Ensure accuracy and compliance with audit checklists for business, finance, and safety. Organized tools for efficient auditing.

Audit Checklists

This ISO 9001 Quality Management Audit Guide provides a detailed checklist to evaluate your organization’s compliance with ISO 9001:2015 standards. It covers all key clauses including context of the organization, leadership, planning, support, operation, performance evaluation, and improvement. This structured tool helps internal auditors verify documentation, assess process effectiveness, identify nonconformities, and ensure continual improvement across all departments for certification readiness.

Comprehensive ISO 9001:2015 audit checklist covering all QMS clauses, documentation, and processes to ensure compliance and continual improvement.

ISO 9001:2015 Audit Checklist for QMS Compliance

Has the organization identified external and internal issues relevant to its purpose and strategic direction?

Does it monitor and review those issues on a regular basis?

Have interested parties (stakeholders) relevant to the QMS been determined?

Are the requirements of those interested parties identified and kept up to date?

Is the scope of the QMS documented and justified (i.e., boundaries, exclusions)?

Are QMS processes and their interactions defined, documented, and maintained?

Are criteria and methods for process operation and control established?

Are risks and opportunities (relative to context and interested parties) assessed and addressed?

Is there evidence that changes in context trigger a review of QMS scope or processes?

Has the organization ensured that the QMS can achieve intended outcomes within the defined context?

Context of the Organization

Does top management demonstrate leadership and commitment to the QMS?

Is the quality policy established, communicated, and aligned with strategic direction?

Are quality objectives set and consistent with the policy?

Are roles, responsibilities, and authorities within the QMS assigned and communicated?

Does top management promote risk-based thinking and support other management roles?

Are accountability and authority for nonconformity resolution clearly vested?

Is there evidence that leadership ensures that customer focus is promoted?

Has top management ensured integration of the QMS into business processes?

Are resources and support actively provided by leadership?

Are management review outputs acted upon (i.e., decisions, improvement, resource changes)?

Leadership

Has the organization determined risks and opportunities to address to ensure QMS achieves intended results?

Are planned actions for those risks/opportunities integrated into business processes?

Are quality objectives planned, measurable, and consistent with policy?

Is there a plan showing how objectives are achieved (who, what, when, resources)?

When changes to the QMS are needed, is planning of the change systematic and controlled?

Are the effects (impacts) of changes considered before implementation?

Do planned changes maintain or improve conformity of products/services?

Are changes approved before implementation and communicated appropriately?

Are potential unintended consequences of changes assessed?

Are risks associated with changes monitored and mitigated?

Planning

Are resources (people, infrastructure, environment) adequate for QMS implementation and maintenance?

Are competence requirements determined, and is evidence of training, skills, or experience maintained?

Are employees aware of the quality policy, objectives, their roles, and consequences of nonconformities?

Are there effective internal/external communication processes (what, when, with whom, how)?

Is documented information required by ISO 9001 and by the organization maintained and controlled?

Are controls in place for document approval, review, update, revision, retention, and disposal?

Are records protected against loss, damage, deterioration, or unauthorized access?

Are measurement traceability, calibration, and maintenance of measuring devices ensured?

Is organizational knowledge maintained and updated to support the QMS and improvement?

Are resource constraints identified in advance and mitigated (e.g., manpower, equipment)?

Support

Are the requirements for products and services determined, documented, and reviewed (customer, statutory, regulatory)?

Are changes in requirements communicated and controlled?

If design and development apply: are design inputs, interfaces, outputs, reviews, verification, validation, changes controlled?

Are external provider (supplier) controls established, evaluated, monitored, and re-evaluated?

Are criteria for acceptance of purchased products/services defined and records maintained?

Are processes for production or service provision controlled (i.e., process parameters, resource control, work instructions)?

Is there a process for handling nonconforming outputs, deviations, rework, and corrective actions?

Are final product/service release criteria defined and met (inspections, tests)?

Are product identification and traceability maintained throughout production and delivery?

Are changes to operational processes controlled and documented (e.g., modifications, process steps)?

