INTEGRATED MANAGEMENT SYSTEM QMS AUDIT CHECKLIST …

INTEGRATED MANAGEMENT SYSTEM

QMS AUDIT CHECKLIST

YBI-IMSP-07-F-04 Rev 00 Date: 15 April, 2021 Page | 1

Organization Name: Yamash Bread Industry Area Audited: Sales and Marketing, HR, Purchase, Production, Quality Control, Top Management, Logistics and Store Audit Date: 08-06-2021 Standard: 9001:2015 Name of the Auditors: Mr. Fahad Al Qasim and Mr. Abdul Sattar

Cl No.

Clause requirements Document Reference Conformance

Yes No

4.0

4.1 Understanding the organization and its context

(Identified external and internal issues that are relevant to the purpose of organization)

SWOT Analysis YBI-IMSP-23-F-01

Y

4.2 Understanding the needs and expectations of interested parties (Determined interested parties and review of the information about these interested parties and their relevant requirements)

Interested parties List YBI-IMSP-23-F-01

Y

4.3 Determining the scope of the quality management system (Scope of QMS & justification for Non-applicability of any clause

IMS Manual Doc: YBI-IMS-MAN Page # 10 Receiving and Storage of Raw Material, Preparation, Packing and Distribution of Bread and Sweets

Y

4.4 Quality management system and its processes (Implementation, maintenance and continuous improvement of quality management system, including the processes needed and their interactions).

IMS Manual Doc: YBI-IMS-MAN Page # 21-26

Y

5.0

5.1.1 General (Leadership and commitment as stated in 5.1.1(a) to 5.1.2(j).

IMS Manual Doc: YBI-IMS-MAN Page # 29

Y

5.1.2 Customer focus (Leadership and commitment w.r.t to customer focus as stated in 5.1.2(a) to 5.1.2(c).


Y

5.2 Policy Y

5.2.1 Establishing the Policy

Quality Policy YBI-IMS-P-02 Communicated through notice boards

5.2.2 Communicating the Policy


QMS AUDIT CHECKLIST


Cl No.


Yes No

5.3 Organizational roles, responsibilities and authorities (Responsibilities and authorities for relevant roles assigned, communicated and understood within the organization)

Job Description YBI-IMSP-04-F-10 Y

6.0

6.1 Actions to address risks and opportunities (Issues refer to 4.1 and the requirements refer to in 4.2 as stated in 6.1.1(a) to 6.1.1(d) and 6.1.2(a) to 6.1.2(b). 6.1.1 General:

Risk register for all departments YBI-IMSP-20-F-01

6.2 Objectives and planning to achieve them (Objectives at relevant functions, levels and processes needed for the MS & planning actions to achieve determined objectives.

Objectives and targets for all departments YBI-IMSP-03-F-05

Y

6.3 Planning of changes (Changes to the QMS planned, potential consequences of changes as stated in section 6.3(a) to 6.3(d)).


Y

7.0

7.1 Resources

7.1.1

General (As stated in section 7.1.1(a) to 7.1.1(b))


Y

7.1.2

People (Persons necessary for the effective implementation of QMS)


Y

7.1.3

Infrastructure (As stated in section 7.1.3(a) to 7.1.3(d))


Y

7.1.4

Environment for the operation of processes (As stated in section 7.1.4(a) to 7.1.4(c))


Y

7.1.5 Monitoring and measuring resources

IMS Manual Doc: YBI-IMS-MAN Page # 51 Control of Monitoring and Measuring YBI-IMSP-06

Y

7.1.5.1

General (Addressed requirements 7.1.5.1 (a) to 7.5.1.1(b) )


Y


QMS AUDIT CHECKLIST


Cl No.


Yes No

7.1.5.2

Measurement traceability ( Validity of measurement results and measuring equipment as stated in section 7.1.5.2(a) to 7.1.5.2(c))


Y

7.1.6 Organizational knowledge (organization knowledge based on internal and external sources)


Y

7.2 Competence (Addressed requirements 7.2 (a) to 7.2(d)

YBI-IMSP-04 Resources Management

Y

7.3 Awareness ( Person working under the organization should be aware as stated in section 7.3(a) to 7.3(d))

YBI-IMSP-04 Resources Management

Y

7.4 Communication ( Internal and external communication as stated in section 7.4(a) to 7.4(e)/ 7.4.1


Y

7.5 Documented information Y

7.5.1 General (Addressed requirements 7.5.1 (a) to 7.5.1(b) )

Control of Document YBI-IMSP-01 Control of Records YBI-IMSP-02

7.5.2 Creating and updating (As stated in section 7.5.2(a) to 7.5.2(c)).

7.5.3 Control of documented Information (Addressed requirements 7.5.3.1 (a) to 7.5.3.2(b) and 7.5.3.2(a) to 7.5.3.2(d)).

8.0

8.1 Operational planning and control IMS Manual Doc: YBI-IMS-MAN Page # 51

Y

8.1.1 General IMS Manual Doc: YBI-IMS-MAN Page # 51

8.2 Requirements for products and services IMS Manual Doc: YBI-IMS-MAN Page # 60

Y

8.2.1 Customer communication (As referred in section 8.2.1(a) to 8.2.1(e)).

IMS Manual Doc: YBI-IMS-MAN Page # 60-61

8.2.2 Determination of requirements related to products and services (As referred in section 8.2.2(a) to 8.2.2(b)).


QMS AUDIT CHECKLIST


Cl No.


Yes No

8.2.3

Review of requirements related to products and services (As referred in section 8.2.3.1(a) to 8.2.3.1(e) and 8.2.3.2(a) to 8.2.3.2(b)).

