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Audit Questions – an aid to assist you in framing questions.
Part of auditor tool one Question
Purpose of the process • How does the process support the business strategy and objectives?
• What are the process' supplier inputs and customer outputs?
• How do you determine what the customer requirements are; is this the ultimate
customer?
• Where do you get your work from?
Process objectives and
targets
• How do you determine your objectives and
targets?
• What are your objectives and targets? • How do they link to and support the overall
business objectives? • How do you plan for future customer demands
and the likely resources required to support them?
The process itself • Can you describe the process?
• How do any procedures support the process? • Who is your customer?
• How do you know what your customer requirements are?
• How does this process interact with other
processes in the management system? • Who do consider as your supplier?
• How does your supplier support you? • How do you determine the competencies
required for those responsible for process activities?
Key performance process
measures
• How do you decide what key performance
indicators to use? • How are the process measures linked to
business objectives and measures? • How does your customer measure the
performance of the process?
Performance monitoring • How do you know what the current performance of the process is?
• How often is process performance measured? • How is performance data communicated to the
process team?
Improvement • How do you identify improvement issues? • How do process team members contribute to
improving process performance?
• How to you evaluate the success of improvement activities?
• How have improvement actions affected process performance?
• How are improvement actions communicated to the process team?
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Objective evidence If we have established that the questions and questioning techniques you use as an auditor vary according to the person being interviewed and the level they are
working at within the process, then it must also follow that the objective evidence you obtain will also vary accordingly
In section 2 we looked at examples of documented and non documented
objective evidence, so let us now consider what types of objective evidence we
might find at difference levels in the business, depending upon who we are auditing and what questions we are asking.
Taking some of the questions from the Table 4.2, Table 4.3 outline the likely
objective evidence you might expect to find.
Question Evidence from process owner
Evidence from process staff
• How does the process
support the business strategy and
objectives? • What are the process
supplier inputs and
customer outputs? • How do you
determine what the customer
requirements are; is this the ultimate
customer?
• Clear understanding
of objectives
• Tells you what they
are
• Able to link to
customer outside their process and
describe requirements
• Understands what the
process is there to do
• Tells you what they are
• Able to link to next
step in process and describe
requirements.
• How do you determine your
objectives and
targets? • What are your
objectives and targets?
• How do they link to and support the
overall business objectives?
• How do you plan for
future customer
demands and the likely resources
required to support them?
• Link to overall company objectives
and targets
• Tells/shows you
• Clear understanding of overall company
objectives and targets and can demonstrate
linkage • Tells/shows you plan,
gives example of
having done it previously
• Understands their role in the process
• Understands process
performance
• Understands company's aims
• In touch with process
customers and makes
suggestions to process owner
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Question Evidence from process
owner
Evidence from process
staff
• Can you describe the
process?
• How do any procedures support
the process? • How does the process
interact with other processes in the
management system? • How do you
determine the
competencies required for those
responsible for process activities?
• Tells/Shows you
• Tells/shows you links to process activity
• Tells you what the
links are and how the communication
between them works • Understands roles
and competencies in
context of process activities, linked to
objectives
• Tells/shows you
• Tells/shows you when used and how
• Understands there
are links to other processes and knows
how they work • Knows own
competency and has
been appraised/review in
the last year.
• How do you decide what key
performance indicators to use?
• How does your customer measure
the performance of
the process?
• Tells/shows you the indicators and which
link to objectives
• Demonstrates customer
communication by
linkage of their needs to process measures.
• Tells/shows you process measures
being used
• Understands process performance in
relation to the
customer
• How do you know
what the current performance of the
process is? • How often is process
performance measured?
• How is performance data communicated
to the process team?
• Shows you
performance information
• Tells you
• Tells/shows you
• Tells/shows you
performance information
• Tells you
• Tells you/shows you
• How do you identify improvement issues?
• How do process team
members contribute to improving process
performance? • How to you evaluate
the success of improvement
activities?
