The ISO 9001 Internal Audit Checklist

As an internal auditor, your responsibility is to ensure the quality of processes within a company. This may involve reviewing documentation, interviewing employees and observing how departments function.

Keep detailed notes for every audit trail you review, detailing the process under audit, requirements under scrutiny, who the assigned auditor (to maintain objectivity) is and their schedule of visitation.

1. Processes
As part of any quality audit, it’s essential that you initially assess the processes that form your company’s quality management system (QMS). This may involve reviewing documented procedures as well as any results from previous audits conducted by certification bodies.

Review all corrective actions identified during previous audits and ensure they have been implemented and communicated appropriately.

One of the key aspects of any company is their resources. You must ensure that all necessary resources are available to complete each process, which can often be accomplished using turtle diagrams – often included as part of process descriptions in documents such as ISO standards.

2. Documentation
Documentation is an integral component of business, and serves as proof that your organization meets ISO 9001 requirements. A thorough internal audit will help to ensure that processes are documented effectively, and up-to-date documentation exists.

Documents include quality manuals, flow charts and process narratives. Auditors review these documents during an audit to ensure they are complete and current as well as identify any non-conformances in them.

Once the documents have been reviewed, auditors must ensure all applicable AS9100 standards have been addressed. They must confirm the PPAP process is being followed correctly as well as review quality plans for each department before recording notes on an audit trail and sending them up the chain to management for review.

3. Training
This audit section will concentrate on reviewing the management systems policies and procedures related to training. In particular, they will consider training records, communication, participation and participation rates – making this one of the more essential audit components in terms of ensuring employees possess sufficient skills for their jobs.

Part of this process includes reviewing corrective actions from past audits. This will ensure that issues are properly addressed, communicated and implemented effectively.

This course introduces students to the AS9120 Rev B standard and walks them through an internal audit of a mock company, from planning an audit, conducting opening meetings, reviewing documents and records, holding closing meetings and writing reports – perfect for both newcomers and experienced auditors alike. This training course can help both novice and veteran auditors alike.

4. Personnel
Audit checklists evaluate personnel involved in various processes, including those dealing with health and safety issues. Furthermore, these checks examine how effectively an organization communicates and participates in its management systems.

This checklist verifies whether each process within the company has an assigned process owner and ensures each process has an established procedure for training and competency assessments, including reviewing qualifications and competence of those performing maintenance activities.

The AS9120A to AS9120B Small Business Package Transition Checklist is an indispensable document used by successful AS9120B trained companies around the globe. In conjunction with PPT Training, this document can assist your organization in meeting all AS9120B requirements – start your certification journey today!

5. Management
Management must participate in auditing to ensure their company’s quality system runs efficiently, corrective action plans are created, nonconformities don’t occur again and noncomformities do not reoccur.

Conducting an internal audit can be time consuming and challenging for any company that strives to be successful, yet its presence remains essential in any healthy organization. With the appropriate tools in hand, though, it can become simpler and more effective. With this checklist as your guide for planning an internal audit – document processes, interview employees, inspect evidence, verify quality systems functioning effectively etc – making an internal audit a more manageable and effective task! Downloadable as both PDF or online form!