Internal Audit Checklist
General Audit Preparation
1. Audit objectives defined (e.g., compliance, improvement).
2. Scope of the audit determined.
3. Audit plan and schedule prepared.
4. Relevant documents and records identified.
ISO 9001: Quality Management System (QMS) Checklist
1. Context of the Organization
- Have internal and external issues been identified and reviewed?
- Are the needs of interested parties documented?
- Is the scope of the QMS clearly defined?
2. Leadership
- Is there evidence of top management’s commitment to the QMS?
- Are the QMS policies and objectives communicated?
- Is the quality policy aligned with the organization’s context and strategy?
3. Planning
- Are risks and opportunities identified and addressed?
- Are quality objectives measurable and aligned with the QMS?
- Is change management effectively implemented?
4. Support
- Are resources sufficient for QMS implementation?
- Is staff competency evaluated and maintained?
- Are relevant documents and records controlled?
5. Operation
- Are processes for product/service delivery controlled?
- Is customer satisfaction monitored and addressed?
- Are nonconformities identified and resolved?
6. Performance Evaluation
- Are internal audits conducted regularly?
- Are management reviews carried out effectively?
- Are key performance indicators (KPIs) analyzed?
7. Improvement
- Are corrective actions taken for nonconformities?
- Are continual improvement efforts evident?
ISO 14001: Environmental Management System (EMS) Checklist
1. Context of the Organization
- Are environmental aspects and impacts identified and reviewed?
- Are compliance obligations documented and updated?
2. Leadership
- Is top management committed to environmental protection?
- Is the environmental policy appropriate and communicated?
3. Planning
- Are risks and opportunities related to the environment addressed?
- Are environmental objectives set and reviewed?
4. Support
- Are resources sufficient for EMS implementation?
- Is environmental awareness and training provided to staff?
5. Operation
- Are controls in place for significant environmental aspects?
- Is emergency preparedness and response tested?
6. Performance Evaluation
- Are environmental KPIs monitored and reviewed?
- Are audits performed to assess EMS effectiveness?
7. Improvement
- Are corrective actions taken for environmental nonconformities?
- Is continual improvement in environmental performance evident?
ISO 45001: Occupational Health & Safety Management System (OHSMS)
Checklist
1. Context of the Organization
- Are occupational health and safety risks assessed and updated?
- Are legal and other requirements identified?
2. Leadership
- Is top management committed to a safe and healthy workplace?
- Is the OH&S policy suitable and communicated?
3. Planning
- Are risks and opportunities addressed, including hazard identification?
- Are OH&S objectives measurable and reviewed?
4. Support
- Are sufficient resources allocated for OHSMS?
- Is staff trained and competent in health and safety?
5. Operation
- Are operational controls in place to manage risks?
- Is emergency preparedness regularly tested?
6. Performance Evaluation
- Are safety KPIs monitored and reported?
- Are internal audits and management reviews conducted?
7. Improvement
- Are incidents investigated and corrective actions taken?
- Is continuous improvement in OH&S evident?
ISO 50001: Energy Management System (EnMS) Checklist
1. Context of the Organization
- Are energy use, consumption, and efficiency factors identified?
- Are compliance obligations for energy management documented?
2. Leadership
- Is management committed to energy performance improvement?
- Is the energy policy appropriate and communicated?
3. Planning
- Is the energy baseline established and reviewed?
- Are energy objectives and targets aligned with the energy policy?
4. Support
- Are resources allocated for effective EnMS operation?
- Are staff trained in energy awareness and conservation?
5. Operation
- Are significant energy uses identified and controlled?
- Are energy efficiency opportunities implemented?
6. Performance Evaluation
- Is energy performance monitored and analyzed?
- Are internal audits conducted to ensure EnMS compliance?
7. Improvement
- Are energy performance improvements documented?
- Is continual improvement in energy management evident?
