ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD

A B C D E
SCORE Mark
Conf. Nonconforming Maximum "X" if No
Total Findings
No. VERIFICATION POINTS 2 1 0 achievable
score Applies
score
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4 QUALITY MANAGEMENT SYSTEM

A ppl
4.1 General Requirements
ica

Has the organization determined the processes required for the quality
4.1.1 management system and their implementation through
the organization ?

4.1.2 Have you determined the sequence and interaction of these processes, do you
have a process map?
Have you determined the criteria and methods necessary to ensure that both
4.1.3 the operation and the
effective control of these processes?
Does the organization ensure the availability of the resources and information
4.1.4 necessary to support the operation and the
monitoring of these processes,?
4.1.5 Does the organization perform monitoring, measurement where applicable,
and analysis of these processes?
does it implement the actions necessary to achieve the planned results and
4.1.6 continuous improvement of
these processes?

4.2. Documentation requirements

Has the organization documented a quality policy and quality objectives, a

quality manual, all procedures required by these standards and those
4.2.1.
necessary to ensure the effective planning, operation and control of its
processes?

Does the quality manual include the scope of the QMS, a description of the
4.2.2. interaction of the processes and the precedents established for the QMS or
reference to them?
Are the organization's documents controlled, is there a documented procedure
4.2.3. for the control of internal and/or external documents, is there a master list of
documents?

4.2.4. Are the organization's records controlled, is there a documented procedure for
the control of records, is there a master list of records?

5 MANAGEMENT'S RESPONSIBILITY
5.1. Management commitment
5.1.1. Does senior management communicate the importance of meeting customer,
legal and regulatory requirements?
5.1.2. Has top management established the quality policy and objectives, and does it
conduct management reviews?
5.1.3. Does senior management ensure the availability of resources?

5.2. Customer focus

4.2.2.1 Does top management ensure that customer requirements are established and
met in a way that enhances customer satisfaction?

5.3. Quality Policy

Is it adequate, does it include commitment to meeting requirements and
continual improvement of QMS effectiveness, does it provide a framework for
5.4.1. quality objectives, is it communicated, understood and reviewed for continuing
suitability, is it communicated, understood and reviewed for continual
suitability, is it communicated, understood and reviewed for continual
5.4 Planning

5.4.1. Are the Quality objectives established at the relevant functions and levels
within the organization, are they measurable and consistent with policy?
4.4.2.1. QMS Planning is carried out to meet the requirements of section 4.1. and the
objectives?
5.4.2.2. Is the integrity of the QMS maintained when changes to the QMS are planned?

5.5. Responsibility, authority and communication

5.5.1 Are responsibilities and authorities defined and communicated within the
organization?

Has the RED been designated, does he/she have authority and responsibility
5.5.2 for ensuring that the QMS processes are established, implemented and
maintained, reporting to top management on the performance of the QMS and
any need for improvement, and ensuring that awareness of customer
requirements is promoted at all levels of the organization.
Are appropriate communication processes in place within the organization and
5.5.3
is communication taking into account the effectiveness of the QMS?

5.6 Management review

Is it carried out at planned intervals, including evaluation of OM and the need
5.6.1.
for changes to the QMS, including the quality policy and objectives?

5.6.2 Input information for the review includes: audit results, customer feedback,
process performance, service conformity, CA and PA status, previous reviews,
changes that could affect the QMS and OM, and the results of the review.
Do the review results include decisions and actions related to improving the
4.4.3 effectiveness of the QMS, processes, service and resource needs?

6 RESOURCE MANAGEMENT
6.1. Provision of resources

6.1.1. Are resources identified and provided to implement and maintain the QMS and
improve its effectiveness, increase customer satisfaction?

6.2. Human Resources

 Is the staff competent based on appropriate education, training, skills and
6.2.1.
experience?

Does the organization determine the competence required for the personnel?
6.2.2. Do you provide training or take other actions to achieve the necessary
competence and evaluate the effectiveness of the actions?
Do you ensure that your staff is aware of the relevance and importance of
6.2.3. their activities and how they contribute to the achievement of quality
objectives?
6.2.4. do you maintain appropriate records of education, training, skills and
experience?

6.3. Infrastructure

6.3.1 infrastructure (buildings, equipment, support services) is adequate to achieve

compliance with service requirements

6.4. Work environment

6.4.1. the working environment (noise, temperature, humidity, illumination) is
adequate to achieve compliance with service requirements

7 PRODUCT REALIZATION
7.1. Product realization planning
Has the organization planned and developed the processes necessary for the
7.1.1 performance of the service; is it consistent with the requirements of the other
QMS processes?
During planning, the organization should determine, where appropriate, the
following:
a) the quality objectives and requirements for the product, b) the need to
establish processes and documents, and to provide resources specific to the
product, c) the required verification, validation, monitoring, tracking,
7.1.2 measurement, inspection and test activities specific to the product as well as
the criteria for product acceptance, d) the records that are necessary to provide
evidence that the realization processes and the product specific resources are
in place, andc) the required verification, validation, monitoring, measurement,
inspection and testing activities specific to the product and the criteria for
product acceptance
resulting product meet the requirements?
7.2. Customer-related processes

Has the organization determined the requirements related to the service

7.2.1.
(customer-specified, legal, regulatory)?

