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Internal Audit Checklist: Section I
Internal Audit Checklist: Section I
Section I
Step – 1 Upon receiving the audit assignment from the CMCSS PRM Office contact the assigned department representative
to schedule audit time(s) to meet with the department leadership. In the space provided below record the information.
Department
Contact Name Title________________________________
Information
Meeting Date Time Location Bldg. Room #
information
Step – 2 When scheduling the audit time with the department representative, request a copy of the department’s
organizational chart (may be on the web) and measurable objectives (PRM-M001, Attachment B).
Step – 3 Prior to performing the audit locate the department’s documentation located on the CMCSS website
http://www.cmcss.net/iso/main.asp
• Choose which document(s) you plan on auditing, record the document number, title, and date in the space provided
below.
• Does the documentation you have chosen to audit contain the elements as prescribed by ISO 9001:2000 4.2.3?
_____________________________________________________________________________
• During the audit, review the chosen procedures with the appropriate staff member. Have them walk you through the
procedure/process. Record staff members name(s) in section 3, page 10 of 12.
Step – 4 Review the measurable objectives (PRM-M001, Attachment B). (Refer to section 2, question 3, page 3 of 12)
Step – 5 Review the organizational chart and define the area(s) of Senior Leadership Team (SLT), Management/Supervisor,
and Staff within the scope of audit that you would like to examine. Record the names of the leadership under Step 8, page 2
of 12, and record the names of the management under Step 9, page 2 of 12. During the course of the audit, randomly select
three staff members, record their names in Section 3, page 11 of 12, and ask each staff member questions 22.1 through 22.5.
Step – 6 Review the department’s previous audits, both internal and external. (These files are located in the PRM office) N/A
_____________________________________________________________________________
Step – 7 There are three areas in the organization that must be examined, Leadership (L1), Management/Supervisor (M2),
and Staff (S3).
Step – 8 All 21 questions provided in this checklist, must be asked of the Leadership (L1). Record name(s) of the leadership
representative you spoke with in the space provided.
NOTE: Inform the leadership representative of the area(s) you plan on visiting during the audit and request to meet with the
appropriate manager/supervisor(s).
Step – 9 Management/Supervisor (M2) must be asked questions 1-5. In addition, you may select any of the remaining
questions in this checklist. Ensure there is sufficient evidence of communication and information flow among Leadership (L1)
and Management/Supervisor (M2).
NOTE: Inform the manager/supervisor of the areas you plan on visiting during the audit and request to meet with the
appropriate staff member(s) who can walk you through the procedures/process you have chosen to audit. Record staff names
and their responses on page 11 and 10 of 12.
Step - 10 Upon completion of the audit, if you have not completed the Audit Summary, inform L1 representative that the audit
summary will be provided to them within 2-3 business days. In addition, conduct a closing meeting with leadership and
provide feedback concerning the audit.
Step – 11 Upon completion of the audit summary provide the original to the PRM Coordinator, and a copy to the department
leadership.
L1 = SLT M2 = Management/Supervisor S3 = Staff Y = Yes N = No OFI = Opportunity for Improvement N-C = Non-Conformance
Notes:
Notes:
Notes:
Notes:
Notes:
Notes:
Notes:
L1 = SLT M2 = Management/Supervisor S3 = Staff Y = Yes N = No OFI = Opportunity for Improvement N-C = Non-Conformance
Notes:
Notes:
Notes:
L1 = SLT M2 = Management/Supervisor S3 = Staff Y = Yes N = No OFI = Opportunity for Improvement N-C = Non-Conformance
Notes:
Record the document title, location, and any other information that identifies the document in the space provided.
Notes:
Notes:
L1 = SLT M2 = Management/Supervisor S3 = Staff Y = Yes N = No OFI = Opportunity for Improvement N-C = Non-Conformance
L1 = Leadership M2 = Management/Supervisor S3 = Staff Yes = Yes OFI = Opportunity for Improvement N-C = Non-Conformance
Notes:
Notes:
Notes:
Notes:
L1 = SLT M2 = Management/Supervisor S3 = Staff Y = Yes N = No OFI = Opportunity for Improvement N-C = Non-Conformance
Notes:
Notes:
L1 Y OFI N-C • Records needed to provide evidence that the product/service development
process and resulting product/service meet requirements of the organizations
M2 Y OFI N-C
management system.
• Review chosen procedures with the appropriate staff member. (Have them walk you through the procedure) Record
staff members name(s) below.
Title: ________________________________________________________________________
Notes:
_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________
Title: __________________________________________________________________________
Notes:
________________________________________________________________________
________________________________________________________________________
Title: __________________________________________________________________________
Notes:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
25. Internal Audit Report (PRM-F108) completed and submitted: Date: __________________
Team Lead (printed)
Notes:
Revision History:
Date: Rev: Description of Revision:
8/12/08 Initial Release
11/11/08 A Add space for Audit Number on page one