• Able to link performance data to
improvement action
• Tells you and can
give examples from team
• Link back to
performance data to demonstrate
effectiveness
• Talks through methods/ideas and
links to process
owner • Knows ho and who to
suggest improvements to
• Communication from
process owner
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Appendix 1. Example auditor questions With the auditing principles and techniques explained, this section seeks to
provide some example questions based on the approaches used. As explained previously it is not easy to assess the effectiveness of a process or, indeed, a
system, by simply following the clauses of the standard organisations simply do not always work that way. Nonetheless the examples are grouped by clause for
each of reference together with questions that could be asked to demonstrate compliance along with those which seek to test effectiveness. This is not an
exhaustive list and all clauses are not covered in the detail needed, otherwise we
would end up with a book of questions that is not the point. One common trend you will notices is that asking a compliance question gives a definitive answer,
asking a question on effectiveness provides information – the auditor's job is then to add this information together to form the judgement on effectiveness. Also
notice that 'open' and 'closed' questions can be used in both areas – simply asking the question starting with what, how, where etc does not constitute skills
associated with effectiveness testing.
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Table A.1 Example questions for clause 4 of ISO 9001:2000
Clause No.
Requirement Question to whom
Compliance question Effectiveness question
4.1 Identification of
the processes
Senior
Management
Show me the processes
that make up the management system
How do you know the
correct processes have been identified?
Senior
Management
What management
information do you use to monitor the
processes?
How do you know that
the management information you use if
the correct information to control a process?
Senior
Management
What parts of your
processes are outsourced?
How do you assess
which parts of your process should or
shouldn’t be
outsourced? How is the management decision
made?
Management What parts of your processes are
outsourced?
How do you know that the outsourced work is
being effectively managed and
controlled?
Staff Member What jobs are given to other people outside the
business to do?
How often, roughly, is work done by other
people outside the organisation completed
wrongly or badly?
Staff Member What is your job? What is the impact on the customer if you
don't get your job done correctly?
Staff Member What part do you play
in the process?
How do you know if or
when you have done a good job?
Staff Member What do you do? How often do you get
work that is either wrong, incorrect, needs
rework or is simply
confusing?
4.2.1 General Senior
Management
Are procedures
documented? Do you
have a quality manual? Is there a statement of
quality and objectives?
How did you determine
what method and
approach is of most benefit to your
organisation?
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Clause
No.
Requirement Question to
whom
Compliance question Effectiveness
question
4.2.2 Quality manual Senior Management/
Management
Do you have a quality manual?
Show me your quality manual?
Does it contain the right information outlined in
the standards?
What is the purpose of the manual?
How is it used on a routine regular basis?
How is it content translated into everyday
activity? Why is it written the
way it is?
How does the manual support the objectives
of the organisation and its image with the
customer?
Staff Do you know where to find the manual?
Show me the quality manual?
What is the organisation trying to achieve?
How doe the organisation work?
How do we all work together to deliver
results?
How do we improve things in this
organisation?
4.2.3 Document Control
Management/ Staff
Do you approve documents prior to
issue? Do you have a
procedure? Show me how you
control the version etc
How often do you find that you use the wrong
information or documents in this
organisation? (ask many people to build up a
picture) Do you ever think that
you use out-of-date
information? How do you know you
are using the most up-to-date
information/documents?
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Table A.2 Example questions for clause 5 of ISO 9001:2000
Clause No.
Requirement Question to whom
Compliance question Effectiveness question
5.1 Management
commitment
Senior
Management
How do you
demonstrate that you are committed to the
development and implementation of the
management system?
How do you know that
the approaches you use to demonstrate
commitment are effective?
Staff member Are Management committed to the
management system?
Or: How committed are
Management to the management system in
this organisation?
When was the last time you saw/heard your
Manager concerned with
meeting the customer's needs? What was this?
What was the impact of these statements on
you and your colleagues?
Compare the answers given by both
management and staff and identify any inconsistencies
5.2 Customer focus Senior
Management
How do you focus on
the needs of the customer?
How do you prioritize
the needs of difference customers and other
stakeholders? We can't satisfy
everyone 100 per cent of the time, so how do
you manage this?
How is this information used to set business
objectives? How do you validate the
information to ensure it is correct, (otherwise
your objectives could be incorrect)?
Senior
Management /
Management
How do you identify
customer needs?
How do you know that
the process for
identifying customer needs is effective?
Senior
Management / Management
What process do you
have to identify what customers' needs are?
What is your role in this process?
How are customers'
needs translated into objectives that are
subsequently measured by customer satisfaction
activity? Hot does it all link together?
Senior
Management
Who is responsible for
this process?
How is this process
managed, controlled and improved on a
continual basis?
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Clause No.
Requirement Question to whom
Compliance question Effectiveness question
5.3 Quality policy Senior
Management
Show me your policy? What factors did you
consider in determining the policy details?
