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ISO 9001:2015 Audit Checklist

College of Engineering, Visayas State University

Internal
Audit
Checklist
College of Engineering, Visayas
State University

Document Ref: Page 2 of 7

 ISO 9001:2015 Audit Checklist
College of Engineering, Visayas State University

Audit Checklist Part 1

Section 4.0 Context of the Organization
Audit Findings Opportunities for
Audit Evidence
(Mark with X) Improvement (OFI)

COMPLIANT

MAJOR N/C
MINOR N/C
Clause Ref Audit Question

OFI
Provide reference to documented Provide suggestions for
information to justify the finding process improvement

Has your organization determined external and internal

issues relevant to its purpose and its strategic direction
4.1 1
that affect its ability to achieve the intended result(s) of
its QMS?

Does your organization monitor and review information

4.1 2
about these external and internal issues?

Does the organisation determine the interested parties

4.2 3
that are relevant to the QMS?

Does the organisation determine the requirements of

4.2 4
these interested parties that are relevant to the QMS?

Does your organization monitor and review information

4.2 5 about these interested parties and their relevant
requirements?

Document Ref: Page 3 of 7

 ISO 9001:2015 Audit Checklist
College of Engineering, Visayas State University

Audit Findings Opportunities for

Audit Evidence
(Mark with X) Improvement (OFI)

COMPLIANT

MAJOR N/C
MINOR N/C
Clause Ref Audit Question

OFI
Provide reference to documented Provide suggestions for
information to justify the finding process improvement

Does your organization determine the boundaries and

4.3 6
applicability of the QMS to establish its scope?

When determining this scope, has your organization

4.3 7 considered the external and internal issues referred to
in 4.1?

When determining this scope, has your organization

4.3 8 considered the requirements of relevant interested
parties referred to in 4.2?

When determining this scope, has your organization

4.3 9 considered the products and services of your
organization?

Has your organization applied all the requirements of

4.3 10 this International Standard if they are applicable within
the determined scope of its QMS?

Is the scope of your organizations QMS available and

4.3 11
maintained as documented information? (See 7.5.1a)

Document Ref: Page 4 of 7

 ISO 9001:2015 Audit Checklist
College of Engineering, Visayas State University

Audit Findings Opportunities for

Audit Evidence
(Mark with X) Improvement (OFI)

COMPLIANT

MAJOR N/C
MINOR N/C
Clause Ref Audit Question

OFI
Provide reference to documented Provide suggestions for
information to justify the finding process improvement

Does the scope state the types of products and

services covered, and provide justification for any
4.3 12 requirement of this International Standard that your
organization determines is not applicable to the scope
of its QMS?

Has your organization established, implemented,

maintained and continually improved a QMS, including
4.4.1 13 the processes needed and their interactions, in
accordance with the requirements of this International
Standard?

Has your organization determined the processes

4.4.1 14 needed for the QMS and their application throughout
your organization?

Has your organization determined the inputs required

4.4.1 15 and the outputs expected from these processes (See
4.4)?

Has your organization determined the sequence and

4.4.1 16
interaction of these processes; (See 4.4)?

Document Ref: Page 5 of 7

 ISO 9001:2015 Audit Checklist
College of Engineering, Visayas State University

Audit Findings Opportunities for

Audit Evidence
(Mark with X) Improvement (OFI)

COMPLIANT

MAJOR N/C
MINOR N/C
Clause Ref Audit Question

OFI
Provide reference to documented Provide suggestions for
information to justify the finding process improvement

Has your organization determined and applied the

criteria and methods (including monitoring,
4.4.1 17 measurements and related performance indicators)
needed to ensure the effective operation and control of
these processes; (See 9.0)?

Has your organization determined the resources

4.4.1 18 needed for these processes and ensure their
availability; (See 7.1)?

Has your organization assigned responsibilities and

4.4.1 19
authorities for these processes; (See 5.3)?

Has your organization addressed the risks and

4.4.1 20 opportunities as determined in accordance with the
requirements of 6.1?

Has your organization evaluated these processes and

4.4.1 21 implement any changes needed to ensure that these
processes achieve their intended results?

Does your organization improve the processes and the

4.4.1 22
QMS as per the requirements of 10?

Document Ref: Page 6 of 7

 ISO 9001:2015 Audit Checklist
College of Engineering, Visayas State University

Audit Findings Opportunities for

Audit Evidence
(Mark with X) Improvement (OFI)

COMPLIANT

MAJOR N/C
MINOR N/C
Clause Ref Audit Question

OFI
Provide reference to documented Provide suggestions for
information to justify the finding process improvement

To the extent necessary, does your organization

4.4.2 23 maintain documented information to support the
operation of its processes? (See 7.5.1b)

To the extent necessary, does your organization retain

documented information to have confidence that the
4.4.2 24
processes are being carried out as planned? (See
7.5.1b)

Document Ref: Page 7 of 7