7.2.2. Does the organization conduct a Review of the requirements prior to the
commitment to provide the service?

7.2.3 Is communication with the customer effective in terms of service information,

inquiries, contracts or order fulfillment (modifications), feedback (complaints)?

7.3. Design and Development

Does the organization plan and control the design and development of the
7.3.1. service? Does it determine stages, review, verification and validation of the
same; and the responsibilities and authorities of the process?
Do the input elements include functional, performance, legal, regulatory
7.3.2.
requirements, information from previous similar designs, other?
7.3.3. Do the results of design and development meet requirements, provide
information for purchasing, production and service delivery, refer to acceptance
criteria and specify essential characteristics?
7.3.4. Is design and development review performed to assess compliance with
requirements, identify problems and propose actions?
7.3.5.
Is the design and development validated as planned? Are records kept?

7.3.6. is it verified that the design and development result meets the requirements?
Are records kept?
7.3.7. Are design and development changes recorded?

7.4. Shopping
Does the organization ensure that the purchased product/service meets the
7.4.1. requirements? Are suppliers evaluated, selected and re-evaluated? Are
records kept of such evaluations?
Does the purchasing information include (where appropriate): requirements for
7.4.2. approval of products, procedures, equipment; requirements for qualification of
personnel and QMS requirements?

Has the organization established procedures (inspection) for the verification of

7.4.3. purchased products? For verifications at the supplier's facilities, has the
organization established in the purchasing information the provisions for
verification and criteria for product release?

7.5. Production and service delivery

Does the organization carry out Control of production and service delivery?
Does it include (where applicable): information on service characteristics,
7.5.1. instructions, appropriate equipment, availability and use of monitoring and
measurement equipment, implementation of monitoring, measurement and
release, delivery and post-delivery activities?
Does the organization validate all production processes at those points where
output cannot be verified by measurement and monitoring? Have the following
7.5.2. been established for these processes (where applicable): review and approval x
criteria, equipment approval and personnel qualification, use of methods,
records, re-validation?

7.5.3. Does the organization perform identification and traceability of the service
(when necessary)?
Does the organization take care of the customer's property while it is in its
custody, does it inform the customer if such property is lost and/or damaged,
7.5.4. does it keep records?
Does the organization preserve (identification, handling, packaging, storage,
7.5.5. protection) the product during the internal process?

7.6. Control of monitoring and measuring equipment

7.6.1. Has the organization determined the monitoring and measurement and
equipment to provide evidence of service conformity?

Is the validity of measurement equipment results ensured through: calibration

7.6.2. and/or verification (records are kept), adjustment, identification, protection
against adjustments that could invalidate measurement results, protection
against damage and deterioration during handling, maintenance and storage?
 Is the capability of the IT equipment confirmed to meet its intended application
7.6.3. when used in monitoring and measuring the specified requirements?

8 MEASUREMENT, ANALYSIS AND IMPROVEMENT 0

8.1. General
Has the organization established processes to: demonstrate conformity to
service requirements, ensure conformity of the QMS, and c) continually
8.1.1. improve the effectiveness of the QMS? Does it cover the determination of the
applicable methods, including statistical techniques, and the scope of their
use?

8.2. Monitoring and measurement

8.2.1. does the organization track customer satisfaction? Have you determined the
methods for obtaining and using such information?
Does the organization conduct Internal Audits at planned intervals? Do you
have an audit program and a documented procedure for planning and
8.2.2. executing audits, and do you maintain records? Are actions taken and followed
up as a result of the audit?

Does the organization apply methods for tracking and measuring

8.2.3. of the QMS processes. Do these methods demonstrate the ability of the
processes to achieve the planned results?
Does the organization monitor and measure service characteristics to verify
8.2.4. that requirements are met? Is evidence of compliance with acceptance criteria
maintained?

8.3. Control of non-conforming service

8.3.1. Is nonconforming service identified, monitored and treated? Is there a

documented procedure?
When a non-conforming service is corrected, is it subjected to a new
8.3.2. verification of its requirements? Are records kept of nonconformities and
actions?

8.4. Data Analysis

Does the organization determine, collect and analyze appropriate data to
8.4.1. demonstrate the adequacy of the QMS?
The analysis provides information on customer satisfaction, conformity to
8.4.2. service requirements, process and service characteristics and trends, and
suppliers?

8.5. Improvement
Does the organization seek continuous improvement using quality policy and
8.5.1. objectives, audit results, corrective and preventive action data analysis,
management review?
8.5.2. is there a procedure for corrective and preventive actions?
 Comment (only for non-
Recommendation
closed)
Closed
Yes No
1 1
 CHECK LIST FOR ISO 9001:2008 STANDARD

