Title Page

  • Conducted on (Select Date and Time)

  • Prepared by (Name of Auditor)

  • Location (Select Location subject to Audit)
  • Serial Number of ISO Audit (From audit schedule - Item ID)

Audit Scope and Criteria

  • ISO 9001 - Audit Scope

  • ISO 9001 - Audit Criteria

  • Audited Person Name and Appointment (If Process or Document - Write the name of the document and file location or upload copy of document concerned)

  • Do you know what the Scope of your management system is?

  • Can you find it in your system?

  • Enter the scope of the IMS here once found (Screenshot to media / cut and paste)

4.1 Understand your organization and its unique context

  • Can you tell me about the context of your organization?

  • Can you show me documents that support the context of your organisation?

  • Can I have a copy of these documents / Take a screen shot?

4.2 Understanding the needs and expectations of interested parties

  • Do you have interested parties identified for your business?

  • Can you show me the records?

  • Can you tell me are their requirements?

  • Can you tell me who in your business manages the interested parties list?

  • Who is it what is their position in the company?

5.1.1(c) Leadership

  • How has the QMS been integrated into the organization’s business processes?

  • Is there a Leadership Policy?

  • Do you know where the policy can be found?

  • Is the Policy dated?

  • Is the Policy signed?

  • Has the policy been distributed?

  • Does the policy feature in any form of document control?

5.1.2(b) As part of Customer Focus

  • Do you know where to find the risks and opportunities that affect conformity of the organisations products or services?

  • Can you show me where they are (Screenshot or upload)?

5.1.2(c) Enhancing Customer satisfaction

  • Can you show me an example of maintaining customer satisfaction?

  • What evidence / records do you have of maintaining and enhancing customer satisfaction

  • Have plans been put in place to achieve quality objectives?

  • Can you show me?

5.2 ISO 9001 Policy

  • Has the business has a published ISO 9001 Policy?

  • Can you show me where it is kept?

  • Has it been published to the staff?

  • Is it appropriately signed?

6.1.1 Planning for Risks

  • Have risks and opportunities been identified?

  • Do you know where they are listed?

  • What is being done to manage the Risks?

7.2 Competence

  • Are there records of competence?

  • Can you show me where they are maintained

  • Can you show me copies of some of the certificates of competence.

7.4 Communication

  • Is there a communications policy?

  • Can you show me where the policy is?

  • Is the policy under document control?

  • What is the date of the policy?

  • Is the policy signed? (Who by)

  • do you maintain IMS (ISO 9001) communication records

  • Can you show me where they are?

  • Can you tell me how you maintain document control (IMS and Projects)?

  • Can you show me the records?

  • How many records are showing on the IMS record

  • How many records showing for the selected project under audit?

8.5.6 Control of changes

  • Is there a process for Change Management?

  • Is there a process map or flow for change management?

  • Can you explain how it works?

  • Are there change management records?

9.3 Management reviews

  • Are management reviews conducted?

  • Are the management reviews scheduled?

  • What is the frequency of the MR's?

  • Is there a standing agenda?

  • Is there a regular attendance group?

  • List the routine attendance group?

  • Are minutes created

  • Can you show me the latest minutes in your records

  • Who controls the action points from the meetings

10.1 Continuous Improvement

  • Does the organisation identify opportunities for improvement?

  • Are the improvement opportunities recorded

  • Are the Improvement opportunities reported to the leadership team

  • Do the CI opportunities feature on Management reviews?

  • Is there a process for raising continuous improvement opportunities

10.2 Nonconformity and Corrective action

  • Does the organisation record Nonconformity (NCR's) is any way?

  • Can you explain your Corrective action methodology?

  • Do you have a process for recording and managing NCRs?

  • Is there evidence of NCR's being raised with corrective action and RCA being conducted?

The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should independently determine whether the template is suitable for your circumstances.