Capability template for quality management
Audit evidence index
The quality lead gets an index of everything an audit has asked to see: each request linked to the document that answers it, its version and owner, the records found and the gaps. The quality owner decides what is shared; nothing is certified or sent.
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The outcome
An audit request list is easy to receive and slow to answer. Each line has to be traced to a document, the right revision found, the records behind it located, and someone chased when a piece is missing. This capability does that tracing in one pass, before the audit, so the gaps surface while there is still time to close them.
You receive an index with one entry per request. Each entry says which document answers it, which revision the register holds and whether that revision is in force, who owns the document, which records were supplied and where they are kept, and which earlier findings touch the same ground. Every request ends up in one of four states: linked, check first, possible match only, or nothing found. A line at the top proves the four counts add up to the number of requests.
The index uses only what you supply. It does not open documents, judge what a file contains, or say that anything is ready. A file title is not evidence of what is inside it, and the auditors decide for themselves what the evidence shows.
Who starts the work, and when
The quality lead or the office lead starts it once the audit request list arrives, whether the audit is internal or from a customer. It can be run again as requests are added or records are found. The quality owner reviews the index, asks each document owner to fill their gaps by the hand-off date, and decides what is shared with the auditors and when.
What they supply
- The request list, as the auditors sent it, with a request number and the wording of each request.
- The document register: each controlled document with its number, title, revision, status, effective date, owner and next review date.
- The records selected for the audit: what each is, which document it belongs to, the revision it was made under, its date and where it is kept.
- Last cycle's findings, with their status and the action recorded against each.
- The audit date and your lead time, so the index can set the date by which owners respond.
If the columns of an export are named differently from those the template expects, the assistant stops and asks which is which.
What comes out
One index in a fixed order. It opens with the count of requests and records and the line that proves the counts. Then comes one entry for every request: its state, the document with revision, status and owner, the records found with their dates and locations, the earlier findings that touch it, and what has to be settled and by whom. After the entries come the records and findings that link to no request, and a short list of decisions for the quality owner. A closing line says what the index cannot show.
An invented example
Illustrative example with invented data. The company, the people, the documents, the records and the dates below are all invented. The company is an invented 80-person precision-parts manufacturer preparing for an internal audit of its quality system. In this example the quality manager is both the quality lead who runs the capability and the quality owner who reviews the index. First come the inputs the quality manager supplied, in full, then the index the capability returned.
The inputs
1. Audit settings
Audit: internal audit of the quality system
Audit date: Tuesday 24 November 2026
Today: Tuesday 10 November 2026
Lead time: 7 calendar days before the audit date
Quality owner: Quality manager
In force means register status "Effective"
A blank owner means not assigned
2. Audit request list
request_id,request_text,asks_for,reference,period_from,period_to
R01,Current quality manual,document,QM-01,,
R02,Document control procedure and the document change requests raised since 1 July 2026,both,SOP-DC-01,2026-07-01,2026-11-10
R03,Corrective action procedure and the corrective action reports closed in the third quarter of 2026,both,SOP-CA-02,2026-07-01,2026-09-30
R04,Training and competence records for the new inspector hired in August 2026,records,,2026-08-01,2026-10-31
R05,Calibration records for the gauges used in final inspection from January to October 2026,records,WI-CAL-07,2026-01-01,2026-10-31
R06,Supplier approval procedure and the supplier evaluations completed in 2026,both,SOP-PU-03,2026-01-01,2026-10-31
R07,Evidence of management review meetings held in 2026,records,,2026-01-01,2026-10-31
R08,Control of nonconforming product procedure,document,SOP-NC-05,,
3. Document register
doc_id,title,revision,status,effective_date,owner,next_review_date
QM-01,Quality manual,C,Effective,2025-03-03,Quality manager,2027-03-03
SOP-DC-01,Document control procedure,D,Effective,2026-01-12,Quality manager,2027-01-12
SOP-CA-02,Corrective action procedure,B,Effective,2025-06-02,Quality manager,2026-06-02
SOP-TR-04,Training and competence procedure,A,Effective,2024-09-16,Training coordinator,2026-09-16
WI-CAL-07,Gauge calibration work instruction,E,In review,,Maintenance lead,