SUMMARY

ASPECTS CONSIDERED DURING THE SCORE MAXIMUM

ACHIEVABLE %
DIAGNOSIS ACHIEVED
SCORE
4 QUALITY MANAGEMENT SYSTEM
4.1. General Requirements 0 0 0.00%
4.2. Documentation Requirements 0 0 0.00%
SUB-TOTAL 0 0 0.00%
5 MANAGEMENT'S RESPONSIBILITY
5.1. Management commitment 0 0 0.00%
5.2. Customer focus 0 0 0.00%
5.3. Quality Policy 0 0 0.00%
5.4 Planning 0 0 0.00%
5.5. Responsibility, authority and communication 0 0 0.00%
5.6. Management review 0 0 0.00%
SUB-TOTAL 0 0 0.00%
6 RESOURCE MANAGEMENT
6.1. Provision of resources 0 0 0.00%
6.2. Human Resources 0 0 0.00%
6.3. Infrastructure 0 0 0.00%
6.4. Work environment 0 0 0.00%
SUB-TOTAL 0 0 0.00%
7 PRODUCT REALIZATION
7.1. Product realization planning 0 0 0.00%
7.2. Customer-related processes 0 0 0.00%
7.3. Design and Development 0 0 0.00%
7.4. Shopping 0 0 0.00%
7.5. Production and service delivery 0 0 0.00%
Control of monitoring and measuring equipment
7.6. 0 0 0.00%
SUB-TOTAL 0 0 0%
8 MEASUREMENT, ANALYSIS AND IMPROVEMENT
8.1. General 0 0 0.00%
8.2. Monitoring and measurement 0 0 0.00%
8.3. Non-conforming Product Control 0 0 0.00%
8.4. Data Analysis 0 0 0.00%
8.5. Improvement 0 0 0.00%
SUB-TOTAL 0 0 0.00%
TOTAL SCORE 0 0 0.00%
PROCESS: MANAGEMENT MANAGEMENT
RATING
Conf. Nonconforming
No. VERIFICATION POINTS FINDING
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4 QUALITY MANAGEMENT SYSTEM
5 MANAGEMENT'S RESPONSIBILITY
5.1. Management commitment
5.1.1. Does top management communicate the importance of meeting customer,
legal and regulatory requirements?
5.1.2. Has top management established the quality policy and objectives, and does it
conduct management reviews?
5.1.3. Does senior management ensure the availability of resources?
5.2. Customer focus
4.2.2.1 Does top management ensure that customer requirements are established and
met in a manner that enhances customer satisfaction?
5.3. Quality Policy
Is it adequate, does it include commitment to meeting requirements and
continual improvement of QMS effectiveness, does it provide a framework for
5.4.1. quality objectives, is it communicated, understood and reviewed for continuing
suitability, and is it communicated, understood and reviewed for continual
suitability?
5.4 Planning

5.4.1. Are the Quality objectives established at the relevant functions and levels
within the organization, are they measurable and consistent with policy?
4.4.2.1. QMS Planning is carried out to meet the requirements of section 4.1. and the
objectives?
5.4.2.2. Is the integrity of the QMS maintained when changes to the QMS are planned?

5.5. Responsibility, authority and communication

5.5.1 Are responsibilities and authorities defined and communicated within the
organization?

Has the RED been designated, does he/she have authority and responsibility
5.5.2 for ensuring that QMS processes are established, implemented and
maintained, reporting to top management on the performance of the QMS and
any need for improvement, and ensuring that awareness of customer
requirements is promoted at all levels of the organization.
Are appropriate communication processes in place within the organization and
5.5.3
is communication taking into account the effectiveness of the QMS?

5.6 Management review

Is it carried out at planned intervals, including evaluation of OM and the need
5.6.1.
for changes to the QMS, including the quality policy and objectives?

5.6.2 Input information for the review includes: audit results, customer feedback,
process performance, service conformity, CA and PA status, previous reviews,
changes that could affect the QMS and OM, and the results of the review.
 CHECK LIST FOR ISO 9001:2008 STANDARD
4.4.3 Do the review results include decisions and actions related to improving the
effectiveness of the QMS, processes, service and resource needs?
6.1. Provision of resources

6.1.1. Are resources identified and provided to implement and maintain the QMS and
improve its effectiveness, increase customer satisfaction?
6.3. Infrastructure

6.3.1 infrastructure (buildings, equipment, support services) is adequate to achieve

compliance with service requirements
6.4. Work environment
6.4.1. the working environment (noise, temperature, humidity, illumination) is
adequate to achieve compliance with service requirements
8.5. Improvement
Does the organization seek continuous improvement using quality policy and
8.5.1. objectives, audit results, corrective and preventive action data analysis,
management review?
PROCESS: GIS
SCORE
Conf. Nonconforming
No. VERIFICATION POINTS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4 QUALITY MANAGEMENT SYSTEM
4.2. Documentation requirements
4.2.1. Are the policy, objectives and all procedures up to date and have they been
reviewed and approved by top management?
Is the manual up to date and does it include the QMS scope and process map?
4.2.2. Has the process map and process sheets been disseminated to the
responsible parties?
4.2.3. Is the master list of documents up to date?
Are the records up to date? Is the master list of records up to date?
4.2.4.
5.3. Quality Policy
Is it adequate, does it include commitment to meeting requirements and
5.4.1. continual improvement of QMS effectiveness, does it provide a framework for
quality objectives? Has it been disseminated and is it known to all?
5.4 Planning
to what extent are the quality objectives being met? Are the indicators
5.4.1. adequate?

5.4.2.2. Has the turnover of key personnel (management: HR operations) undermined

the integrity of the QMS?
5.5. Responsibility, authority and communication
5.5.1 Are job profiles up to date and have they been disseminated throughout the
organization?
5.6 Management review
5.6.1. Has the management review been carried out? Have the agreements been
followed up?
7.2. Customer-related processes
Is communication with the customer effective in terms of service information,
inquiries, contracts or order fulfillment (modifications), feedback (complaints)?
7.2.3 have GIS visits been made to the client?

