This checklist audits IMS1 Section 4, following work from the enquiry and purchasing through operations to change and design.
Prepared using the F-Q2A Audit Checklist form template.
The file is supplied in fully editable MS Word format and can be easily customised, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:
- Checklist number and title
- Information-classification
- Version
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IMS1 Section 4 Audit Checklist Template - Operational Processes
An audit checklist for Section 4 of IMS1, covering enquiries and sales, purchasing and outsourced services, operations, and change, variations and design. Each question is referenced to its IMS1 section. It is set out on the F-Q2A Audit Checklist format, with the scope, criteria, site, participants, auditor and date recorded at the top, and each question alongside the auditee and the evidence viewed, response and findings.
Areas Covered
- 4.1 Enquiries and sales - assessing enquiries, reviewing requirements before quoting or accepting an order, terms and conditions, quote conversion, changes to requirements, and checks on new customers
- 4.2 Purchasing and outsourced services - P-125 Supplier Policy, the key suppliers list, appraisal on F-Q9, order specifications, sub-contracted work, checks on receipt, and supplier performance
- 4.3 Operations - planning before work starts, competence and equipment, working to instructions, changes, traceability and customer property, checks and release, and delivery
- 4.4 Change, variations and design - planning and approving changes on F-Q23A or F-Q23B, customer variations and specifications, and design on F-Q1 and F-Q13 where it applies
Carrying Out the Audit
Choose one or two jobs and follow each from the enquiry through purchasing and operations to release. Most of the checklist can be answered from those records, and following real jobs shows how the processes in Section 4 link together.
Planning the Audit
Choose the jobs to sample and have their records to hand, along with the enquiry register, the key suppliers list, F-Q9 appraisals and any change review records.
Who Should Carry Out the Audit?
Anyone trained in internal auditing who is independent of the area being audited. The questions are written in plain language, so the checklist also works well for training new internal auditors.
Included in the ISO Toolkits
This checklist is part of the ISO 9001 Toolkit and is also included in the ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them.
Related Documents
Documents that work alongside this checklist:
Part of the IMS1 Audit Checklists
The IMS1 audit checklists follow the sections of the alphaZ IMS1 manual. The IMS1 ISO 9001 Checklist covers Sections 1 to 5 in one audit, and the checklists for Section 1, Section 2, Section 3, Section 4 and Section 5 let the audit be spread across the year using the ER11 Audit Schedule. The results can be written up using the F-Q31 Audit Report.
Not Using IMS1?
For a management system that is not built on IMS1, the Operational Processes Management System Audit Checklist covers the same ground without the IMS1 references.
Using the Findings
Gaps found in a job record are raised as actions, and problems that cross from one process to another are passed to corrective action.
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