Internal Audit Checklist

The internal audit checklist is just one of the many tools
available from the auditors toolbox. The checklist ensures each

audit concisely compares the requirements of ISO 9001:2015,
and your Quality Management System against actual business
practice.
ISO 9001:2015
Internal Audit
Checklist
7.0 Support
Double click here to insert ISO 9001:2015 Internal Audit Checklist
your organizations name
or logo. 7.0 Support
Part 1: Audit Checklist

Audit Findings
Question No
Audit Question Comments & Examples Audit Evidence

Clause No
Minor N/C
Major N/C
Compliant
ISO 9001:2015 Shall Requirement Suggestions & Advice Reference Documentation
OFI
Does your organization determine and Your organization has to identify which resources it needs to
provide the resources needed for the make available in order to ensure the effective operation of the
7.1.1
establishment, implementation, QMS. Resources e.g. raw materials, infrastructure, finance,

78
maintenance and continual improvement personnel and IT, all of which can be either internally or
of the QMS? externally provided.
Does your organization consider the
Check that a budget has been allocated to the QMS and your
7.1.1
capabilities of, and constraints on,

79
organization has identified all types of resources required and

existing internal resources?
that it has taken action to ensure that those resources will be
Does your organization consider what available when needed. Describe how the capabilities and
7.1.1
needs to be obtained from external constraints on internal resources are considered, and how the
80
providers? needs of external providers are considered.
Does your organization determine and

Describe the allocation of staff in order to achieve the required
provide the staff necessary for the
outcome. Dependent on the size of your organisation this may
7.1.2
effective implementation of its QMS and

81
be one or two people or a team. The senior management will

for the operation and control of its
need to determine the resource needed and maintain this.
processes?
Describe how the organization determines, provides and
Does your organization determine,
maintains the infrastructure for the operation of processes to
provide and maintain the infrastructure
achieve products and service conformity. Consider all the things
7.1.3
necessary for the operation of its

82
needed in order to deliver a product to the customer. This needs

processes and to achieve conformity of
to include: buildings; water; gas; electric, etc.; process equipment;
products and services.
computers; vehicles; engineers; management, etc.
Document Ref: Page 2 of 11

Audit Findings
Question No

Clause No
Minor N/C
Major N/C
Compliant
OFI
Does your organization ensure that these Describe how the organization ensures that competencies are
persons are competent on the basis of possessed by the people doing the work under your
7.2
97
appropriate education, training, or organizations control including: employees, contractors and

experience? outsourced personnel working either on site or off site.
Describe how the organization takes action to acquire the

Does your organization where applicable,
necessary competence where applicable, and how does it
take actions to acquire the necessary
evaluate the effectiveness of those actions. Remedial training,
7.2
98
competence, and evaluate the

recruitment or the use of external people in order to acquire the
effectiveness of the actions taken?
necessary competence are valid examples of actions.
Does your organization retain Does or organization maintain documented information such as
appropriate documented information as a skills matrix; training records, personnel files, CVs, job
7.2
99
evidence of competence? (See 7.5.1b) descriptions.
Does your organization ensure that Describe the processes established by your organization to make
persons doing work under your people working its behalf aware of quality policy and its
100
7.3
organizations control are aware of the requirements. Ensure that awareness is captured on personnel
quality policy? training records, signed briefing sheets, etc.
Does your organization ensure that Describe the processes established by your organization to make
persons doing work under your people working its behalf aware of quality objectives and their
101
7.3
organizations control are aware of the requirements. Ensure that awareness is captured on personnel
relevant quality objectives? training records, signed briefing sheets, etc.
Does your organization ensure that

The important factor here is the addition of a requirement to
persons doing work under its control are
make people aware their contribution to how well the QMS
102
aware of their contribution to the

7.3
performs. Ensure that awareness is captured on personnel

effectiveness of the QMS, including the
training records, signed briefing sheets, etc.
benefits of improved performance?