7.6. Control of monitoring and measuring equipment

7.6.1. Are the indicators established for the areas adequate for monitoring and
measuring the processes?
7.6.2. has the log and mtto area been trained? Regarding the need for calibration and
validation of measurement results?
8.1. General
Has the organization established processes to: demonstrate conformity to
service requirements, ensure conformity of the QMS, and c) continually
8.1.1. improve the effectiveness of the QMS? Does it cover the determination of the
applicable methods, including statistical techniques, and the scope of their
use?
8.2. Monitoring and measurement
8.2.1. does the organization track customer satisfaction? Have you determined the
methods for obtaining and using such information?
8.2.2.
Is the audit program being complied with and are actions being followed up?
8.2.3. Are the established monitoring and measurement ISO 9001:2008
methods DIAGNOSTIC
appropriate for CHECKLIST FOR THE ISO 9001:2008 STANDARD
each area and are the results used to take action?
8.2.4. Are there records of monitoring and measurement?
8.3. Control of non-conforming service

8.3.1. Is nonconforming service identified, monitored and treated? Is there a

documented procedure?
When a non-conforming service is corrected, is it subjected to a new
8.3.2. verification of its requirements? Are records kept of nonconformities and
actions?
8.4. Data Analysis
Does the organization determine, collect and analyze appropriate data to
8.4.1. demonstrate the adequacy of the QMS?
The analysis provides information on customer satisfaction, conformity to
8.4.2. service requirements, process and service characteristics and trends, and
suppliers?
8.5. Improvement
Does the organization seek continuous improvement using quality policy and
8.5.1. objectives, audit results, corrective and preventive action data analysis,
management review?
PROCESS: CUSTOMER ACQUISITION
RATING
Conf. Nonconforming
No. VERIFICATION POINTS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4 QUALITY MANAGEMENT SYSTEM
4.2. Documentation requirements

4.2.1. Are procedures P-3-01 (preparation of technical and economic proposals) and
P-3-02 (client evaluation) updated and implemented?
4.2.2. Do you know the process map and scope of the QMS?
4.2.3. Are you familiar with the Area Process Sheet and the documents mentioned
therein?
4.2.4. Do you have up-to-date records? (Business partner information, customer visits,
customer directory)
5.3. Quality Policy
5.4.1. Do you know the GIS policy?
5.4 Planning

5.4.1. Do you know the quality objectives, have you implemented the management
indicators for your area?
5.4.2. Do you plan your activities? Do you have a work plan?
5.5. Responsibility, authority and communication
5.5.1 Do you know your roles and responsibilities?
5.5.3 Do you know the communication channels and do you use them?
5.6 Management review
5.6.1. Did you present the area's management report at the last management review?

5.6.2 Do you follow up on the Management Review agreements that apply to your
area?
6.2. Human Resources

6.2.1. Do you know the document OD-7-01 that refers to your job profile
(responsibilities, functions)?
6.2.2. what is the last training you have received?
6.2.3. Are you aware of how your activities influence the achievement of quality
objectives?
6.2.4. Have you submitted your documented CV?
6.3. Infrastructure

6.3.1 infrastructure (buildings, equipment, support services) is adequate to achieve

compliance with service requirements
6.4. Work environment
6.4.1. the working environment (noise, temperature, humidity, illumination) is adequate
to achieve compliance with service requirements
7.2. Customer-related processes

7.2.1. Have you determined the service-related requirements (customer-specified,

legal, regulatory)?

7.2.2. Do you perform the Review of the requirements prior to the commitment to
provide the service? Have contracts been signed with the customer?

7.2.3 Is communication with the customer effective in terms of service information,

inquiries, contracts or order fulfillment (modifications), feedback (complaints)?
Have letters of introduction been delivered to potential customers?
7.4. Shopping ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD

7.4.1. Do you use the Goods and Services Request F-6-01 form as a formal means of
requesting purchases addressed to the logistic and mtto area?
8.2. Monitoring and measurement
8.2.1. does the organization track customer satisfaction? Have you determined the
methods for obtaining and using such information?
8.2.2. Have you participated in internal audits? Do you follow up on the actions that
correspond to your area?
Does the organization apply methods for tracking and measuring
8.2.3. of the QMS processes. Do these methods demonstrate the ability of the
processes to achieve the planned results?
Does the organization monitor and measure service characteristics to verify that
8.2.4. requirements are met? Is evidence of compliance with acceptance criteria
maintained?
8.3. Control of non-conforming service
Do you recognize when a service is considered nonconforming, identify it and
8.3.1. treat it?
8.4. Data Analysis

8.4.1. Do you determine, collect and analyze appropriate data to demonstrate the
adequacy of the QMS in your work area?
The analysis provides information on customer satisfaction, conformity to
8.4.2. service requirements, process and service characteristics and trends, and
suppliers?
8.5. Improvement
Does the organization seek continuous improvement by making use of quality
8.5.1. policy and objectives, audit results, corrective and preventive action data
analysis, management review?
8.5.2. do you know how to fill out the F-2-05 Action Request Form?
PROCESS: OPERATIONS
RATING
Conf. Nonconforming
No. VERIFICATION POINTS FINDINGS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4.2. Documentation requirements
Do you know the procedures in your area? Do you consider that they are
4.2.1. sufficient to demonstrate and/or ensure the effectiveness of the operations
process?
4.2.2. Are you familiar with the quality manual that includes the scope of the QMS?
do you know the process map?
Do you keep your records up to date? are they enough? What records are not
4.2.4. controlled within the QMS?
5.3. Quality Policy
5.4.1. Do you know the GIS policy?
5.4 Planning