Operation

Has the organization determined what to monitor, measure, analyze, and evaluate (processes, products, customer satisfaction)?

Are suitable methods used to ensure valid measurement results?

Is monitoring and measuring equipment calibrated or verified?

Are results of monitoring, measurement, and analysis evaluated against objectives and requirements?

Is customer feedback (complaints, satisfaction, returns) collected and analyzed?

Is internal audit conducted at planned intervals, covering all relevant functions and processes?

Are internal audit findings reported, and is follow-up action taken?

Does top management conduct periodic management reviews with structured inputs and outputs?

Are key performance indicators (KPIs) monitored and trending over time?

Is data from performance evaluation used to drive improvement, corrective action, or risk mitigation?

Performance Evaluation

Does the organization continually improve the suitability, adequacy, and effectiveness of the QMS?

Are nonconformities identified, documented, and corrective actions taken to eliminate root causes?

Are corrective actions evaluated for effectiveness and verified?

Are opportunities for improvement identified (from audits, reviews, analyses) and acted upon?

Is process performance or product conformity improvement documented and tracked?

Is innovation or proactive change (preventive mindset) part of improvement initiatives?

Are lessons learned shared across functions and processes?

Are changes made as a result of improvement communicated and controlled?

Is the impact of corrective and improvement actions assessed (positive/negative)?

Is management review fed with information on improvement actions, nonconformities, and results?

Improvement

Are all mandatory ISO 9001 documents (procedures, policies, work instructions) present and current?

Is there a document control procedure for creation, review, approval, change, and versioning?

Are records (audit, training, calibration, inspections) defined, identifiable, stored, and retrievable?

Are retention times for records defined and enforced?

Are obsolete or superseded documents removed from use or clearly marked?

Are records protected against damage, loss, unauthorized access, or deterioration?

Are backup and archival arrangements in place (digital and physical)?

Is access to documented information controlled by roles and permissions?

Are changes to documented information reviewed, approved, and re-communicated?

Are external documents (standards, regulatory documents) included and controlled if used?

Documented Information & Records Control

Is an internal audit program planned, maintained, and updated (scope, frequency, criteria)?

Are auditors independent from the areas they audit?

Are audit plans approved and communicated in advance?

During audits, do auditors follow documented checklists, collect objective evidence, and report findings?

Are nonconformities raised formally with clear descriptions, severity, and reference to evidence?

Are corrective actions assigned, tracked, and closed out with verification?

Is there follow-up to confirm that corrective actions were effective?

Are audit results compiled and reviewed for trends or recurring issues?

Is management review conducted at planned intervals, with required inputs (audit results, customer feedback, performance data)?

Are outputs of management review (decisions, changes, resource allocation, improvements) documented and followed up?

Internal Audit & Management Review

Are customer requirements (expressed, implied, legal) collected, documented, and reviewed?

Is there a process for resolving customer complaints, feedback, or returns?

Are trends in customer satisfaction or dissatisfaction monitored and analyzed?

Is corrective action on customer complaints timely and effective?

Is customer communication tracked (order changes, status, feedback)?

Are delivery, quality, and service performance metrics measured against customer expectations?

Are customer-specific quality requirements (contracts, specifications) formally incorporated into processes?

Is there a process for identifying potential new customer needs and opportunities for improvement?

Are last-minute changes or special requests from customers handled and documented properly?

Are lessons from customer feedback or dissatisfaction fed into the QMS improvement loop?

Customer Focus & Customer Satisfaction

Ensure organizational compliance and efficiency with this detailed internal audit checklist. It covers key areas including governance, financial management, operational controls, IT systems, health and safety, procurement, and customer service. This guide helps auditors evaluate risks, verify documentation, ensure policy adherence, and promote continuous improvement across all business functions.

Comprehensive internal audit checklist covering governance, financial management, operations, IT, quality, HSE, procurement, customer service, and continuous improvement.

Complete Internal Audit Process and Compliance Guide

Verify that company policies are up to date and approved by management.

