This checklist audits IMS1 Section 5, from customer feedback and problems to internal audits and continual improvement.
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
- Page number / total pages
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IMS1 Section 5 Audit Checklist Template - Monitoring, Evaluation and Improvement
An audit checklist for Section 5 of IMS1, covering customer satisfaction, nonconforming outputs, problems and complaints, management system audits and continual improvement. 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
- 5.1 Customer satisfaction - customer focus, awareness, collecting feedback including F-Q12, negative feedback, and trends
- 5.2 Nonconforming outputs, problems and complaints - awareness, recording on F-Q10 or the issues and actions register, root cause, control of nonconforming outputs, the effectiveness of corrective action, and updating the registers
- 5.3 Management system audits - the audit schedule, completed audits, auditor competence and independence, evidence recorded on F-Q2A, nonconformities, and review at management review
- 5.4 Continual improvement - finding opportunities, F-Q16 Improvement Request, taking improvements forward and reviewing their effectiveness
Carrying Out the Audit
Sample a few problems and complaints and follow each to root cause and a checked close, and compare the audit schedule with the completed F-Q2A checklists. Asking a sample of workers how they deal with problems, as the checklist suggests, shows whether Section 5 works beyond the office.
Planning the Audit
Have the customer feedback, the problems and complaints records, the audit schedule and completed checklists, and the last completed F-Q3 to hand.
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 Monitoring, Evaluation and Improvement Management System Audit Checklist covers the same ground without the IMS1 references.
Using the Findings
Issues closed without checking the action worked, missed audits or improvements that were never taken forward are raised as findings for the next management review.
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