# ISO 9001:2015 Internal Audit Checklist

**Organisation:** ____________________  **Audit date:** ____________
**Lead auditor:** ____________________  **Scope:** ____________________

Rating key: C = Conforms · OFI = Opportunity for improvement · MIN = Minor nonconformity · MAJ = Major nonconformity

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## 4. Context of the organisation

| # | Requirement | Evidence to sight | Rating | Notes |
|---|---|---|---|---|
| 4.1 | Internal and external issues identified and monitored | Context analysis, management review minutes | | |
| 4.2 | Interested parties and their requirements determined | Stakeholder register | | |
| 4.3 | QMS scope documented and available | Scope statement | | |
| 4.4 | Processes, sequence, interaction and measures defined | Process map, KPI set | | |

## 5. Leadership

| # | Requirement | Evidence to sight | Rating | Notes |
|---|---|---|---|---|
| 5.1 | Top management demonstrates leadership and commitment | Review minutes, resourcing decisions | | |
| 5.2 | Quality policy established and communicated | Policy, induction records | | |
| 5.3 | Roles, responsibilities and authorities assigned | Org chart, position descriptions | | |

## 6. Planning

| # | Requirement | Evidence to sight | Rating | Notes |
|---|---|---|---|---|
| 6.1 | Risks and opportunities addressed | Risk register, treatment plans | | |
| 6.2 | Quality objectives measurable and planned | Objectives register with owners/dates | | |
| 6.3 | Changes to the QMS planned and controlled | Change records | | |

## 7. Support

| # | Requirement | Evidence to sight | Rating | Notes |
|---|---|---|---|---|
| 7.1 | Resources, people, infrastructure and environment provided | Resource plan, maintenance records | | |
| 7.1.5 | Monitoring and measuring resources calibrated | Calibration register | | |
| 7.2 | Competence determined and evidenced | Training matrix, certificates | | |
| 7.3 | Awareness of policy, objectives and contribution | Toolbox talk records | | |
| 7.4 | Internal and external communication planned | Communication plan | | |
| 7.5 | Documented information controlled | Document register, version control | | |

## 8. Operation

| # | Requirement | Evidence to sight | Rating | Notes |
|---|---|---|---|---|
| 8.1 | Operational planning and control | Project/quality plans | | |
| 8.2 | Customer requirements determined and reviewed | Contract review records | | |
| 8.3 | Design and development controlled (if applicable) | Design reviews, verification records | | |
| 8.4 | External providers controlled and evaluated | Approved supplier list, evaluations | | |
| 8.5 | Production and service provision controlled | Work instructions, ITPs, records | | |
| 8.6 | Release of products and services authorised | Release records, sign-offs | | |
| 8.7 | Nonconforming outputs controlled | NCR register | | |

## 9. Performance evaluation

| # | Requirement | Evidence to sight | Rating | Notes |
|---|---|---|---|---|
| 9.1 | Monitoring, measurement, analysis and evaluation | KPI reports, trend analysis | | |
| 9.1.2 | Customer satisfaction monitored | Survey results, complaint data | | |
| 9.2 | Internal audit programme implemented | Audit schedule, reports | | |
| 9.3 | Management review conducted with required inputs | Review minutes and actions | | |

## 10. Improvement

| # | Requirement | Evidence to sight | Rating | Notes |
|---|---|---|---|---|
| 10.2 | Nonconformity and corrective action managed | CAR register, root cause analyses | | |
| 10.3 | Continual improvement demonstrated | Improvement register, trend data | | |

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## Findings summary

| Ref | Clause | Finding type | Description | Owner | Due date |
|---|---|---|---|---|---|
| 1 | | | | | |
| 2 | | | | | |
| 3 | | | | | |

**Auditor signature:** ______________  **Date:** __________
**Auditee acknowledgement:** ______________  **Date:** __________

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Template provided by Jd Global Quality & Security Solutions Pty Ltd, Canberra.
Adapt to your own scope and certification requirements before use.