8.2.4

Changes to requirements for products and services (Relevant persons should be aware when the requirements are changed).

8.3 Design and development of products and services

8.3.1

General

(Implementation and maintenance of design and development process)

Not Applicable No

8.3.2

Design and development planning

(Stages and control as stated in section 8.3.2(a) to 8.3.2(j).

8.3.3

Design and development inputs

(Addressed requirements 8.3.3 (a) to 8.3.3(e))

8.3.4

Design and development controls

(Controls to the design as referred in section 8.3.4(a) to 8.3.4(f)).

8.3.5

Design and development outputs

(Addressed requirements 8.3.5 (a) to 8.3.5(d) )

8.3.6 Design and development changes

(Addressed requirements 8.3.6 (a) to 8.3.6(d) )

8.4 Control of externally provided processes, products and services

Purchasing Y

8.4.1

General (Addressed requirements 8.4.1 (a) to 8.4.1(c) )

YBI-IMSP-05 Purchasing

8.4.2

Type and extent of control

(As referred in section 8.4.2(a) to 8.4.2(d) )

8.4.3

Information for external providers (As referred in section 8.4.3(a) to 8.4.3(f) )

8.5 Production and service provision


QMS AUDIT CHECKLIST


Cl No.


Yes No

8.5.1

Control of production and service provision (Controlled conditions as referred in section 8.5.1 (a) to 8.5.1(h) )

YBI-IMSP-21 Production Service Provision

Y

Determination of Special processes requiring validation (Clause-8.5.1f)


Y

8.5.2

Identification and traceability (Control of the unique identification of process outputs, where applicable)


Y

8.5.3

Property belonging to customers or external providers (Property which is provided for use or incorporation into products or services)


Y

8.5.4 Preservation (Preservation of process outputs during production and service provision)

YBI-IMSP-22 Preservation of Products

Y

8.5.5

Post-delivery activities (As referred in section 8.5.5(a) to 8.5.5(e) )

YBI-IMSP-22 Preservation of Products

Y

8.5.6

Control of changes (Control unplanned changes for continuing conformity)

YBI-IMSP-31 Management Change IMS Manual Doc: YBI-IMS-MAN Page # 49

Y

8.6 Release of products and services (Planned arrangements completed for release of products and services to customer as stated in section 8.6(a) to 8.6(b))


Y

8.7 Control of non conforming outputs (Addressed requirements 8.7.1 (a) to 8.7.1(d) and 8.7.2(a) to 8.7.2(d)).


Y

9.0

9.1 Monitoring, measurement, analysis and evaluation

9.1.1

General (Addressed requirements 9.1.1 (a) to 9.1.1(d)).


Y

9.1.2

Customer satisfaction (customer perception of the degree to which requirements have been met)


Y

9.1.3 Analysis and evaluation (As referred in section 9.1.3(a) to 9.1.3(g) )


Y


QMS AUDIT CHECKLIST


Cl No.


Yes No

9.2 INTERNAL AUDIT (Planned intervals , the status and importance of the processes, Audit criteria, scope, frequency and methods, Selection of auditors and conduct of audits to ensure impartiality, responsibilities& CA )

YBI-IMSP-07 Internal Audit Y

9.3 MANAGEMENT REVIEW Y

9.3.1

General (review of organization's MS, at planned intervals)

YBI-IMSP-03 Management Review

9.3.2 Management review input

9.3.3 Management review output

10.0

10.1 General IMS Manual Doc: YBI-IMS-MAN Page # 98

10.2 Nonconformity and corrective action IMS Manual Doc: YBI-IMS-MAN Page # 98

Y

10.3 Continual Improvement (Effectiveness of MS through the use of objectives, audit results, analysis of data, CA and management review)


Y

Approved By:


Internal Audit Summary Report

YBI-IMSP-07-F-08 Rev 00 Date: 15 April, 2021 PAGE | 1

Internal Audit No.: YBI-IA-2021 Date: 08-06-2021 Standards: ISO 9001:2015, ISO 22000:2018 and HACCP Auditors: Criteria:

Integrated Management System

Hygienic Control

Housekeeping

Product Requirements

Customer requirements

Legal requirements

Auditors: Mr. Fahad Al Qasim and Mr. Abdul Sattar

Audit details

Sr. No. Date 0f Audit Department No. of major

findings No. of minor

findings No. of observations

1 08-06-2021 Sales and Marketing - - 1

2 08-06-2021 HR/Finance/Purchase - - 6

3 08-06-2021 in nnalo roitcrrorP Control - 1 6

4 08-06-2021 Food Safety and HACCP/Quality Control / Top

Management - 5 1

5 08-06-2021 Logistics and Store - 1

Total Findings 6 15

Strengths of the organization:

Competent IMS team

Regular walk through audits

IMS implemented

KPI's to drive departments functions

Improved risk Identification and Evaluation


Internal Audit Summary Report

YBI-IMSP-07-F-08 Rev 00 Date: 15 April, 2021 PAGE | 2

Weakness of the organization:

Department action to address Risk and opportunities

Department Measurable Objective and Targets

SWOT analysis and Expectation of Interested Parties

Insufficiency of top management involvement to review the performance of management system

Quick action need to be taken to comply with Legal requirements.

Effectiveness of corrective actions and preventive actions not evaluated properly

Lack of attention of top management in IMS issues cause poor reporting near miss

Lack of resources cause failure in updating and maintaining registers

Lack of supervision to monitor the control measures

Approve By:

INTEGRATED MANAGEMENT SYSTEM QMS AUDIT CHECKLIST …

Documents

Transcript of INTEGRATED MANAGEMENT SYSTEM QMS AUDIT CHECKLIST …