ISO 9001 Auditor/Lead Auditor

This self evaluation checklist has been prepared for you following your implementation of ISO 9001 in your
organisation. The checklist identifies the core obectives and the key elements discussed during the
implementation as a checklist to aid your continuing development within your workplace.
!y working systematically through the checklist" you will be able to identify any potential improvement needs
regarding your ISO 9001 auditing. Simply record your response to each #uestion as an aid to memory to assist
with your audits.
The Quality Management System (QMS)
Question Notes
1 $ave all of the business processes been identified and
developed to demonstrate interaction%
& $as the scope of the management system been
identified and documented" including any ustification for
e'clusions from clause (%
) $as management commitment been demonstrated and
has a policy been prepared and communicated%
* $ave all of the documentation re#uirements of ISO
9001 been identified and prepared%
+ $ave resources been identified and applied%
( $ave responsibilities been identified for all necessary
staff%
, $ave specific customer needs been identified and
processes developed to meet their needs%
9 $ave monitoring and measurement activities been
identified and applied%
Auditing the QMS
Question Notes
1 $as a documented procedure been prepared for audits
of the -.S%
& $ave the core competencies for auditor/s0 been
identified% $ave they been trained1developed%
) $ave the core responsibilities for auditor/s0 been
identified% $ave they been communicated%
2 $as a schedule of audits been developed" including
areas of -.S status and importance%
* $ave specific audit obectives and the scopes of
individual audits been defined and allocated to auditors%
+ $as all audit criteria been identified including customer
related needs%
( $as a checklist of #uestions been prepared for the
individual audits" including opening and closing
meetings%
, $ave the necessary documents been developed for the
audits" i.e. reports and forms%
9 $as the classification of findings been identified" i.e.
nonconformity" observation" etc%
10 $ave the reporting methods and reporting mechanism
been identified" i.e. reports%
11 $ave corrective action procedures following audit
findings been prepared and implemented%
1& $as the need for follow3up audits been identified and
implemented to the schedule%
1) $as the need for continual improvement of the audit
process and the -.S been identified%
12 4re the results of audits being discussed at
management level during a management review%