SOP-PU-03,Supplier approval procedure,B,Effective,2025-11-17,,2027-11-17
WI-INS-11,Incoming inspection work instruction,C,Effective,2026-05-04,Receiving supervisor,2027-05-04
4. Records selected for the audit
record_id,title,doc_id,procedure_revision,record_date,location
CAR-029,Corrective action report: superseded work instruction at the bench,SOP-CA-02,B,2026-06-27,Quality share / CAR / 2026
CAR-031,Corrective action report: mislabelled batch,SOP-CA-02,B,2026-07-21,Quality share / CAR / 2026
CAR-034,Corrective action report: late supplier certificate,SOP-CA-02,B,2026-08-18,Quality share / CAR / 2026
CAR-036,Corrective action report: damaged packaging,SOP-CA-02,B,2026-10-05,Quality share / CAR / 2026
CAL-099,Gauge calibration record: bore gauge,WI-CAL-07,D,2025-12-11,Maintenance office / CAL binder
CAL-118,Gauge calibration record: height gauge,WI-CAL-07,D,2026-02-09,Maintenance office / CAL binder
CAL-131,Gauge calibration record: micrometer set,WI-CAL-07,D,2026-06-15,Maintenance office / CAL binder
CAL-140,Gauge calibration record: bore gauge,WI-CAL-07,D,2026-09-28,
SUP-EV-12,Supplier evaluation: Supplier A,SOP-PU-03,B,2026-03-10,Purchasing share / Evaluations
SUP-EV-19,Supplier evaluation: Supplier C,SOP-PU-03,A,2026-09-02,Purchasing share / Evaluations
TR-188,Training record: machine operator,SOP-TR-04,A,2026-02-02,Training office / Files
TR-210,Training record: new inspector,SOP-TR-04,A,2026-08-24,Training office / Files
5. Last cycle's findings
finding_id,finding_text,related_ref,status,action_ref
F-2025-03,Superseded work instruction found at the inspection bench,WI-CAL-07,Closed,CAR-029
F-2025-05,Corrective actions closed without a recorded effectiveness check,SOP-CA-02,Open,CAR-036
F-2025-07,Management review minutes could not be produced,,Open,
The index
AUDIT EVIDENCE INDEX: internal audit of the quality system, audit date 24 November 2026
Prepared for: Quality manager. Owners respond by 17 November 2026. Register and records as supplied on 10 November 2026.
Count: 8 requests. Linked 1. Check first 4. Possible match only 1. Nothing found 2. Tie-out: 1 + 4 + 1 + 2 = 8. Records supplied 12: linked 7, not linked 5.
Index
R01: Current quality manual
Status: Linked
Document: QM-01, Quality manual, revision C, Effective, effective 3 March 2025, review due 3 March 2027; owner Quality manager
Records: Not requested
Prior findings: None
To settle: Nothing
R02: Document control procedure and the document change requests raised since 1 July 2026
Status: Check first
Document: SOP-DC-01, Document control procedure, revision D, Effective, effective 12 January 2026, review due 12 January 2027; owner Quality manager
Records: None supplied for 1 July 2026 to 10 November 2026
Prior findings: None
To settle: 1. No document change request was supplied for 1 July 2026 to 10 November 2026. The Quality manager locates them or confirms none were raised, by 17 November 2026.
R03: Corrective action procedure and the corrective action reports closed in the third quarter of 2026
Status: Check first
Document: SOP-CA-02, Corrective action procedure, revision B, Effective, effective 2 June 2025, review due 2 June 2026; owner Quality manager
Records: CAR-031, Corrective action report: mislabelled batch, 21 July 2026, held at Quality share / CAR / 2026; CAR-034, Corrective action report: late supplier certificate, 18 August 2026, held at Quality share / CAR / 2026
Prior findings: F-2025-05, Open, action CAR-036
To settle: 1. The review due date, 2 June 2026, is before the audit date. The Quality manager confirms the review status by 17 November 2026. 2. Prior finding F-2025-05 is open; the index does not show whether its action worked. The Quality manager confirms its status by 17 November 2026.
R04: Training and competence records for the new inspector hired in August 2026
Status: Possible match only
Document: Candidate, not linked: SOP-TR-04, Training and competence procedure, revision A, Effective, effective 16 September 2024, review due 16 September 2026; owner Training coordinator
Records: Candidate, not linked: TR-210, Training record: new inspector, 24 August 2026, held at Training office / Files
Prior findings: None
To settle: 1. The request names no document. The Quality manager confirms by 17 November 2026 whether SOP-TR-04 and TR-210 are what was meant.
R05: Calibration records for the gauges used in final inspection from January to October 2026
Status: Check first
Document: WI-CAL-07, Gauge calibration work instruction, revision E, In review, effective date not recorded, review due date not recorded; owner Maintenance lead
Records: CAL-118, Gauge calibration record: height gauge, 9 February 2026, held at Maintenance office / CAL binder; CAL-131, Gauge calibration record: micrometer set, 15 June 2026, held at Maintenance office / CAL binder; CAL-140, Gauge calibration record: bore gauge, 28 September 2026, location not recorded
Prior findings: F-2025-03, Closed, action CAR-029
To settle: 1. The register status is In review, not Effective. The revision comparison was skipped because the document is not in force. The Maintenance lead tells the Quality manager which revision applies, by 17 November 2026. 2. CAL-140 has no location. The Maintenance lead supplies it by 17 November 2026.
