ISO 9001 - Internal Audit

• Conducted on (Select Date and Time)

  Date

• Prepared by (Name of Auditor)

• Location (Select Location subject to Audit)
  Address

• 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?

  Yes

  No

  N/A

• Can you find it in your system?

  Yes

  No

  N/A

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

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Do you have interested parties identified for your business?

  Yes

  No

  N/A

• Can you show me the records?

  Yes

  No

  N/A

• Can you tell me are their requirements?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

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

• Is there a Leadership Policy?

  Yes

  No

  N/A

• Do you know where the policy can be found?

  Yes

  No

  N/A

• Is the Policy dated?

  Yes

  No

  N/A

• Is the Policy signed?

  Yes

  No

  N/A

• Has the policy been distributed?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

5.1.2(c) Enhancing Customer satisfaction

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

  Yes

  No

  N/A

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

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

  Yes

  No

  N/A

• Can you show me?

  Media

• Has the business has a published ISO 9001 Policy?

  Yes

  No

  N/A

• Can you show me where it is kept?

  Yes

  No

  N/A

• Has it been published to the staff?

  Compliant

  Non-Compliant

  N/A

• Is it appropriately signed?

  Compliant

  Non-Compliant

  N/A

• Yes

  No

  N/A

• Have risks and opportunities been identified?

  Yes

  No

  N/A

• Do you know where they are listed?

  Yes

  No

  N/A

• What is being done to manage the Risks?

• Are there records of competence?

  Yes

  No

  N/A

• Can you show me where they are maintained

  Yes

  No

  N/A

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

  Compliant

  Non-Compliant

  N/A

• Is there a communications policy?

  Yes

  No

  N/A

• Yes

  No

  N/A

• Can you show me where the policy is?

  Yes

  No

  N/A

• Is the policy under document control?

  Yes

  No

  N/A

• What is the date of the policy?

  Date

• Is the policy signed? (Who by)

  Yes

  No

  N/A

• Yes

  No

  N/A

• do you maintain IMS (ISO 9001) communication records

  Yes

  No

  N/A

• Can you show me where they are?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Can you show me the records?

  Yes

  No

  N/A

• How many records are showing on the IMS record

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

• Yes

  No

  N/A

• Is there a process for Change Management?

  Yes

  No

  N/A

• Yes

  No

  N/A

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

  Yes

  No

  N/A

• Can you explain how it works?

  Yes

  No

  N/A

• Are there change management records?

  Yes

  No

  N/A

• Yes

  No

  N/A

• Are management reviews conducted?

  Yes

  No

  N/A

• Are the management reviews scheduled?

  Yes

  No

  N/A

• What is the frequency of the MR's?

• Is there a standing agenda?

  Yes

  No

  N/A

• Is there a regular attendance group?

  Yes

  No

  N/A

• List the routine attendance group?

• Are minutes created

  Yes

  No

  N/A

• Can you show me the latest minutes in your records

  Yes

  No

  N/A

• Who controls the action points from the meetings

• Does the organisation identify opportunities for improvement?

  Yes

  No

  N/A

• Are the improvement opportunities recorded

  Yes

  No

  N/A

• Are the Improvement opportunities reported to the leadership team

  Yes

  No

  N/A

• Do the CI opportunities feature on Management reviews?

  Yes

  No

  N/A

• Is there a process for raising continuous improvement opportunities

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Can you explain your Corrective action methodology?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Yes

  No

  N/A