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DNV GL Assessment Checklist ISO 9001:2015: Rev 0 - December 2015
DNV GL Assessment Checklist ISO 9001:2015: Rev 0 - December 2015
Assessment Checklist
ISO 9001:2015
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10 Does the scope provide any justification for any
requirement of the ISO 9001:2015 International
Standard that the organization determines is not
applicable to the scope of its quality management
system?
11 Can the organization claim conformity to the ISO
9001:2015 International Standard by:
a) Ensuring that requirements determined as
not applicable do not affect the
organization’s ability or responsibility to
ensure the conformity of its products,
services and enhancement of customer
satisfaction?
4.4 Quality Management System and its
Processes
4.4.1
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a) Maintained documented information to
support the operation of its processes?
b) Retained documented information to have
confidence that the processes are being
carried out as planned?
5 Leadership
No. Question Proc. Ref. Comments
5.1 Leadership and commitment
5.1.1 General
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determined, understood and consistently
met?
b) Ensuring that the risks and opportunities
that can affect conformity of products and
services along with the ability to enhance
customer satisfaction are determined and
addressed?
c) Ensuring that the focus on enhancing
customer satisfaction is maintained?
5.2 Policy
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opportunities for improvement (see 10.1)
in particular to top management?
d) Ensuring the promotion of customer focus
throughout the organization?
e) Ensuring that the integrity of the quality
management system is maintained when
changes to the quality management system
are planned and implemented?
6 Planning
No. Question Proc. Ref. Comments
6.1 Actions to address risks and
opportunities
6.1.1
d) Achieved improvement?
6.1.2
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processes needed for the quality management
system?
6 Has the organization developed quality objectives
that:
a) Are consistent with the quality policy?
b) Are Measurable?
f) Are communicated?
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7 Support
No. Question Proc. Ref. Comments
7.1 Resources
7.1.1 General
7.1.5.1 General
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8 Has the organization retained documented
information as evidence of fitness for purpose of
the monitoring and measurement resources?
7.1.5.2 Measurement Traceability
7.2 Competence
14 Has the organization:
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training, or experience?
b) When to communicate?
d) How to communicate?
e) Who communicates?
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a) The documented information has an
appropriate identification and description?
b) The documented information has an
appropriate format?
c) The documented information has been
reviewed and approved for suitability and
adequacy?
7.5.3 Control of documented information
7.5.3.1
8 Operation
No. Question Proc. Ref. Comments
8.1 Operational planning and control
1 Has the organization planned, implemented and
controlled the processes (see 4.4) needed to
meet the requirements for the provision of
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products and services and implemented the
actions determined in Clause 6, by:
a) Determining the requirements for the
products and services?
b) Establishing criteria for the processes and
the acceptance of products and services?
c) Determining the resources needed to
achieve conformity to the product and
service requirements?
d) Implementing control of the processes in
accordance with the criteria?
e) Determining, maintaining and retaining
documented information to the extent
necessary to ensure:
1. Processes have been carried out
as planned?
2. That conformity of products and
services have been demonstrated
to their requirements?
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customers ensured that:
a) The requirements for the products and
services are defined including: applicable
statutory and regulatory requirements
along with those considered necessary by
the organization?
b) The organization can meet the claims for
the products and services it offers?
8.2.3 Review of the requirements for products and
services
8.2.3.1
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requirements, when the requirements for
products and services are changed?
8.3 Design and development of products
and services
8.3.1 General
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b) Information derived from previous similar
design and development activities?
c) Statutory and regulatory requirements?
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21 Has the organization retained documented
information on design and development outputs?
8.3.6 Design and development changes
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consistently deliver conforming products and
services to its customers?
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32 Has the organization implemented production
and service provision under controlled conditions
that includes:
a) The availability of documented information
that defines the characteristics of the
products to be produced, services to be
provided, or
the activities to be performed and the
results to be achieved?
b) The availability and use of suitable
monitoring and measuring resources?
c) The implementation of monitoring and
measurement activities at appropriate
stages to verify the criteria for control of
processes or outputs and that acceptance
criteria for products and services have
been met?
d) The use of suitable infrastructure and
environment for the operation of
processes?
e) The appointment of competent persons,
including any required qualification?
f) The validation, and periodic revalidation,
of the ability to achieve planned results of
the processes for production and service
provision when the resulting output cannot
be verified by subsequent monitoring or
measurement?
g) The implementation of actions to prevent
human error?
h) The implementation of release, delivery
and post-delivery activities?
8.5.2 Identification and traceability
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37 Has the organization identified, verified,
protected and safeguarded customer or external
providers’ property provided for use or
incorporation into the products and services?
e) Customer feedback?
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approved by a relevant authority and as
applicable, by the customer?
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9 Performance Evaluation
No. Question Proc. Ref. Comments
9.1 Monitoring, measurement, analysis
and evaluation
9.1.1 General
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f) The performance of external providers?
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10 Has the organization planned and carried out
taking into consideration:
a) The status of actions from previous
management reviews?
b) Changes in external and internal issues that
are relevant to the quality management
system?
c) Information on the performance and
effectiveness of the quality management
system which includes trends in:
1. Customer satisfaction and
feedback from relevant interested
parties?
2. The extent to which quality
objectives have been met?
3. Process performance and
conformity of products and
services?
4. Nonconformities and corrective
actions?
5. Monitoring and measuring
results?
6. Audit results?
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10 Improvement
No. Question Proc. Ref. Comments
10.1 General
1 Has the organization determined and selected
opportunities for improvement and implemented
any necessary actions to meet customer
requirements and enhance customer satisfaction?
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f) Made changes to the quality
management system, if necessary?
4 Has the organization ensured that corrective
actions are appropriate to the effects of the
nonconformities encountered?
10.2.2
5 Has the organization retained documented
information as evidence of:
a) The nature of the nonconformities and any
subsequent actions taken?
b) The results of any corrective action?
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