.4.1. Are the Quality objectives established at the relevant functions and levels
within the organization, are they measurable and consistent with policy?
4.4.2.1. QMS Planning is carried out to meet the requirements of section 4.1. and the
objectives?
5.4.2.2. Is the integrity of the QMS maintained when changes to the QMS are planned?
Has the RED been designated, does he/she have authority and responsibility
5.5.2 for ensuring that QMS processes are established, implemented and
maintained, reporting to top management on the performance of the QMS and
any need for improvement, and ensuring that awareness of customer
requirements is promoted at all levels of the organization.
Are appropriate communication processes in place within the organization and
5.5.3
is communication taking into account the effectiveness of the QMS?
4.4.3 Do the review results include decisions and actions related to improving the
effectiveness of the QMS, processes, service and resource needs?
6 RESOURCE MANAGEMENT
6.1. Provision of resources
6.1.1. Are resources identified and provided to implement and maintain the QMS and
improve its effectiveness, increase customer satisfaction?
Does the organization determine the competence required for the personnel?
6.2.2. Do you provide training or take other actions to achieve the necessary
competence and evaluate the effectiveness of the actions?
Do you ensure that your staff is aware of the relevance and importance of
6.2.3. their activities and how they contribute to the achievement of quality
objectives?
6.2.4. do you maintain appropriate records of education, training, skills and
experience?
6.3. Infrastructure
7 PRODUCT REALIZATION
7.1. Product realization planning
Has the organization planned and developed the processes necessary for the
7.1.1 performance of the service; is it consistent with the requirements of the other
QMS processes?
During planning, the organization should determine, where appropriate, the
following:
a) the quality objectives and requirements for the product, b) the need to
establish processes and documents, and to provide resources specific to the
product, c) the required verification, validation, monitoring, tracking,
7.1.2 measurement, inspection and test activities specific to the product as well as
the criteria for product acceptance, d) the records that are necessary to provide
evidence that the realization processes and product specific resources are in
place, andc) the required verification, validation, monitoring, measurement,
inspection and testing activities specific to the product as well as the criteria for
product acceptance
resulting product meet the requirements?
7.2. Customer-related processes
Has the organization determined the requirements related to the service
7.2.1.
(customer-specified, legal, regulatory)?
7.3.4. Is the design and development review performed to assess compliance with
requirements, identify problems and propose actions?
7.3.5.
Is the design and development validated as planned? Are records kept?
7.3.6. is it verified that the design and development result meets the requirements?
Are records kept?
7.3.7. Are design and development changes recorded?
7.4. Shopping
Does the organization ensure that the purchased product/service meets the
7.4.1. requirements? Are suppliers evaluated, selected and re-evaluated? Are
records kept of such evaluations?
Does the Purchasing Information include (where appropriate): requirements for
7.4.2. approval of products, procedures, equipment; requirements for qualification of
personnel and QMS requirements?
Does the organization carry out Control of production and service delivery?
Does this include (where applicable): information on service characteristics,
7.5.1. instructions, appropriate equipment, availability and use of monitoring and
measurement equipment, implementation of monitoring, measurement and
release, delivery and post-delivery activities?
Does the organization validate all production processes at those points where
output cannot be verified by measurement and monitoring? Have the following
7.5.2. been established for these processes (where applicable): review and approval
criteria, equipment approval and personnel qualification, use of methods,
records, re-validation?
7.5.3. Does the organization perform identification and traceability of the service
(when necessary)?
Does the organization take care of the customer's property while it is in its
custody, does it inform the customer if such property is lost and/or damaged,
7.5.4. does it keep records?
Does the organization preserve (identification, handling, packaging, storage,
7.5.5. protection) the product during the internal process?
8.5. Improvement
Does the organization seek continuous improvement using quality policy and
8.5.1. objectives, audit results, corrective and preventive action data analysis,
management review?
8.5.2. is there a procedure for corrective and preventive actions?