Internal Audit Checklist (Draft)

ISO 9001:2015 & 14001:2015

As discussed during URS training session

Section A – Common areas - QMS

 Quality Policy – availability awareness

 Quality objectives
 SOPs availability
 Storage, indexing, retention of records
 Legal requirements
 TNA & related training records/ competency
 Customer requirement
 Previous audit findings
 Quality risk assessment
 Process approach & implementation (KPIs development and implementation)
 Knowledge management and understanding
 Organogram and job description
 Management of change
 Infrastructure and working environment
 Calibration of equipment (where applicable)
 Identification & traceability
 Improvement initiatives

Sec B – Common Areas – EMS

 Context and interested parties

 E Policy – availability awareness
 E objectives
 SOPs availability
 Storage, indexing, retention of records
 Legal requirements
 TNA & related training records / competency
 Previous audit findings
 Risk assessment and Aspect Impact Analysis
 Organogram and job description
 Improvement initiatives
 Monitoring and Measurement
 Emergency Preparedness

Sec C - Specific to Deptt – Stores (For example)

 Department Specific Requirements – Storage (For example)

 The FIFO (First In, First Out) method of inventory management is used?
 Are all materials placed on specified place, location identification trackable
through system?
 Are required stacking heights and distance from walls maintained?
  Are required storage conditions being maintained and monitored e.g.
temperature, humidity, ventilation e.t.c
 In general housekeeping is up to the mark?
 Physical condition of items appears ok?
 Are physical assessment records for stock available?
 Are areas specified for handling and segregation of rejected/expired items?
 Are used parts, junk material / scrap are being discarded properly?
 Chemicals are clearly labeled and stored away from other materials, any
arrangements for spill control?
 In general housekeeping is up to the mark?
 (Any other queries may be listed)

Sec D - Process Approach based audit

(Select one or more processes of a department for detailed audit using process approach and
risk based thinking)

Check if

 Inputs and outputs determined

 Process steps described in the form of SOP and / or Process Flow
 Resources, Responsibilities and Authorities documented
 Process Control Parameters specified
 Key Performance Indicators (KPIs) developed, acceptable limits are defined and
monitored
 Risk identified and their controls established as a result of formal risk assessment
 Process is validated on regular intervals and improvement opportunities identified

Completed.