Internal audit checklist
Checklist template
Check this template against your local regulations and your own policies before you use it.
- Business
- Location
- Date
Internal audit
For each audit of one area, site or process
| Done | Task | Notes | Initials |
|---|---|---|---|
| Plan | |||
| Agree the area, process or site being audited, and the date, with its manager | |||
| List the criteria, such as the policies, procedures, obligations and standards it's checked against | |||
| Read the previous audit report and any open corrective actions for the area | |||
| Check you don't work in the area or audit your own work | |||
| Documents | |||
| The policies and procedures for the area are the current approved versionsVersion and review date match the document register, and no out-of-date copies are in use. | |||
| Every document has an owner and a review date that hasn't passed | |||
| Staff can find the current version when asked | |||
| Records | |||
| Sample at least five records the procedure produces, such as checklists, logs or files | |||
| Records are complete, dated and signed or approved as the procedure says | |||
| Records are stored where the retention schedule says, and access is limited to those who need it | |||
| People and training | |||
| Each person doing the work has the training and licenses the training matrix says their role needs | |||
| Training and licenses aren't expired | |||
| Ask two or three people to explain how they do the task, and compare it with the procedure | |||
| The work | |||
| Watch the task being done and compare it with each step of the procedure | |||
| Equipment and safety controls named in the procedure are in place and working | |||
| Incidents, complaints and near misses in the area were reported and followed up | |||
| Previous findings | |||
| Each action from the last audit is closed, with evidence it worked | |||
| No finding from the last audit has come back | |||
| Findings and close | |||
| Grade each finding as a major or minor nonconformity, an observation or good practice, with its evidence | |||
| Go through the findings with the area manager and agree they're accurate | |||
| Add each nonconformity to the corrective action register with an owner and due date | |||
| Write the audit report within a week and send it to the area manager and owner | |||
- Completed by
- Checked by (manager)
- Date
- Notes
