ISO 9001:2015 Mock Audit Checklist & Practice Questions
SECTION 1: QUALITY MANAGEMENT SYSTEM
1. Is the Quality Manual available and current?
1. Yes
2. Can you show the documented procedures that support your processes?
1. QCP’S
3. Are obsolete documents removed or marked properly?
4. Do you have a list of controlled documents with revision status?
1. Document Master List
SECTION 2: LEADERSHIP
5. Can you explain the Quality Policy?
1. Yes
6. How does top management demonstrate leadership and commitment?
1. Section 5.1 Quality Manual
7. Are responsibilities and authorities assigned and understood?
1. Yes, responsibilities and authorities are clearly defined in our organizational
structure and documented in job descriptions and our quality manual.
2. We ensure understanding through onboarding, on going training, team meetings,
and performance reviews. Team members know their specific responsibilities
related to the QMS
3. QCP’s are just a few examples.
SECTION 3: PLANNING
8. What risks and opportunities have been identified?
1. We conduct risk and opportunity assessments as part of our planning
process. This includes input from management reviews, customer
feedback, audits, and operational performance.
9. How are you addressing those risks?
1. We track them in weekly production meetings with updates that get sent out via
email and management reviews were we also discuss action plans to eliminate
those risks
10. Are there quality objectives? Are they being tracked?
1. Yes,
SECTION 4: SUPPORT
11. Are training records up to date? Yes training records are up to date. All QC’s training
records are in my desk and records for the rest of the plant are stored in the SFI Training
Matrix that uses what their current skill is and what we want their target skill to be
12. Can the operator explain how they were trained for their task? Yes all operators can
explain how they were trained for their tasks
13. Are measuring tools calibrated? Can you show calibration records? Yes all measuring
tools are calibrated, All calibration records are kept in the lab
14. Is infrastructure (equipment, tools, workspace) maintained properly? Yes we have a
documented preventative maintenance program. Each critical machine including heat
treat ovens, hydraulic presses, and cnc cutters has a scheduled maintenance plan and
maintenance logs are kept up to date
SECTION 5: OPERATION
Can you show how a customer order turns into a product (from sales to shipment)?
1. Routing Steps that are on the job traveler can show this information
📝 1. Order Receipt & Review

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Customer Purchase Order (PO): Received and reviewed by the Sales Department.
Specification Verification: Ensure all technical requirements, including dimensions,
materials, and applicable standards (e.g., ASME, ASTM), are clearly defined.Steel
Forgings
🛠️ 2. Engineering & Planning


Design Review: Engineering assesses the feasibility of the product design and may
develop detailed drawings or models if necessary.
Process Planning: Determine the manufacturing steps required, including forging,
machining, heat treatment, and inspection processes.
🔩 3. Material Procurement


Raw Material Selection: Procure appropriate grades of carbon steel or alloy steel,
ensuring they meet specified standards.
Material Traceability: Maintain records of material certifications and heat numbers for
full traceability.YouTube+11IQS Directory+11Steel Forging+11
🔨 4. Manufacturing Process



Forging: Utilize closed-die forging techniques to shape the steel into the desired fitting,
such as tees, reducers, or elbows.
Heat Treatment: Apply controlled heating and cooling processes to achieve required
mechanical properties.
Machining & Finishing: Perform necessary machining operations, followed by grinding
or other finishing processes to meet dimensional and surface finish requirements.Steel
Forging+2Walker Forge+2forgings.bz+2
� 5. Quality Control & Inspection


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Non-Destructive Testing (NDT): Conduct NDT methods like ultrasonic testing or
radiography to detect internal defects.
Dimensional Inspection: Verify that all dimensions meet the specified tolerances using
calibrated measuring instruments.
Documentation: Compile inspection reports and quality records for each product.
📦 6. Packaging & Shipment




Product Marking: Mark each fitting with identification details, including part number,
material grade, and heat number.
Packaging: Package products securely to prevent damage during transit, adhering to
customer-specific packaging requirements if provided.
Shipping Documentation: Prepare and include all necessary documents, such as packing
lists, certificates of compliance, and material test reports.
Dispatch: Arrange transportation and dispatch the order to the customer's location.
15. Are process controls in place at each step? Yes these are all things we have recorede
information on at each process wether it be work instructions, the steps on the job traveler
or MTRS, Or Inspection Reports etc
16. How are nonconforming products identified and handled? That information is in the QCP
for Nonconformances
17. Are production records traceable to specific jobs/lots? Yes that information is in Shop
tech
SECTION 6: PERFORMANCE EVALUATION
19. When was the last internal audit? Pending, Waiting on it to return from Patrick and Scott.
20. Were any findings raised? What actions were taken? Pending review
21. Can you show customer satisfaction data or feedback? Yes in the customer satisfaction
feedback log in the google documents
22. Was a management review held? When? This information is in the last management
review meeting minutes
SECTION 7: IMPROVEMENT
23. Can you show any corrective actions taken recently?
24. How do you decide what improvements to make?
25. Can you show examples of changes that improved quality or efficiency?