R06: Supplier approval procedure and the supplier evaluations completed in 2026
Status: Check first
Document: SOP-PU-03, Supplier approval procedure, revision B, Effective, effective 17 November 2025, review due 17 November 2027; owner not assigned
Records: SUP-EV-12, Supplier evaluation: Supplier A, 10 March 2026, held at Purchasing share / Evaluations; SUP-EV-19, Supplier evaluation: Supplier C, 2 September 2026, held at Purchasing share / Evaluations
Prior findings: None
To settle: 1. No owner is assigned to SOP-PU-03. The Quality manager names one by 17 November 2026. 2. SUP-EV-19, dated 2 September 2026, cites revision A; revision B has been effective since 17 November 2025. With no owner assigned, the Quality manager asks for or gives the explanation by 17 November 2026.
R07: Evidence of management review meetings held in 2026
Status: Nothing found
Document: None found
Records: None linked: no document linked
Prior findings: None
To settle: 1. Nothing in the register matched this request. The Quality manager says what document or records are meant, by 17 November 2026.
R08: Control of nonconforming product procedure
Status: Nothing found
Document: None found; reference SOP-NC-05 is not in the register
Records: Not requested
Prior findings: None
To settle: 1. SOP-NC-05 is not in the register. The Quality manager confirms whether the document exists, by 17 November 2026.
Supplied but not linked to any request: CAR-029 (dated before the 1 July 2026 start of R03); CAR-036 (dated after the 30 September 2026 end of R03); CAL-099 (dated before the 1 January 2026 start of R05); TR-188 (dated before the 1 August 2026 start of R04, and candidate document only); TR-210 (candidate for R04, not linked until confirmed).
Prior findings not linked to any request: F-2025-07, Open, Management review minutes could not be produced; action not recorded.
Decisions for the quality owner
1. Possible matches to confirm: R04.
2. Requests with nothing found: R07, R08.
3. Prior findings to link to a request: F-2025-07.
4. What is shared with the auditors, in what form and when.
This index, built from the lists supplied for the internal audit of the quality system, shows where each item is held and what the register says about its revision. It does not show that a document's content is right, that a record proves the procedure worked, or that anything is ready for audit. The auditors judge the evidence themselves. The index changes no records and sends nothing.
Every entry traces to the five inputs above. The hand-off date is 7 days before 24 November 2026. The tie-out is 1 + 4 + 1 + 2 = 8 requests, and 7 + 5 = 12 records. The candidate SOP-TR-04 has a review date, 16 September 2026, that is before the audit date, and R04 raises no flag for it: only linked documents and records are flagged, and a candidate is not linked until the quality manager confirms it.
Where it fits
- Quality management, where an audit request list lands on the quality owner and has to be answered from many people's files.
- Manufacturing, where an audit can ask for inspection, calibration and supplier records held in different places.
- Life sciences, where the revision a record was made under matters as much as the record itself.
- Engineering firms, where customers audit project records and procedures held by different teams.
- Established businesses, where records have built up across years and owners have changed.
What has to change for your company
Fix the four files and their column names once, so every audit starts from the same exports. Decide your lead time, which sets the hand-off date. Decide which register status means a document is in force; the template assumes "Effective". Say whether a blank owner means vacant or simply not recorded. Agree who answers for a document with no owner. Choose how the index reaches the auditors, because the template only prepares it. Separate this index from broader preparation: Audit preparation covers a finance audit, and Shared folder filing plan tidies where files live.
What has been checked
Fully Powered AI wrote this capability template. It was editorially reviewed on 10 November 2026. It was tried on its invented example in Claude on 10 November 2026, in two runs: an independent review changed the instruction block, the output format and the example after the first, and the record of the second is published with it. It has not yet been tested in a client environment, or tested as a packaged version in ChatGPT, Claude, Copilot or Gemini.
Testing in your environment means running it on a past audit you know well, with cases written in advance: a request that names a document the register lacks, a record made under a superseded revision, a document with no owner, a request that only half-matches. The quality owner checks every link against the actual files before anyone relies on the index. Pilot acceptance-test preparation sets those cases up, and what we test before we call an AI workflow ready describes the record we keep.
The full capability template
Everything above is the outline. The complete capability template is the working version: the roles, the inputs, the procedure, the exceptions and stop conditions, the output format, the reviewer checklist, the acceptance tests, the instructions for an AI assistant and what to customize for your company. It comes with a download and the link to its folder in Fully Powered’s public repository.
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