Staff member Do you know what the
quality policy is or where to find it?
What is important to the
organisation? How important is it that
you do a good job to you, to the customer, to
the organisation? If there was one thing
that this organisation
had to achieve what would it be?
5.4.1 Quality
Objectives
Senior
Management
Do you have quality
objectives?
How do you know the
objectives are correct?
Who created the
objectives?
How do you know that
the management agree
with the objectives set?
Are the objectives
measurable?
How were the measures
selected? How do you
know that these are actually achievable?
How many objectives
are there?
How do these objectives
complement and support each other to
move the organisation forward?
How do you know that they jointly deliver
everything you need to do as a business?
Link the answers to these questions with
those given in answer to sub clause 5.2. Do the answers link? Do they make sense?
Management What are your
objectives? Are they measurable?
How do you know if
your objectives link to those of the
organisation?
How were the objectives created?
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Clause
No.
Requirement Question to
whom
Compliance question Effectiveness
question
5.4.2 Quality management
system planning
Senior Management
Is the management system designed to
meet the objectives of the business?
How do you maintain the integrity of the
management system?
How do you know that the management
system has been designed to meet the
objectives set? How do you ensure that
the integrity of the management system is
maintained so that
customers are not adversely affected
during changes?
5.5.1 Responsibility and authority
Senior Management
Are responsibilities and authorities defined?
How are responsibilities communicated?
How do you know if these responsibilities
are being applied correctly?
How do you reallocate/reduce
responsibilities when
needed?
5.5.2 Management
representation
Senior
Management /
Management
Who is the management
representative?
Show me what you do (to the Management
Representative)
Who is the Management
team 'champions' the
management system? How effective is the
management representative in
helping the organisation to understand how it
delivers results and improves business
performance?
5.5.3 Internal communication
Senior Management
How do you communicate results to
the rest of the
organisation?
How do you know that the communication
methods you use are
effective?
Management How do you
communicate results to
your staff?
How do you translate
the organisation's
results into information that directly applies to
your staff rather than 'corporate/business
speak'? Does your manager
provide you with information on business
performance that
directly applies to you?
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Clause
No.
Requirement Question to
whom
Compliance question Effectiveness
question
Staff How well is the organisation performing?
Do management communicate to you on this
subject?
Does the information you are
provided with mean anything to you?
Does this information relate
directly to your job? How can you
influence these
results?
5.6 Management
review
Senior
Management/
Management
Do you hold a management
review?
What do you look at? What are the results of the
review? How do you record the
actions from the review?
How do you
management review
the performance of the business?
How effective are these methods?
How do you know the actions agreed
are aimed at delivering the
organisations'
objectives? Are discussions at
reviews based on improving results?
What subject areas are discussed?
How do they relate to the performance
of the business and its objectives?
What factors do you
use to prioritize improvement
activity?
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Table A.3 Example questions for clause 6 of ISO 9001:2000
Clause No.
Requirement Question to whom
Compliance question Effectiveness question
6.1 Provision of
resources
Senior
Management / Management
Do you allocate
resources? How do you manage
resources? What resources do you
need?
How do you know the
resources you used are aligned to the delivery
of the business objectives?
How do you know that the resources required
contribute to satisfying
customer needs/ requirements?
6.2.1 General Senior
Management / Management
How do you recruit
people who are competent?
How do you manage people's competences?
How do you balance the need for procedures
with people's competences?
How do you know the
balance between training and
competence and the need for procedures to
correct and effective? How do you know your
peoples' competences are sufficient to deliver
the business objectives?
Staff What resources do you
use?
If there was one thing
that would help you do your job better what
would it be?
6.2.2 Competence, awareness and
training
Management Have competences been defined?
Are training need identified?
Do you evaluate training interventions?
Do you have training records?
How do you communicate the
importance of your
staff's activities in meeting objectives?
How do you make them understand this?
How do you know the correct competences
have been defined? What methods do you
use to evaluate training and how do you know
when to use each? How do you prioritize
someone's learning/training needs?
What support do you
give that allows staff to apply what they have
learnt in the workplace? How do you know how
effective this support is? How do you know that
you have effectively communicated personal
objectives to staff?
Senior Management /
Management
What process do you have to identify what
customers' needs are?
What is your role in this process?
How are customers' needs translated into
objectives that are
subsequently measured by customer satisfaction
activity? Hot does it all
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link together?
