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Management/Supervisory audit checklist

These are generic audit questions that would be applicable to any management or
supervisory person in any department (though they are particularly relevant to
management in production areas):

What measurable objectives relate to this department? [Managers dont need to have
memorized the objectives, but they should have some general understand of what the
objectives are.] ISO 9001 element 5.4.1 & 6.2.2d

How are you personally able to contribute to the achievement of objectives? [Managers
should be able to come up with a few practical examples of how they can contribute to
objectives in the course of their normal activities.] ISO 9001 element 6.2.2d

How do you ensure that employees have some understanding of the objectives in this
area? [This is an exploratory question designed to give you an understanding of the type
and magnitude of communications in the department.] ISO 9001 element 6.2.2d

In your own words, tell me what our quality policy means to you. [Managers should be
able to provide a few key points from the policy in their own words. Being able to say
how they contribute to some of the points in the policy would also suffice.] ISO 9001
element 5.3

How do you ensure that your people have the adequate tools, equipment, material, and
working environment necessary for producing our products? [This drives at
managements ability to provide appropriate resources. Compare what you hear from the
manager with what you observe in the work area. Are there discrepancies?] ISO 9001
element 6.1, 6.3, & 6.4

If you need to revise a document, what is the process for getting it changed? [There is no
specific requirement that supervisors or managers understand the revision process, but
complete ignorance of how revisions take place will be a cue to look closely for
uncontrolled or obsolete documents in the work area.] ISO 9001 element 4.2.3

Tell me the one or two most important things that employees should be doing in your area
to ensure good product. [This question is trying to get at the big issues in the mind of
management. Compare what you hear from management with what you observe and hear
in production.] ~~ ISO 9001 element 7.5.1

How do you make sure that employees receive feedback on conformance of products
they produce? [This simply explores the effectiveness of communication in the
department. Compare what you hear from the manager with what you observe and hear in
production.] ~~ ISO 9001 element 8.2.4 & 8.5.1
How do product specifications and requirements get communicated to people in your
area? [Compare what you hear from the manager with what you observe and hear in
production.] ISO element 7.5.1a

Do order/schedule requirements ever change (different products, quantities, specs, etc.)


after production has already started? If so, how do the revised product requirements get
communicated to the people doing the job? [This tests communication in the area. Follow
this question with the next one.] ISO 9001 element 7.2.2

Can you show me an example of an order or a production schedule that has been
changed? [Verify that the communication processes operates as the manager has
described it.] ISO 9001 element 7.2.2 & 4.2.3

When problems or potential problems arise, what is the method of dealing with them?
[You are looking for a connection to the corrective and preventive action system. If there
have been significant problems or potential problems that have NOT been inputted as
corrective or preventive actions, then you may have a problem.] ISO 9001 element 8.5.2
& 8.5.3

Are there any unwritten procedures that you enforce in your area with your people? [If
the manager provides any examples of unwritten procedures, verify that personnel
understand and conform with them.] ISO 9001 element 7.5.1 & 5.5.1

Do you have any examples of continual improvement that youd like to tell me about?
[There should be evidence of continual improvement somewhere within the audits scope.
A great many things may qualify as continual improvement. Complete ignorance of what
continual improvement is might be a cue that its not happening.] ISO 9001 element 8.5.1

As a manager, what are your most important activities? [This is simply an exploratory
question. Compare what the manager tells you with the evidence you encounter within
his or her department.] ~~ ISO 9001 element 7.1, 5.5.1, 7.5.1, 8.1

For more information, contact:


Craig Cochran
678-494-9938
craig.cochran@edi.gatech.edu
The Center for International Standards & Quality
Georgia Tech

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