ISO 9001:2015 & ISO 14001:2015 Master Integrated Internal Audit Checklist

Assessing for compliance and effectiveness are both essential for determining integrated management system performance. The internal audit checklist will ensure your
Enter one 'x' into Columns G, H or I. Identify and discuss the potential root-Provide a reference to the Note any opportunities for
audits concisely appraise the management system and processes against the requirements and criteria of ISO 9001:2015 and ISO 14001:2015.
Capture OFIs in Column J. cause. Use the drop down menu to procedures, work instructions, improvement or record good Audit Risk The cells below also display whether
Answer questions 1 to 378 to determine conformance and effectiveness. The internal audit findings are collated and summarized in the 'Audit Results Summary' worksheet. Audit Findings select the most appropriate cause of observations, statements, etc. to practices that should be included in Score a response has yet to be entered.
the nonconformity. support EVERY audit finding. the audit report.
Conform Minor NC Major NC OFI
Clause Clause Title Q-No 9001 14001 Requirements/Questions Possible Root-cause Audit Evidence & Notes Opportunities to Improve Status % 0 Entries yet to be entered 0 Errors
Has your organization determined external and internal issues relevant to its purpose and its strategic
4.1 Organizational Context 1 Q E x 100
direction that affect its ability to achieve the intended result(s) of its EQMS management system?

4.1 Organizational Context 2 Q E Does your organization monitor and review information about these external and internal issues? x 75

Does your organization determine the interested parties and workers that are relevant to the EQMS
4.2a Relevant Interested Parties 3 Q E x x 100
management system?
Does your organization determine the requirements of these interested parties and workers that are
Human - Inadequate management
4.2b Relevant Interested Parties 4 Q E relevant to the EQMS management system, which may include regulatory requirements, local, regional or x 100
involvement
global environmental conditions that can affect, or be affected by, your organization?
Does your organization determine which of those requirements are to be managed as a compliance
4.2c Relevant Interested Parties 5 E obligation or legal requirement in order to mitigate adverse risk or exploit beneficial opportunities that x 100
can be integrated into the operational planning of the EQMS management system?
Does your organization determine the boundaries and applicability of the EQMS management system to
4.3 Management System Scope 6 Q E x 100
establish its scope?
When determining this scope, has your organization considered the external and internal issues referred Process - Document or instruction
4.3a Management System Scope 7 Q E x 100
to in 4.1? gap, revision needed
When determining this scope, has your organization considered the requirements of relevant interested
4.3b Management System Scope 8 Q E x 100
parties referred to in 4.2?
When determining this scope, has your organization considered all relevant products, services and work-
4.3c Management System Scope 9 Q E x 100
related activities, functions and physical boundaries to the EQMS management system?
When determining this scope, has your organization considered its activities, products, services and work-
related activities and related product lifecycles, such as:
1. Raw material acquisition;
2. Manufacture;
4.3d Management System Scope 10 E x x 100
3. Packaging/Transport/Delivery;
4. Use;
5. End of life treatment;
6. Final disposal.
When determining this scope, has your organization considered its activities, products and services over
4.3e Management System Scope 11 E x 100
which it has the authority and to exercise control and influence?
Has your organization applied all the requirements of ISO 9001:2015 and ISO 14001:2015 if they are Human - Inadequate management
4.3 Management System Scope 12 Q E x 100
applicable within the determined scope of the EQMS management system? involvement
Does the scope state the types of products and services covered, and provide justification for any
4.3 Management System Scope 13 Q requirement of ISO 9001:2015 that your organization determines is not applicable to the scope of its x x 75
EQMS management system?

When determining scope, has your organization considered and documented its ability and authority to Process - Process gap or dysfunction
4.3 Management System Scope 14 E x 100
control and influence factors relating to external and internal issues? between departments/processes

Is the scope of your organization’s EQMS management system available and maintained as documented
4.3 Management System Scope 15 Q E x 100
information and available to interested parties and workers? (See 7.5.1a)
Has your organization established, implemented, maintained and continually improved its EQMS
4.4 Management System Processes16 Q E management system, including the processes needed and their interactions, in accordance with the x x 100
requirements of ISO 9001:2015 and ISO 14001:2015?
Has your organization has considered the knowledge and information obtained by 4.1 and 4.2 when
4.4 Management System Processes17 E x 100
implementing and operating it EQMS management system?
Has your organization determined the process required for the EQMS management system, including
4.4 Management System Processes18 Q E x 100
their interactions, in accordance with requirements and their application throughout the organization?

4.4.1a Management System Processes19 Q Has your organization determined the inputs required and the outputs expected from these processes? x 100

4.4.1b Management System Processes20 Q Has your organization determined the sequence and interaction of these processes? x 100
Has your organization determined and applied the criteria and methods (including monitoring,
4.4.1c Management System Processes21 Q measurements and related performance indicators) needed to ensure the effective operation and control x Human - Poor employee involvement 100
of these processes?
Has your organization determined the resources needed for these processes and ensure their
4.4.1d Management System Processes22 Q x 100
availability?

4.4.1e Management System Processes23 Q Has your organization assigned responsibilities and authorities for these processes? x 25

Has your organization addressed the risks and opportunities as determined in accordance with the
4.4.1f Management System Processes24 Q x 100
requirements of 6.1?
Has your organization evaluated these processes and implement any changes needed to ensure that
4.4.1g Management System Processes25 Q x 100
these processes achieve their intended results?

4.4.1h Management System Processes26 Q Does your organization improve the processes and the EQMS management system? x 100
To the extent necessary, does your organization maintain documented information to support the
4.4.2a Management System Processes27 Q x x 100
operation of its processes?