Clause No.
Requirement Question to whom
Compliance question Effectiveness question
Staff Has the organisation
defined the competences you need
to do your job? Do you understand how
important your activities
are?
Do you think the
competences defined for your job are correct?
How good are Management at
reviewing your
competence and identifying where you
can improve? In your view is training
delivered generally too late or too early on
occasions? After you have received
training does someone 'test' or check to see
that you can apply the
training you have received?
How do your activities help this business
achieve its overall goals and objectives
6.3 Infrastructure Management What equipment /
assets do you have? How is this equipment
managed and
maintained? How is the equipment
purchased? Do you back up IT
systems? What processes do you
have to manage all your resources?
Does your process cover acquiring,
commissioning and
decommissioning an asset?
What approvals are gathered for asset
purchase?
How do you know that
the equipment is capable of delivering the
objectives?
How do you know that you have purchased an
commissioned the most appropriate equipment?
How do you assess the effectiveness of your
disaster recovery plans should your
infrastructure fall? How do you optimize
the performance of your
infrastructure resource? How do you know that
approvals for asset purchases follow the
agreed governance rules for the business?
Staff What equipment to you
use? How is the equipment
maintained?
How efficient is the
equipment you use? How quickly is it
repaired should it
breakdown? How often does
equipment failure affect your production/service
deliver?
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Clause
No.
Requirement Question to
whom
Compliance question Effectiveness
question
6.4 Work environment
Management What do you consider to be your working
environment? How is the working
environment managed? What legal and
regulatory requirements do you need to follow?
How do you know when to make a new
investment in the working environment?
How do you measure the impact of the
working environment on people's motivation to
work here?
How do you know that the working
environment supports the delivery of process
and product requirements?
Staff What is it like working
here? If the working
environment could be improved how would it
be?
Do Management ever ask for your opinion on
the acceptability of the environment to deliver
what customers need? Does the environment
you work in affect your performance and the
quality of what is
produced?
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Table A.4 Example questions for clause 7 of ISO 9001:2001
Clause No.
Requirement Question to whom
Compliance question Effectiveness question
7.1 Planning of
product realization
Management What are the processes
for production realization?
How do these processes operate?
How do you know the
correct processes have been identified to meet
the objectives set? How do you know that
the planning is an appropriate form for
business?
How has this been 'tested' to maximize the
operational performance of the organization?
7.2.1 Determination of
requirements related to the
product
Management How do you determine
what customers require?
What statutory and regulatory requirements
relate to the products/services?
What non-stated
requirements are there?
How do you know you
have determined the customers'
requirements correctly? How good do you think
you are at identifying what your customer's
needs really are?
How effective is the business at ensuring
you don't fall short of regulatory
requirements?
Staff How do you identify customers'
needs/requirements
How good do you think you (the organisation)
are at identifying what your customers' needs
really are?
7.2.2 Review of requirements
related to the
product
Management How do you review the organisation's capability
to deliver what the
customer requires? Show me the details.
How much wasted work is carried out in this
organisation as a result
of you, or the customer, changing what is
required?
Staff How do you know you are capable of delivering
what is required?
How often do you find that you can't actually
deliver what you have agreed to?
7.2.3 Customer
communication
Management How do you
communicate information to
customers? What provision have
you made that allows customers to raise
queries or provide you with feedback?
How do you know that
customers know how to communicate with the
organisation effectively? How has this type of
communication from the customer affected what
you do in the past six months?
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Clause
No.
Requirement Question to
whom
Compliance question Effectiveness
question
7.3.1 Design and development
planning
Management How do you plan the design and/or
development of a new product or service?
What resources do you need?
How do you optimize the use of resources you
have available to you? How do you prioritize
difference projects? How do you know that
your limited resources are being used in such a
way as to maximize the
benefit to the organization and its
customers?
Staff How are new designs / developments carried
out?
Do you think that the organization knows
which projects are more important than others?
How often do you get 'torn' between the
needs of difference projects and don’t know
which to do first?
7.3.2 Design and Development
inputs
Project Manager
What factors do you considered when
designing / developing a
product or service? What legal and
regulatory requirements are important?
How do you know the design inputs have been
identified correctly?
How often do you find, when testing a product
or service that the design inputs have not
been identified correctly?
Design/
Development Team
What factors do you
considered when designing / developing a
product or service? What legal and
regulatory requirement
are important?
