ISO 9001 Audit Preparation Checklist

Confirm scope and processes

Check that the scope identifies included locations, products, services and processes. Any declared non-applicable requirement should be justified and must not affect the ability to provide conforming outputs.

Update context and interested parties

Review internal and external issues and the relevant needs of customers, authorities, workers, suppliers and other interested parties. Be ready to show how this information affects the management system.

Review risks and opportunities

Confirm that risks are assessed using defined criteria, assigned to owners and linked to actions. The auditor will look for consistency between the risk register, objectives and operational controls.

Check objectives and indicators

Each objective should be measurable and have an owner, deadline, resources and follow-up. Prepare trends, results and decisions taken when performance falls below expectations.

Prepare process evidence

Have procedures, work instructions, records, acceptance criteria, supplier controls, inspection results and release evidence readily available.

Close internal-audit findings and nonconformities

Confirm that findings include correction, cause analysis, corrective action and effectiveness verification. Do not close actions merely because a task was completed.

Prepare management review

Ensure management review covers performance, objectives, audits, customer satisfaction, suppliers, resources, risks, changes and improvement opportunities, together with clear decisions and actions.

Related articles