Audit Findings
Question No

Clause No
Minor N/C
Major N/C
Compliant
OFI
Demonstrate the organization's arrangements for controlling
documented information required by ISO 9001 and your
Is documented information (required by organizations own requirements, including:
7.5.3.1
the QMS and ISO 9001) controlled to

114
ensure it is available and suitable for use, 1. Availability e.g. document accessibility (hard copy,
where and when it is needed? electronic media), readily available at the point of use;
2. Suitability e.g. format, media suitable to the
environment, ease of understanding, language,
interpretation;
3. Protection e.g. document authentication, document
markings (official, secret, restricted, confidential, private,
Is documented information (required by
sensitive, classified, unclassified), access controls
the QMS and ISO 9001) controlled to
7.5.3.1
(individual, role specific), physical security (master

155
ensure it is adequately protected from

documents, server rooms, libraries) IT security (User ID,
loss of confidentiality, improper use, or
password, servers, download, back up, encryption, read
loss of integrity?
only, read/write), protection from corruption and
unintended alterations.
Demonstrate the organization's arrangements for document

For the control of documented
control arrangements including the distribution (internal and
7.5.3.2
information, does your organization

116
external) e.g. infrastructure, networks, portals, document

address the distribution, access, retrieval
registers, points of contact, transmission, access and retrieval e.g.
and use?
location, availability, timeliness and remote access.
Demonstrate the organization's arrangements for document
For the control of documented
storage and preservation e.g. physical environment, protection
7.5.3.2
information, does your organization

117
from fire and flood, filing arrangements, physical/IT security,

address storage and preservation,
sustainability, redundant hardware/software to access legacy
including preservation of legibility?
media and archive arrangements.

Part 2: Audit Findings Summary

Manually transfer the audit findings from the audit checklist above into the audit findings summary table below. At the end of the audit, you should transfer
any adverse findings into the QMS Compliance Tracker to create charts, summary tables and trend data to paste into your audit report.
Audit Findings Audit Findings Audit Findings Audit Findings Audit Findings
Question No
Question No
Question No
Question No
Question No
Minor N/C
Minor N/C
Minor N/C
Minor N/C
Minor N/C
Major N/C
Major N/C
Major N/C
Major N/C
Major N/C
Compliant
Compliant
Compliant
Compliant
Compliant
OFI
OFI
OFI
OFI
OFI
105
114
78
87
96
106
155
79
88
97
107
116
80
89
98
108
117
81
90
99
100
109
118
82
91
101
110
119
83
92
102
111
120
84
93
103
112
121
85
94
104
113
86
95

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Internal Audit Checklist

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The internal audit checklist is just one of the many tools

available from the auditors toolbox. The checklist ensures each

Part 1: Audit Checklist

Audit Question Comments & Examples Audit Evidence

establishment, implementation, QMS. Resources e.g. raw materials, infrastructure, finance,

capabilities of, and constraints on,

organization has identified all types of resources required and

providers? needs of external providers are considered.

Does your organization determine and

effective implementation of its QMS and

be one or two people or a team. The senior management will

necessary for the operation of its

needed in order to deliver a product to the customer. This needs

Document Ref: Page 2 of 11

Audit Question Comments & Examples Audit Evidence

appropriate education, training, or organizations control including: employees, contractors and

Describe how the organization takes action to acquire the

competence, and evaluate the

evidence of competence? (See 7.5.1b) descriptions.

Does your organization ensure that

aware of their contribution to the

performs. Ensure that awareness is captured on personnel

Document Ref: Page 6 of 11

Audit Question Comments & Examples Audit Evidence

the QMS and ISO 9001) controlled to

(individual, role specific), physical security (master

ensure it is adequately protected from

Demonstrate the organization's arrangements for document

information, does your organization

external) e.g. infrastructure, networks, portals, document

information, does your organization

from fire and flood, filing arrangements, physical/IT security,

Document Ref: Page 9 of 11

Part 2: Audit Findings Summary

Document Ref: Page 11 of 11

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