ISO 9001 Auditor/Lead Auditor

This self evaluation checklist has been prepared for you following your implementation of ISO 9001 in your organisation. The checklist identifies the core objectives and the key elements discussed during the implementation as a checklist to aid your continuing development within your workplace.

By working systematically through the checklist, you will be able to identify any potential improvement needs regarding your ISO 9001 auditing. Simply record your response to each question as an aid to memory to assist with your audits.

The Quality Management System (QMS)

Question Notes 1 Have all of the business processes been identified and

developed to demonstrate interaction?

2 Has the scope of the management system been identified and documented, including any justification for exclusions from clause 7?

3 Has management commitment been demonstrated and has a policy been prepared and communicated?

5 Have all of the documentation requirements of ISO 9001 been identified and prepared?

6 Have resources been identified and applied?

7 Have responsibilities been identified for all necessary staff?

8 Have specific customer needs been identified and processes developed to meet their needs?

9 Have monitoring and measurement activities been identified and applied?

Auditing the QMS

Question Notes 1 Has a documented procedure been prepared for audits

of the QMS?

2 Have the core competencies for auditor(s) been identified? Have they been trained/developed?

3 Have the core responsibilities for auditor(s) been identified? Have they been communicated?

4 Has a schedule of audits been developed, including areas of QMS status and importance?

5 Have specific audit objectives and the scopes of individual audits been defined and allocated to auditors?

6 Has all audit criteria been identified including customer related needs?

7 Has a checklist of questions been prepared for the individual audits, including opening and closing meetings?

8 Have the necessary documents been developed for the audits, i.e. reports and forms?

9 Has the classification of findings been identified, i.e. nonconformity, observation, etc?

10 Have the reporting methods and reporting mechanism been identified, i.e. reports?

11 Have corrective action procedures following audit findings been prepared and implemented?

12 Has the need for follow-up audits been identified and implemented to the schedule?

13 Has the need for continual improvement of the audit process and the QMS been identified?

14 Are the results of audits being discussed at management level during a management review?