How much wasted effort
do you think takes place on design and
development work? Do you think you are
careful enough when
you design or develop products and services?
7.3.3 Design and
development outputs
Project
Manager
What design/
development outputs do you have?
Do they contain the required product
acceptance criteria?
How may changes are
made to design/ development outputs
before they are correct and can be used?
How do you know that the design /
development outputs are relevant and
appropriate to the
needs of the rest of the business?
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Clause
No.
Requirement Question to
whom
Compliance question Effectiveness
question
Design / Development
Team
What design / development outputs do
you have? Do they contain the
required product acceptance criteria?
Can you give me an example of when the
design. development outputs have not been
understandable
7.3.4 Design and
development review
Project
Manager / Project team
How often do you hold
reviews? What is the purpose of
these reviews? Who attends these
reviews?
What happens at these reviews?
How often are agreed
deadlines for actions missed? Why is this?
How are disagreements or concerns on the way
forward resolved quickly
and to the benefit of the business?
Compared with your competitors how good
are you at getting products to market?
7.3.5 Design and
development validation
Project
Manager / project team
How do you test
products and services to check that you have
designed what you were supposed to design?
What records do you
keep?
How often do you
identify problems found with products and
services after they are released?
How do you balance the
need and risks to get the product or service
launched with making it perfect?
7.3.6 Design and
development validation
Project
Manager / project team
How do you test
products and services to check that you have
designed something that meets the original
customer or market needs?
How do you know that
customer requirements have been met when
you are designing the product and services?
7.3.7 Control of
design and development
changes
Project
Manager / project team
How are changes
incorporated into designs /
developments?
How do you know that
the changes to designs or developments will
have the desired
results?
7.4.1 Purchasing
process
Purchasing
Manager
What is the purchasing
process?
How does the process work?
Show me the process working
How do you know that
the suppliers you use
continue to contribute to the delivery of
business objectives?
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Clause
No.
Requirement Question to
whom
Compliance question Effectiveness
question
7.4.2 Purchasing information
Staff What purchasing information do you
include on purchase orders?
What quality management system
requirements do you insist upon?
How do you know that you provide sufficient
information to your suppliers, not too much
but too little? How do you know that
your suppliers are managing their business
in an efficient and
effective manner? How do you assess this?
7.4.3 Verification of
purchased product
Management How do you ensure that
the purchased product and services are what
you ordered? What actions do you
take to check that the goods you receive are
OK?
How do you reduce the
risk of bought in goods and service failure on
what is provided to your customers?
7.5.1 Control of production and
service provision
Management How do control operational activities to
ensure consistency and conformity of the
service or product?
What work instructions, control plans or
schedules do you sue to control operational
processes?
How do you plan the way in which
operational activities are performed to provide
sufficient controls?
How do you control the risks of operational
activities in meeting customer requirements?
Staff What information do you have to help you do
your job? Have you been trained
to do your job? Have you got the right
equipment to do your
job?
How do you know that what you are doing
meets your customers' requirements?
What are the greatest risks to not achieving
your customers'
requirements and how do you control them?
How do you know you have met your
customers' requirements?
7.5.2 Validation of
process for production and
service provision
Management Demonstrate the
validation methods in place to control
processes you cannot readily or economically
verify?
How often to revalidate the process controls?
How do you control any
processes you cannot readily or economically
verify? How do you know the
validation methods you
use are effective?
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Clause
No.
Requirement Question to
whom
Compliance question Effectiveness
question
Staff How do you test the process?
How do you test the process to ensure it
meets customer / product requirements?
What are the criteria you use to measure
process performance?
7.5.3 Identification and traceability
Management Do you identify products?
How do you identify products?
How have you determined to what
extent identification and traceability of the
product is required?
How do you know the controls for product
identification and traceability are
effective?
Staff Show me how products are identified?
Can you find the xyz product for me?
What problems does poor identification cause
you and how you control this?
7.5.4 Customer
property
Management Do you use customer
property in the process? How are problems with
customer property reported back to the
customer?
How do you know when
customer property is used in the process?
How is customer property identification
and protected?
When problems arise with customer property
how do you deal with them and ensure the
problem does not arise in the future?
Staff When do you use
customer property? Show me how you
protect customer property?
How do you report
problems with customer property?
What happens when you report a problem?
