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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
Opportunities
Audit Findings for
Audit Evidence
(Score 1 per box) Improvement
Claus Re (OFI)
Audit Question

COMPLIANT
e f

MINOR N/C

MAJOR N/C
OFI
Provide suggestions
Provide reference to documented
for process
information to justify the finding
improvement
Has your organization determined external and
internal issues relevant to its purpose and its
4.1 1
strategic direction that affect its ability to
achieve the intended result(s) of its QMS?

Does your organization monitor and review

4.1 2 information about these external and internal
issues?

Does the organisation determine the interested

4.2 3
parties that are relevant to the QMS?

Does the organisation determine the

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

Document Ref: Page 3 of 7

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

Opportunities
Audit Findings for
Audit Evidence
(Score 1 per box) Improvement
Claus Re (OFI)
Audit Question

COMPLIANT
e f

MINOR N/C

MAJOR N/C
OFI
Provide suggestions
Provide reference to documented
for process
information to justify the finding
improvement

Does your organization monitor and review

4.2 5 information about these interested parties and
their relevant requirements?

Does your organization determine the

4.3 6 boundaries and applicability of the QMS to
establish its scope?

When determining this scope, has your

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

When determining this scope, has your

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

When determining this scope, has your

4.3 9 organization considered the products and
services of your organization?

Document Ref: Page 4 of 7

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

Opportunities
Audit Findings for
Audit Evidence
(Score 1 per box) Improvement
Claus Re (OFI)
Audit Question

COMPLIANT
e f

MINOR N/C

MAJOR N/C
OFI
Provide suggestions
Provide reference to documented
for process
information to justify the finding
improvement
Has your organization applied all the
requirements of this International Standard if
4.3 10
they are applicable within the determined scope
of its QMS?
Is the scope of your organizations QMS
4.3 11 available and maintained as documented
information? (See 7.5.1a)

Does the scope state the types of products and

services covered, and provide justification for
4.3 12 any 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 the processes
4.4.1 13
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?

Document Ref: Page 5 of 7

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

Opportunities
Audit Findings for
Audit Evidence
(Score 1 per box) Improvement
Claus Re (OFI)
Audit Question

COMPLIANT
e f

MINOR N/C

MAJOR N/C
OFI
Provide suggestions
Provide reference to documented
for process
information to justify the finding
improvement

Has your organization determined the inputs

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

Has your organization determined the sequence

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

Has your organization determined and applied

the criteria and methods (including monitoring,
measurements and related performance
4.4.1 17
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

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

Document Ref: Page 6 of 7

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

Opportunities
Audit Findings for
Audit Evidence
(Score 1 per box) Improvement
Claus Re (OFI)
Audit Question

COMPLIANT
e f

MINOR N/C

MAJOR N/C
OFI
Provide suggestions
Provide reference to documented
for process
information to justify the finding
improvement

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

Does your organization improve the processes

4.4.1 22
and the QMS as per the requirements of 10?

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

Document Ref: Page 7 of 7