5.4.1. Do you know the quality objectives, have you implemented the management
indicators for your area?
5.4.2. Do you plan your activities? Do you have a work plan?
5.5. Responsibility, authority and communication
5.5.1 Do you know your roles and responsibilities?
5.5.2 Do you know the communication channels and do you use them?
5.6 Management review
Did you present the area's management report at the last management
5.6.1.
review?
5.6.2 Do you follow up on the Management Review agreements that apply to your
area?
6.2. Human Resources

6.2.1. Do you know the document OD-7-01 that refers to your job profile
(responsibilities, functions)?
6.2.2. what is the last training you have received?
6.2.3. Are you aware of how your activities influence the achievement of quality
objectives?
6.2.4. Have you submitted your documented CV?
6.3. Infrastructure

6.3.1 infrastructure (buildings, equipment, support services) is adequate to achieve

compliance with service requirements
6.4. Work environment
6.4.1. the working environment (noise, temperature, humidity, illumination) is
adequate to achieve compliance with service requirements
7 PRODUCT REALIZATION
7.1. Product realization planning

During planning, consideration has been given to:

7.1.2 a) the quality objectives and requirements for the service (integrated basis,
terms of reference), b) activities necessary to monitor the service d) the
records that are necessary to provide evidence that the performance
processes and the resulting service meet the requirements?
7.2. Customer-related processes
7.2.1. are the terms of reference of the contracts known? Have supervisors been
trained?
 ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD
7.2.2. Is an analysis performed prior to installing the service to ensure that the
contract can be fulfilled?

7.2.3 Is communication with the customer effective in terms of service information,

inquiries, contracts or order fulfillment (modifications), feedback (complaints)?
7.4. Shopping
7.4.1. Do you use the Goods and Services Request F-6-01 form as a formal means
of requesting purchases addressed to the logistic and mtto area?
7.5. Production and service delivery
Does the organization carry out Service Delivery Control? Does it include:
information on service characteristics, instructions, appropriate equipment,
7.5.1.
availability and use of monitoring and measurement equipment,
implementation of monitoring and measurement?

7.5.3. Does the organization perform identification and traceability of the service
(when necessary)?
Does the organization take care of the customer's property while it is in its
custody, does it inform the customer if such property is lost and/or damaged,
7.5.4. does it keep records?
8.2. Monitoring and measurement
8.2.1. Do you monitor customer satisfaction (satisfaction surveys)? Do you use the
information obtained? How?
8.2.2. Have you participated in internal audits? Do you follow up on the actions that
correspond to your area?
8.3. Control of non-conforming service
Do you recognize when a service is considered nonconforming, identify it and
8.3.1. treat it?
8.4. Data Analysis

8.4.1. Do you determine, collect and analyze appropriate data to demonstrate the
adequacy of the QMS in your work area?
The analysis provides information on customer satisfaction, conformity to
8.4.2. service requirements, process and service characteristics and trends, and
suppliers?
8.5. Improvement
Does the organization seek continuous improvement by making use of quality
8.5.1. policy and objectives, audit results, corrective and preventive action data
analysis, management review?
8.5.2. do you know how to fill out the F-2-05 Action Request Form?
 ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD
PROCESS:
SUPERVISION RATING
Conf. Nonconforming
No. VERIFICATION POINTS FINDINGS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4.2. Documentation requirements
Do you know the procedures in your area? Do you consider that they are
4.2.1. sufficient to demonstrate and/or ensure the effectiveness of the operations
process?
4.2.2. Are you familiar with the quality manual that includes the scope of the QMS?
do you know the process map?
Do you keep your records up to date? are they enough? What records are not
4.2.4. controlled within the QMS?
5.3. Quality Policy
5.4.1. Do you know the GIS policy?
5.4 Planning

5.4.1. Do you know the quality objectives, have you implemented the management
indicators for your area?
5.4.2. Do you plan your activities? Do you have a work plan?
5.5. Responsibility, authority and communication
5.5.1 Do you know your roles and responsibilities?
5.5.2 Do you know the communication channels and do you use them?
5.6 Management review
Did you present the area's management report at the last management
5.6.1.
review?
5.6.2 Do you follow up on the Management Review agreements that apply to your
area?
6.2. Human Resources

6.2.1. Do you know the document OD-7-01 that refers to your job profile
(responsibilities, functions)?
6.2.2. what is the last training you have received?
6.2.3. Are you aware of how your activities influence the achievement of quality
objectives?
6.2.4. Have you submitted your documented CV?
6.3. Infrastructure

6.3.1 infrastructure (buildings, equipment, support services) is adequate to achieve

compliance with service requirements
6.4. Work environment
6.4.1. the working environment (noise, temperature, humidity, illumination) is
adequate to achieve compliance with service requirements
7.2. Customer-related processes

7.2.1. are the terms of reference of the contracts known? have beat supervisors been
trained?