7.5.5 Preservation of
product
Management Show me how the
product is protected
How is conformity of the
product to specified requirement maintained
throughout the entire
process?
Staff Show me how the
product is stored
Show me how the product is identified
Show me how the product is handled
How do you know that
the product is
adequately protected during all stages of the
process?
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Clause
No.
Requirement Question to
whom
Compliance question Effectiveness
question
7.6 Control of monitoring and
measuring devices
Management Have you identified all monitoring and
measuring equipment? Has the equipment been
calibrated to a recognised standard
e.g. NAMAS approved? Show me the records
for monitoring and
measuring equipment Is the product recalled
and retested when a piece of monitoring or
measuring equipment fails calibration?
How do you determine what monitoring and
measurement is required?
How do you know that the results of the
monitoring and measuring can be relied
upon?
How is monitoring and measuring equipment
checked? What do you do when a
piece of monitoring or measuring equipment
fails calibration?
Staff What equipment do you use to monitor and
measure product or process performance to
specified requirements?
How do you know the monitoring or
measuring equipment you use is working
correctly?
8.2.1 Customer satisfaction
Management Do you measure customer satisfaction?
How do you measure
customer satisfaction?
What do you do with the information you get
from measuring
satisfaction? How do you know the
methods you use are effective in gathering
the information you need?
How do you know that the questions you
ask/information you
seek is the right information?
(Compare this to the answers from 5.2)
8.2.2 Internal audit Senior
Management
Show me your audit
schedule/programme?
How do you know when
to audit each process given the business risks
your organization faces?
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Clause
No.
Requirement Question to
whom
Compliance question Effectiveness
question
8.2.3 and
8.2.4
Monitoring and measurement of
processes and product
Senior Management /
Management
Show me your measures
Show me trends in performance
Show me the targets for each process
How do you know these are the correct
measures? What is the information
telling you? How do you know that
the information is accurate?
How do the measures
link to the business objectives?
How do you management the
process and identify cost and waste
efficiencies? Give me an example
Staff Show me the results
you achieve
What is this information
telling you? How can you influence
these results?
8.3 Control of non-conforming
product
Management Show me the procedure to control non
conforming product?
How do you make sure non-conforming
products do not get used accidentally?
Do you keep records of non-conforming
products?
How do you know that non conforming
products are note
reaching the customer or being used?
What is the impact on the business if they are
released accidentally? Why do you need
records? What do you do with
them?
Staff Show me the procedure to control non-
conforming products
How do you make sure non-conforming
products do not get used accidentally?
Do you keep records of non-conforming
products?
How often do you release non-conforming
products but don't
record it for operations reasons?
What is a non-conforming product?
How do you know that you handle all non-
conforming products the same way?
The compare he answers from management
and staff to make a judgement.
Management How do you handle product recalls?
How do you know that any product recall would
be handled to protect both the customer and
the image of the
organization?
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Clause No.
Requirement Question to whom
Compliance question Effectiveness question
8.4 Analysis of data Management Do you analyse
performance? How do you analyse
performance? Does the information
include data on customer satisfaction?
Does the information show trends in
performance against
targets?
How do you identify
improvements that maximize the benefit to
the business? How do you make
recommendations for improvement based on
the results achieved? How do you monitor the
impact of improvements
on the results achieved?
8.5.1 Continual
improvement
Senior
management /
management
Is there a process for
continual improvement?
How do you know that
improvements made are
managed and controlled?
How are appropriate people involved in
improvement activity? How do you know that
an improvement doesn’t have an adverse impact
on other activity?
Staff What improvements have taken place?
Have you been
involved?
Have improvements made helped you do
your job better / made
it easier? Does this organisation
learn from its mistakes to make things better
next time?
Customers Has this organisation improved?
How effective do you think the organisation is
in improving what it does?
8.5.2 Corrective
Action
Management Have you got a
procedure for corrective action that covers the
areas of the standard? Do you keep records of
corrective actions?
How do you know
everyone deals with processing / product
errors or mistakes in the same way to protect
the organisation and its
customers?
Staff What is a corrective
action?
What do you do with a processing/product
error or mistake?
How often does this
take place?
Do you think we make too many mistakes that
are really unnecessary?
8.5.3 Preventative action
Management Have you got a procedure for
preventive action that covers the areas of the
standard? Do you keep records of
preventive actions?
How do you know the correct business risks
have been identified and actions put in place to
reduce these risks?
