ISO 9001: 2015 Mock Audit Checklist Part 4

1. Control of externally provided processes, products and services: Verify how the organization ensures externally provided processes, products and services conform to specified requirements.

2. Control of externally provided processes, products and services: Verify controls applied to externally provided processes, products and services when products and services are intended for incorporation into the organization's own products and services, products and services are provided directly to the customer or a process, or part of a process, is provided by an external provider as a result of a decision by the organization.

3. Control of externally provided processes, products and services: Verify how the organization determines and applies criteria for the evaluation, selection, monitoring of performance and re-evaluation of external providers.

4. Control of externally provided processes, products and services: Verify documented information of activities and actions arising from the evaluations.

5. Control of externally provided processes, products and services: Verify how the organization determines controls applied to the external provision of processes, products and services and the resulting output.

6. Control of externally provided processes, products and services: Verify how the organization considers the potential impact of the external provided processes, products and services on its ability to meet customer and applicable statutory and regulatory requirements

7. Control of externally provided processes, products and services: Verify the effectiveness of the controls applied by the external provider.

8. Control of externally provided processes, products and services: Verify how the organization determines the verification, or other activities, necessary to ensure the externally provided processes, products and services meet requirements.

9. Control of externally provided processes, products and services: Verify the organization communicates to external providers its requirements for.

10. Control of externally provided processes, products and services: the processes, products and services to be provided.

11. Control of externally provided processes, products and services: the approval of product and services; methods, processes and equipment; and the release of products and services.

12. Control of externally provided processes, products and services: competence, including any required qualification of persons.

13. Control of externally provided processes, products and services: the external providers' interactions with the organization.

14. Control of externally provided processes, products and services: control and monitoring of the external providers' performance to be applied by the organization.

15. Control of externally provided processes, products and services: verification or validation activities that the organization, or its customer, intends to perform at the external providers' premises.

16. Control of production and service provision: Verify the organization has documented information that defines the characteristics of the products to be produced, the services to be provided or the activities to be performed and the results to be achieved.

17. Control of production and service provision: Verify the availability and use of suitable monitoring and measuring resources.

18. Control of production and service provision: Verify the implementation of monitoring and measuring activities at appropriate stages to verify that criteria for control of processes or outputs, and acceptance criteria for products and services, have been met.

19. Control of production and service provision: Verify the use of suitable infrastructure and environment for the operation of processes.

20. Control of production and service provision: Verify the appointment of competent persons, including any required qualification.

21. Control of production and service provision: Verify the validation, and periodic revalidation, of the ability to achieve planned results of the processes for production and service provision, where the resulting output cannot be verified by subsequent monitoring or measurement.

22. Control of production and service provision: Verify the implementation of actions to prevent human error (i.e. poke yoke, visual locations, checklist, emergency stops, templates, document control, ...)

23. Control of production and service provision: Verify the implementation of release, delivery and post-delivery activities.

24. Identification and traceability: Verify how organization identifies outputs from the process to ensure conformity.

25. Identification and traceability: How does the organization identify the status of process outputs.

26. Identification and traceability: Verify how the organization controls the unique identification of process outputs when traceability is required. Verify documented information of traceability, where required.

27. Property belonging to customers or external providers: What care is provided to customers' or external providers' property?

28. Property belonging to customers or external providers: Verify how the organization identifies, verifies, protects and safeguards customers' or external providers' property which is provided for use or incorporation into the organization's products or services.

29. Property belonging to customers or external providers: Verify retained documented information for property that is damaged or otherwise found to be unsuitable for use.

30. Preservation: Verify how the organization ensures preservation of the process outputs to ensure conformity to requirements.

31. Post-delivery activities: Verify the organization considers the following to meet post-delivery activities.

32. Post-delivery activities: statutory and regulatory requirements

33. Post-delivery activities: potential undesired consequences associated with its products and services

34. Post-delivery activities: the nature, use and intended lifetime of its products and services

35. Post-delivery activities: customer requirements

36. Post-delivery activities: customer feedback

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