Overview of an ISO 9001 Audit Checklist

Overview of an ISO 9001 Audit Checklist

The audit checklist is a document that is created during the audit planning phase. This document is principally a list of the tasks that must be completed as part of the audit. This document is a list of the tasks that must be accomplished as part of the audit. The ISO 9001 documents are created and managed by the auditor.

In every audit checklist, there are five vital sections like a scope, evidence collection, audit tests, analysis of results, and conclusion. These sections are static and are used for audits ranging from financial to safety. The procedure used to settle the definite tasks involved in each section varies, based on the audit scope, the tools used to manage the audit, and the knowledgeable audit staff. The scope section of the checklist contains the opening meeting with the client, identification of known issues, the focus of the audit, total timeline, and essential outcome. In some audits, resource distribution is decided at this time of the checklist.

What are the four segments of an audit cycle?

Audit planning and preparation: Audit preparation contains planning everything that is done in advance by interested parties, such as the auditor, the lead auditor, the client, and the audit program manager, to certify that the audit fulfills the objective.

Audit execution: The execution segment of an audit is habitually called the fieldwork. It is data-gathering, which means it covers the period from arrival at the audit location up to the exit meeting. It consists of various activities like on-site audit management, meeting with the auditee, understanding the process and system controls and verifying that these controls work, communicating between team members, and communicating with the auditee.

Audit reporting: The aim of the audit report is to communicate the results of the investigation. The audit process may end when the report is allotted by the lead auditor or after follow-up actions are completed.

Audit follow-up and closure: The audit is accomplished when all the planned audit activities have been agreed upon or otherwise agreed with the audit client. The authentication of follow-up actions may be part of the audit.

The ISO 9001 audit checklist must include the following clauses:

·        Context of the Organization

• Understanding the organization and its context
• Understanding the needs and expectations of interested parties
• Determining the scope of the QMS
• The Quality Management System and its processes

·        Leadership

• Leadership and commitment
• Quality policy
• Organizational roles, responsibilities, and authorities

·        Planning

• Actions to address risks and opportunities
• Quality objectives
• Planning of changes

·        Support

• Resources
• Competence
• Awareness & Communication
• Documented information

·        Operation

• Operational planning and control
• Determination of requirements for products and services
• Design and development of goods and services
• Control of externally provided goods and services
• Production of goods and provision of services
• Release of goods and services
• Control of nonconforming process outputs, products, and services

·        Performance Evaluation

o   Monitoring, measurement, analysis, and evaluation

o   Internal audit

o   Management review

·        Improvement

o   Constant improvement

o   Individuality and corrective action

The List of benefits of the audit checklist

·        An ISO 9001 audit checklist can be helpful as a reference for planning future audits

·        An accomplished checklist offers evidence the audit was achieved

·        Also, it ensures the audit is conducted methodically and constantly

·        It also ensures a constant audit approach

·        Audit checklist helps in the organization’s audit process

·        Guarantees regularity in the performance of different auditors

·        Provide as a reference objective evidence