7.2.2. Is an analysis performed prior to installing the service to ensure that the
contract can be fulfilled?

7.2.3 Is communication with the customer effective in terms of service information,

inquiries, contracts or order fulfillment (modifications), feedback (complaints)?
7.4. Shopping
 ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD
PROCESS:
SUPERVISION
7.4.1. Do you use the Goods and Services Request F-6-01 form as a formal means
of requesting purchases addressed to the logistic and mtto area?
7.5. Production and service delivery
Does the organization carry out Service Delivery Control? Does it include:
information on service characteristics, instructions, appropriate equipment,
7.5.1.
availability and use of monitoring and measurement equipment,
implementation of monitoring and measurement?

7.5.3. Does the organization perform identification and traceability of the service
(when necessary)?
Does the organization take care of the customer's property while it is in its
custody, does it inform the customer if such property is lost and/or damaged,
7.5.4. does it keep records?
8.2. Monitoring and measurement
8.2.2. Have you participated in internal audits? Do you follow up on the actions that
correspond to your area?
8.3. Control of non-conforming service
Do you recognize when a service is considered nonconforming, identify it and
8.3.1. treat it?
8.4. Data Analysis

8.4.1. Do you determine, collect and analyze appropriate data to demonstrate the
adequacy of the QMS in your work area?
8.5. Improvement
Does the organization seek continuous improvement by making use of quality
8.5.1. policy and objectives, audit results, corrective and preventive action data
analysis, management review?
8.5.2. do you know how to fill out the F-2-05 Action Request Form?
 ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD
PROCESS: RECRUITMENT AND SELECTION OF PERSONNEL
RATING
Conf. Nonconforming
No. VERIFICATION POINTS FINDINGS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4.2. Documentation requirements
Do you know the procedures in your area? Do you consider that they are
4.2.1. sufficient to demonstrate and/or ensure the effectiveness of the operations
process?
4.2.2. Are you familiar with the quality manual that includes the scope of the QMS?
do you know the process map?
Do you keep your records up to date? are they enough? What records are not
4.2.4. controlled within the QMS?
5.3. Quality Policy
5.4.1. Do you know the GIS policy?
5.4 Planning

5.4.1. Do you know the quality objectives, have you implemented the management
indicators for your area?
5.4.2. Do you plan your activities? Do you have a work plan?
5.5. Responsibility, authority and communication
5.5.1 Do you know your roles and responsibilities?
5.5.2 Do you know the communication channels and do you use them?
5.6 Management review
Did you present the area's management report at the last management
5.6.1.
review?
5.6.2 Do you follow up on the Management Review agreements that apply to your
area?
6.2. Human Resources

6.2.1. Do you know the document OD-7-01 that refers to your job profile
(responsibilities, functions)?
6.2.2. what is the last training you have received?
6.2.3. Are you aware of how your activities influence the achievement of quality
objectives?
6.2.4. Have you submitted your documented CV?
During the selection process is the applicant considered to be competent
6.2.1. based on the education, training, skills and experience defined in document
OD-7-01?

6.2.4. Are appropriate records of education, training, skills and experience

maintained in the files?
6.3. Infrastructure

6.3.1 infrastructure (buildings, equipment, support services) is adequate to achieve

compliance with service requirements
6.4. Work environment
6.4.1. the working environment (noise, temperature, humidity, illumination) is
adequate to achieve compliance with service requirements
7.2. Customer-related processes

7.2.1. Are the terms of reference of the contracts related to the profile of the
applicants known? Have the selection personnel been trained in them?
7.4. Shopping
7.4.1. Do you use the Goods and Services Request F-6-01 form as a formal means
of requesting purchases addressed to the logistic and mtto area?
8.2. Monitoring and measurement
8.2.1. Do you track internal customer satisfaction (exit surveys)? Do you use the
information obtained? How?
8.2.2. Have you participated in internal audits? Do you follow up on the actions that
correspond to your area?
8.3. Control of non-conforming service
Do you recognize when a service is considered nonconforming, identify it and
8.3.1. treat it?
8.4. Data Analysis

8.4.1. Do you determine, collect and analyze appropriate data to demonstrate the
adequacy of the QMS in your work area?
8.5. Improvement
Does the organization seek continuous improvement by making use of quality
8.5.1. policy and objectives, audit results, corrective and preventive action data
analysis, management review?
8.5.2. do you know how to fill out the F-2-05 Action Request Form?
 ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD
PROCESS: TRAINING OF PERSONNEL
RATING
Conf. Nonconforming
No. VERIFICATION POINTS FINDINGS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4.2. Documentation requirements
Do you know the procedures in your area? Do you consider that they are
4.2.1. sufficient to demonstrate and/or ensure the effectiveness of the operations
process?
4.2.2. Are you familiar with the quality manual that includes the scope of the QMS?
do you know the process map?
Do you keep your records up to date? are they enough? What records are not
4.2.4. controlled within the QMS?
5.3. Quality Policy
5.4.1. Do you know the GIS policy?
5.4 Planning

5.4.1. Do you know the quality objectives, have you implemented the management
indicators for your area?
5.4.2. Do you plan your activities? Do you have a work plan?
5.5. Responsibility, authority and communication
5.5.1 Do you know your roles and responsibilities?
5.5.2 Do you know the communication channels and do you use them?
5.6 Management review
Did you present the area's management report at the last management
5.6.1.
review?
5.6.2 Do you follow up on the Management Review agreements that apply to your
area?
6.2. Human Resources

