QUESTION - ASQ
| |ALL PROCESSES | | |
|QUESTION |EVIDENCE |FOLLOW-UP |CAR #, IF |
| | |REQUIRED? |APPLICABLE |
|Process metrics—Clauses 4.4.1.c/g/h and 5.3.b (reference the METRICS box on | | | |
|the process model) | | | |
|(Interview the process owner. Ask the following questions:) | | | |
|What metrics do you keep to evaluate the effectiveness of this process? | | | |
|Who looks at these metrics? How are they evaluated? Do you have any goals or | | | |
|objectives established? | | | |
|Are goals and objectives being met? (Pull records to verify whether or not any| | | |
|goals are being achieved.) | | | |
|(If goals are not being met, ask:) What actions are being taken to improve the| | | |
|process? (Review records to verify that actions are being taken. These actions| | | |
|may be documented on CARs, continuous improvement records, in meeting minutes,| | | |
|and so on.) | | | |
|(If goals are being met, ask:) How are they reviewed for opportunities of | | | |
|continual improvement? | | | |
|(If applicable, interview any internal customers of the process to determine | | | |
|if the process is effective.) | | | |
| | | | |
|Responsibilities, authorities, competence, awareness, and training—Clauses | | | |
|4.4.1.e, 5.3, 7.1.6, and 7.2 (reference the WHO box on the process model) | | | |
|Who participates in this process? (Record those positions that you interviewed| | | |
|in this audit to the right.) | | | |
|How are responsibilities and authorities defined and communicated for these | | | |
|personnel? (These may be in job descriptions, documented procedures, work | | | |
|instructions, on-the-job training, and so on. Verify throughout the audit that| | | |
|defined responsibilities and authorities are clearly understood. Note any | | | |
|exceptions to the right.) | | | |
|Has the organization defined the skills and knowledge (competence) required to| | | |
|perform the jobs in this process? | | | |
|How does the organization ensure that employees are competent to perform these| | | |
|jobs? | | | |
|(If training is specified in the QMS, pull training records for employees | | | |
|either new to the organization or new to the position. Be sure to pull records| | | |
|for any employee that affects the effective implementation of the QMS.) | | | |
|How is the process to determine competence evaluated for effectiveness? (Pull | | | |
|records and verify conformance.) Is there anything that should be done to make| | | |
|this process more effective? (Note any opportunities for improvement to the | | | |
|right.) | | | |
|(In preparing for the audit, identify any significant changes that have been | | | |
|made to the process being examined. Did the organization consider the | | | |
|availability of required resources in implementing those changes? The | | | |
|allocation or re-allocation of responsibilities and authorities?) | | | |
|Information required for the process—Clauses 4.4.2, 6.3, 7.5.1, 7.5.2, and | | | |
|7.5.3 (reference the INFORMATION box on the process model) | | | |
|What types of documents are used in this process? (Record these on the | | | |
|attached document control matrix. These may include procedures, work | | | |
|instructions, inspection and test plans, job descriptions, specifications, | | | |
|prints, check sheets, batch sheets, control plans, and so on.) | | | |
|(Interview auditees to verify that the documents include the right amount of | | | |
|information. Sample questions might include the following:) | | | |
| | | | |
|Were you trained by your procedures and instructions? | | | |
|If so, were they helpful to you? | | | |
|If not, why not? Are they too detailed/difficult to use? Do they not include | | | |
|information that was necessary to perform the job? Are they obsolete? | | | |
|Incorrect? | | | |
| | | | |
|(Record any opportunities for improvement to the right.) | | | |
|(Complete the document control matrix at the end of this checklist to verify | | | |
|availability where needed, appropriate review and approval, and control of | | | |
|changes.) | | | |
|(In preparing for the audit, identify any documents that have recently been | | | |
|changed. Verify during the audit that these changes were carried out in a | | | |
|planned and systematic manner.) | | | |
|(During the audit, were any obsolete or invalid documents noted in areas where| | | |
|the document is used? Look particularly at bulletin boards, postings on the | | | |
|wall or near equipment, and so on.) | | | |
|(Verify that documents of external origin are identified and controlled. List| | | |
|to the right those documents that were verified. External documents may | | | |
|include legal and regulatory requirements, OEM equipment manuals, customer | | | |
|specifications, international and industry-specific standards, and so on.) | | | |
|What other information is required for this process? (Depending on the process| | | |
|being audited, this may include work orders, inventory levels, purchase | | | |
|requisitions, production schedules, sample schedules, audit schedules, and so | | | |
|on.) | | | |
|Does information include everything that you need? Is it correct? Do you get | | | |
|it when you need it? | | | |
|Equipment, tools, parts, materials, hardware, and software required for the | | | |
|process— | | | |
|Clauses 7.1.3, 7.1.4, and 7.1.5 (reference the WHAT box on the process model)| | | |
|What equipment, tools, parts, materials, hardware, or software are required | | | |
|for this process? | | | |
|Is equipment adequately maintained? Are any instruments and/or test equipment | | | |
|appropriately calibrated? Are there any repetitive equipment problems? | | | |
|Are tools adequate for the process? | | | |
|Are there any repetitive problems associated with any materials used in the | | | |
|process? | | | |
|Are materials available when needed? | | | |
|Is any software used in the process adequate to meet the needs of the users? | | | |
|Is the work environment suitable for the process? | | | |
|Control of records—Clause 7.5.3 (reference the OUTPUTS of the process on the | | | |
|process model) | | | |
|(Throughout the audit, verify that records are available where they are | | | |
|needed, legible, and stored in a way that protects them from loss or | | | |
|unintended alteration.) | | | |
|How are records protected against loss of confidentiality, improper use or | | | |
|loss of integrity? | | | |
|Awareness of the quality policy and supporting objectives—Clauses 5.2.2, | | | |
|6.2.1, and 7.3 | | | |
|(Interview personnel throughout the audit. Ask the following questions:) | | | |
|Are you aware of the organization’s quality policy? Can you state the key | | | |
|concepts in your own words? How does the quality policy relate to your job? | | | |
|What goals or objectives have been established for this process? Are we | | | |
|achieving our goals? How does what you do impact whether or not we will meet | | | |
|these goals? | | | |
|(Verify throughout the audit that employees are aware of the implications of | | | |
|not conforming with requirements of the QMS.) | | | |
Document control audit matrix
Process audited: _________________________________________
|Type of document audited |Number of documents |Number that were readily |Number that were |Number that were the |Were any recent changes |Comments |
| |observed |available |properly approved |current issue |communicated to affected | |
| | | | | |personnel? | |
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