ISO 9001 Internal Checklist Template for Quality Management System: A Comprehensive Overview

by Sneha Naskar

A list of procedures that are performed to assess the assets and vulnerabilities of an organization. The list includes information such as the date, the time and the location of each item. Anyone who wants to check their work or ensure that they follow the correct procedure can use an internal checklist template. This article aims to explain in detail what an internal audit check list entails, so that you can use it efficiently within your organization.

You can also use it to verify compliance with other standards, regulations and requirements. A checklist can help you comply with the rules set forth by your company, industry, and government. It will prevent any fines or sanctions due to non-compliance.


A checklist for internal audits is usually divided into the following sections.

You can conduct security control assessments, IT audits, and physical inspections. There are also IT audits, physical inspections and security control assessments. This is done to make sure that nothing is missed when conducting an internal audit.

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Why Conduct an Internal Audit

Internal audits can have many advantages, such as increased revenue and better compliance. Here are some reasons to consider:

  • They reduce the risk that regulations and laws will not be followed.
  • You may be able to uncover potential risks that can lead to legal action or losses from your customers or other stakeholders.
  • These are also a great way to identify inefficiencies within the operation that can be addressed.
  • Internal audits improve organizational learning by allowing employees to share best practices.

Checklist for Internal Audit

Internal audits examine an organization's operations, systems, and business processes to determine the effectiveness of risk-management and control activities. Internal audits can be classified in two categories:

1. A supplier audit checklist :

A supplier audit check list is a document listing all the items you should be checking when conducting a supplier audit. This document is essential before beginning an audit. It will ensure that all details are covered and nothing is overlooked.

Below is an example of a supply audit checklist.

  • Check the company policy for compliance
  • Document any discrepancies or non-compliances found during an inspection
  • Verify the documentation provided by the supplier.
  • Check out the quality system of your supplier.
  • Inspection of the facility and equipment
  • Check the safety program of the supplier
  • Conduct a product inspection
  • Make sure that the supplier has a security plan in place.
  • Assess the business continuity plan of the supplier

2. Process Audit List

The Process Audit Checklist can be used to assess your business processes, and identify areas that need improvement. This checklist will allow you to identify your company's strengths and weaknesses, which you can use as a guideline for future improvements. A process audit is usually performed by an outsider who has no stake in the success or failure of the company.

A Checklist that contains all the steps required to perform this type Audit, including:

  • Define the process objectives
  • Identify inputs and outputs
  • Inputs and outputs are mapped
  • Calculate process times
  • Validate the flow of the process
  • Identify areas for improvement.

First, you must define your goals and map out the objectives of this audit. What types of issues do you believe exist in your company? There may be obstacles between the input and output such as software or resource issues. Do some high-level mapping before you dive into mapping the steps involved in performing your process (Step #'s: Identify outputs and outputs, Map inputs to outcomes, Determine process times, Validate Process Flow). Make a list of areas that can be improved.

Internal audit Checklist Process:

1. Scheduling Audits :

Internal auditors have the responsibility of identifying and assessing any risks that could directly affect the achievement or objectives. We will cover the various types of auditing processes you might encounter.

The Internal audit plan includes the Audit as one of its most important tasks. Scheduling the Audit is a complex process that can be difficult to manage without a system or procedure. The first step in preparing for an audit is to determine what needs auditing and when. You will then need to determine if there are any obstacles that prevent an audit from taking place at the time you have identified.

Then, you'll need to determine how much time each part of the audit will take and what resources are required (staff and equipment), as well as costs. You'll also want to take into account factors such as cost-effectiveness, convenience and the best date for everyone.

2. Step by Step Planning of Internal Audit

Internal Audit Planning is a crucial step in the audit process. It helps the auditor to review all aspects of their work and plan their schedule accordingly.

The planning should include:

  • Reviewing Audit Objective
  • Examining the Responsibility of Internal Auditing Activities
  • Determining the scope of work (Audit objectives)
  • Establishing Audit Program
  • Determining the testing procedures to be used in the audit.

The Life Cycle of Internal Audit includes the following stages:

Preparation stage
This is the time when the planning of internal audits takes place. For example, an organization will develop its plan for Risk Management or other activities that are related to their objectives. This may include developing controls for new systems within an organization, etc.

The planning process involves the following steps:
Setting Objectives
b) Analysis of Responsibility & Assignment
c) Scope Identification/Definition
Preparation of a calendar / Development of a schedule (Timeline with Milestones). Com

3. Choosing Auditors:

  • Internal auditors have the responsibility of verifying that financial reports are accurate and reliable, as well as identifying any fraud or illegal activities within an organization. They are also consultants to the management, helping them develop policies and procedures which promote good governance and comply with regulatory requirements.
  • Internal auditors must be familiar with accounting principles and laws that pertain to their specific area of responsibility. This includes federal taxation, international finance, pension plans, insurance regulations, food safety inspection guidelines, etc.
  • The audit plan is an important document that specifies objectives, scope, the risks identified by auditors, the audit method used (internal, or external), as well as other aspects, such timings, for each audit activity.
  • To ensure they do their job, auditors should be familiar with the business risks of an organization, its industry practices and other factors.
  • Auditing firms can also offer other services, like advisory services or consulting for management problems.

4. Reports :

The reports in an Internal Audit Plan are vital to the auditing process. These reports are used to give information about the financial and non-financial performances of an organization, as well as its risk exposures and weaknesses in internal controls. The reports include the following financial statements:

Key Financial Statements

  • Management Discussion and Analysis
  • Audit Committee Report
  • Comprehensive Financial Statements (CFS)

The Income Statement, the Balance Sheet and the Cash Flow statement are considered to be Key Financial Statements. These statements provide a summary of a company's financial performance over a certain period. The Income Statement shows the amount of money earned and expenses incurred during the specified period. The Balance Sheet displays the assets, liabilities and equity of an organization.

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