6.2.1. Do you know the document OD-7-01 that refers to your job profile
(responsibilities, functions)?
6.2.2. what is the last training you have received?
6.2.3. Are you aware of how your activities influence the achievement of quality
objectives?
6.2.4. Have you submitted your documented CV?
6.2.1. Does it comply with the training and awareness-raising schedule? / have all
personnel joining SINSE received INDUCTION?
Are updated records of instruction (training and retraining regulated by
6.2.4. SUCAMEC), training received (defensive driving, first aid, etc.) kept in the
files?
6.3. Infrastructure

6.3.1 infrastructure (buildings, equipment, support services) is adequate to achieve

compliance with service requirements
6.4. Work environment
6.4.1. the working environment (noise, temperature, humidity, illumination) is
adequate to achieve compliance with service requirements
7.2. Customer-related processes

7.2.1. are the terms of reference of the contracts related to the training to be received
by the operating personnel known?
7.4. Shopping
7.4.1. Do you use the Goods and Services Request F-6-01 form as a formal means
of requesting purchases addressed to the logistic and mtto area?
8.2. Monitoring and measurement
8.2.2. Have you participated in internal audits? Do you follow up on the actions that
correspond to your area?
8.3. Control of non-conforming service
Do you recognize when a service is considered nonconforming, identify it and
8.3.1. treat it?
8.4. Data Analysis

8.4.1. Do you determine, collect and analyze appropriate data to demonstrate the
adequacy of the QMS in your work area?
8.5. Improvement
Does the organization seek continuous improvement by making use of quality
8.5.1. policy and objectives, audit results, corrective and preventive action data
analysis, management review?
8.5.2. do you know how to fill out the F-2-05 Action Request Form?
 ISO 9001:2008 DIAGNOSTIC CHECKLIST FOR THE ISO 9001:2008 STANDARD
RATING
Conf. Nonconforming
No. VERIFICATION POINTS
Minor (In Mayor
process)
ISO 9001:2008 STANDARD REQUIREMENTS
4.2. Documentation requirements

Has the organization documented a quality policy and quality objectives, a

quality manual, all procedures required by these standards and those
4.2.1.
necessary to ensure the effective planning, operation and control of its
processes?

Does the quality manual include the scope of the QMS, a description of the
4.2.2. interaction of the processes and the precedents established for the QMS or
reference to them?
Are the organization's documents controlled, is there a documented procedure
4.2.3. for the control of internal and/or external documents, is there a master list of
documents?

4.2.4. Are the organization's records controlled, is there a documented procedure for
the control of records, is there a master list of records?
5.3. Quality Policy
Is it adequate, does it include commitment to meeting requirements and
continual improvement of QMS effectiveness, does it provide a framework for
5.4.1. quality objectives, is it communicated, understood and reviewed for continuing
suitability, is it communicated, understood and reviewed for continual
suitability, is it communicated, understood and reviewed for continual
5.4 Planning

5.4.1. Are the Quality objectives established at the relevant functions and levels
within the organization, are they measurable and consistent with policy?
4.4.2.1. QMS Planning is carried out to meet the requirements of section 4.1. and the
objectives?
5.4.2.2. Is the integrity of the QMS maintained when changes to the QMS are planned?

5.5. Responsibility, authority and communication

5.5.1 Are responsibilities and authorities defined and communicated within the
organization?

Has the RED been designated, does he/she have authority and responsibility
5.5.2 for ensuring that QMS processes are established, implemented and
maintained, reporting to top management on the performance of the QMS and
any need for improvement, and ensuring that awareness of customer
requirements is promoted at all levels of the organization.
Are appropriate communication processes in place within the organization and
5.5.3
is communication taking into account the effectiveness of the QMS?

5.6 Management review

Is it carried out at planned intervals, including evaluation of OM and the need
5.6.1.
for changes to the QMS, including the quality policy and objectives?
5.6.2 Input information for the review includes: audit results, customer feedback,
process performance, service conformity, CA and PA status, previous reviews,
changes that could affect the QMS and OM, and the results of the review.

4.4.3 Do the review results include decisions and actions related to improving the
effectiveness of the QMS, processes, service and resource needs?

6 RESOURCE MANAGEMENT
6.1. Provision of resources

6.1.1. Are resources identified and provided to implement and maintain the QMS and
improve its effectiveness, increase customer satisfaction?

6.2. Human Resources

Is the staff competent based on appropriate education, training, skills and

6.2.1.
experience?

Does the organization determine the competence required for the personnel?
6.2.2. Do you provide training or take other actions to achieve the necessary
competence and evaluate the effectiveness of the actions?
Do you ensure that your staff is aware of the relevance and importance of
6.2.3. their activities and how they contribute to the achievement of quality
objectives?
6.2.4. do you maintain appropriate records of education, training, skills and
experience?