Confirm that legal and regulatory requirements are documented and accessible.

Check if periodic compliance reviews are conducted and recorded.

Ensure all business licenses and permits are valid.

Review the organization's code of conduct and ethics implementation.

Confirm board meeting minutes are maintained and decisions documented.

Validate anti-bribery and anti-corruption measures are enforced.

Review risk management procedures and mitigation plans.

Check internal audit independence and objectivity policies.

Verify corrective actions from previous audits are tracked to closure.

Governance & Compliance

Confirm all financial records are accurate and properly maintained.

Check segregation of duties in financial transactions.

Review procurement and payment approval processes.

Verify that bank reconciliations are performed regularly.

Ensure petty cash controls and limits are followed.

Confirm compliance with accounting standards (e.g., IFRS, GAAP).

Review fixed asset registers and depreciation schedules.

Check that financial reports are reviewed and signed by authorized personnel.

Ensure budgets are prepared, approved, and monitored.

Review procedures for detecting and reporting financial irregularities.

Financial Management

Verify that employee files contain complete and current documentation.

Ensure recruitment and selection follow approved procedures.

Check that new hires undergo orientation and safety training.

Review performance appraisal and promotion processes.

Confirm payroll calculations and deductions are accurate.

Verify statutory remittances (taxes, social security, etc.) are timely.

Ensure disciplinary procedures are fair and documented.

Review employee exit and clearance procedures.

Check staff training and development records.

Confirm confidentiality and data protection compliance for employee information.

Human Resources & Payroll

Check standard operating procedures (SOPs) for all key activities.

Verify calibration and maintenance of production equipment.

Ensure raw material inventory records are accurate.

Review product quality control and testing procedures.

Check efficiency and downtime tracking logs.

Verify traceability of materials and products.

Review waste management and process improvement initiatives.

Confirm compliance with health and safety standards in production areas.

Ensure capacity utilization reports are maintained.

Review corrective and preventive actions related to production defects.

Operations & Production

Verify IT policies for security, access, and data protection.

Ensure backups are scheduled, tested, and stored securely.

Check antivirus and endpoint protection systems are up to date.

Review access control lists and user permissions.

Confirm incident and breach logs are maintained.

Check system uptime, performance monitoring, and service logs.

Review disaster recovery and business continuity plans.

Ensure password management policies are enforced.

Confirm secure disposal of obsolete IT assets and data.

Information Technology (IT)

Verify compliance with ISO 9001 or equivalent standards.

Review document control and version management practices.

Check internal audit schedules and reports.

Ensure management reviews are conducted as planned.

Review nonconformance and corrective action tracking.

Confirm supplier evaluation and approval procedures.

Verify customer feedback and complaint resolution logs.

Check training records for quality awareness.

Ensure product specifications and quality plans are followed.

Validate continuous improvement initiatives and KPIs.

Quality Management

Verify existence and implementation of HSE policies.

Review workplace risk assessments and hazard controls.

Check availability and inspection of PPE.

Ensure emergency response and evacuation plans are tested.

Review incident reporting and investigation records.

Verify fire safety equipment is regularly inspected.

Confirm waste disposal and environmental controls are in place.

Check training and toolbox talk attendance records.

Ensure chemical handling and storage comply with safety standards.

Review compliance with local occupational safety regulations.

Health, Safety & Environment (HSE)

Verify approved supplier lists are maintained.

Review purchase requisition and approval workflow.

Check supplier evaluations and performance assessments.

Confirm contracts and terms are properly documented.

Ensure goods received are checked against purchase orders.

Verify storage and inventory management procedures.

Check for obsolete or slow-moving inventory.

Audit Checklists

ISO 9001:2015 Audit Checklist for QMS Compliance

Complete Internal Audit Process and Compliance Guide

Ultimate Financial Audit Checklist: Save Time & Avoid Errors

Website Audit Checklist: Technical, SEO & Content Review

HR Audit Checklist for Compliance & Efficiency

5S Audit Checklist for Workplace Safety and Quality