6.3. Infrastructure

6.3.1 infrastructure (buildings, equipment, support services) is adequate to achieve

compliance with service requirements

6.4. Work environment

6.4.1. the working environment (noise, temperature, humidity, illumination) is
adequate to achieve compliance with service requirements

7 PRODUCT REALIZATION
7.1. Product realization planning
Has the organization planned and developed the processes necessary for the
7.1.1 performance of the service; is it consistent with the requirements of the other
QMS processes?
During planning, the organization should determine, where appropriate, the
following:
a) the quality objectives and requirements for the product, b) the need to
establish processes and documents, and to provide resources specific to the
product, c) the required verification, validation, monitoring, tracking,
7.1.2 measurement, inspection and test activities specific to the product as well as
the criteria for product acceptance, d) the records that are necessary to provide
evidence that the realization processes and product specific resources are in
place, andc) the required verification, validation, monitoring, measurement,
inspection and testing activities specific to the product as well as the criteria for
product acceptance
resulting product meet the requirements?
7.2. Customer-related processes
 Has the organization determined the requirements related to the service
7.2.1.
(customer-specified, legal, regulatory)?

Does the organization conduct a Review of the requirements prior to the

7.2.2.
commitment to provide the service?

7.2.3 Is communication with the customer effective in terms of service information,

inquiries, contracts or order fulfillment (modifications), feedback (complaints)?

7.3. Design and Development

Does the organization plan and control the design and development of the
7.3.1. service? Does it determine stages, review, verification and validation of the
same; and the responsibilities and authorities of the process?
Do the input elements include functional, performance, legal, regulatory
7.3.2.
requirements, information from previous similar designs, others?

Do the results of design and development meet requirements, provide

7.3.3. information for purchasing, production and service delivery, refer to acceptance
criteria and specify essential characteristics?

7.3.4. Is the design and development review performed to assess compliance with
requirements, identify problems and propose actions?
7.3.5.
Is the design and development validated as planned? Are records kept?

7.3.6. is it verified that the design and development result meets the requirements?
Are records kept?
7.3.7. Are design and development changes recorded?

7.4. Shopping
Does the organization ensure that the purchased product/service meets the
7.4.1. requirements? Are suppliers evaluated, selected and re-evaluated? Are
records kept of such evaluations?
Does the Purchasing Information include (where appropriate): requirements for
7.4.2. approval of products, procedures, equipment; requirements for qualification of
personnel and QMS requirements?

Has the organization established procedures (inspection) for the verification of

7.4.3. purchased products? For verifications at the supplier's facilities, has the
organization established in the purchasing information the provisions for
verification and criteria for product release?

7.5. Production and service delivery

Does the organization carry out Control of production and service delivery?
Does this include (where applicable): information on service characteristics,
7.5.1. instructions, appropriate equipment, availability and use of monitoring and
measurement equipment, implementation of monitoring, measurement and
release, delivery and post-delivery activities?
Does the organization validate all production processes at those points where
output cannot be verified by measurement and monitoring? Have the following
7.5.2. been established for these processes (where applicable): review and approval
criteria, equipment approval and personnel qualification, use of methods,
records, re-validation?
7.5.3. Does the organization perform identification and traceability of the service
(when necessary)?
Does the organization take care of the customer's property while it is in its
custody, does it inform the customer if such property is lost and/or damaged,
7.5.4. does it keep records?
Does the organization preserve (identification, handling, packaging, storage,
7.5.5. protection) the product during the internal process?

7.6. Control of monitoring and measuring equipment

7.6.1. Has the organization determined the monitoring and measurement and
equipment to provide evidence of service conformity?

Is the validity of measurement equipment results ensured through: calibration

7.6.2. and/or verification (records are kept), adjustment, identification, protection
against adjustments that could invalidate measurement results, protection
against damage and deterioration during handling, maintenance and storage?

Is the capability of the IT equipment confirmed to meet its intended application

7.6.3. when used in monitoring and measuring the specified requirements?

8 MEASUREMENT, ANALYSIS AND IMPROVEMENT

8.1. General
Has the organization established processes to: demonstrate conformity to
service requirements, ensure conformity of the QMS, and c) continually
8.1.1. improve the effectiveness of the QMS? Does it cover the determination of the
applicable methods, including statistical techniques, and the scope of their
use?

8.2. Monitoring and measurement

8.2.1. does the organization track customer satisfaction? Have you determined the
methods for obtaining and using such information?
Does the organization conduct Internal Audits at planned intervals? Do you
have an audit program and a documented procedure for planning and
8.2.2. executing audits, and do you maintain records? Are actions taken and followed
up as a result of the audit?

Does the organization apply methods for monitoring and measuring

8.2.3. of the QMS processes. Do these methods demonstrate the ability of the
processes to achieve the planned results?
Does the organization monitor and measure service characteristics to verify
8.2.4. that requirements are met? Is evidence of compliance with acceptance criteria
maintained?

8.3. Control of non-conforming service

8.3.1. Is nonconforming service identified, monitored and treated? Is there a
documented procedure?
When a non-conforming service is corrected, is it subjected to a new
8.3.2. verification of its requirements? Are records kept of nonconformities and
actions?

8.4. Data Analysis

Does the organization determine, collect and analyze appropriate data to
8.4.1. demonstrate the adequacy of the QMS?
 The analysis provides information on customer satisfaction, conformity to
8.4.2. service requirements, process and service characteristics and trends, and
suppliers?

8.5. Improvement
Does the organization seek continuous improvement using quality policy and
8.5.1. objectives, audit results, corrective and preventive action data analysis,
management review?
8.5.2. is there a procedure for corrective and preventive actions?