ISO 9001 Audit Checklist Template in Excel

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Guide to Creating an Audit Checklist for ISO 9001 in Excel with a Free Template Included

In this post, you will find a comprehensive guide to creating the ISO 9001 Audit Checklist in Excel. We have also included a free template for the ISO 9001 Audit Checklist in Excel format to prompt your work. You can change, update or customize the template as you wish.

Important Columns for ISO 9001 Audit Checklist

1. Audit Area: The specific area or process being evaluated.
2. Criteria/Requirements: The specific ISO 9001 standard or requirement related to the audit area.
3. Evidence/Documentation: Space to record the evidence or documentation reviewed.
4. Audit Findings: Notes from the audit, identifying compliance or non-compliance.
5. Non-conformity: If a non-conformity is found, it will be recorded here.
6. Corrective Actions: Action required to address any non-conformity.
7. Responsible Person: The person responsible for implementing corrective actions.
8. Completion Date: Date by which corrective actions must be completed.
9. Status: The status of corrective actions (e.g., Pending, In Progress, Completed).

Template Example for ISO 9001 Audit Checklist

Audit Area	Criteria/Requirements	Evidence/Documentation	Audit Findings	Non-conformity	Corrective Actions	Responsible Person	Completion Date	Status
Quality Management System	QMS documentation and effectiveness (Clause 4)	Quality Manual, Procedures, Records	Procedures not updated according to new policy	Yes	Review and update procedures	John Doe	15/01/2024	Pending
Leadership and Management	Management commitment to quality (Clause 5)	Management Review Minutes, Policies	Management review not conducted for the last quarter	Yes	Schedule management review meeting	Jane Smith	10/01/2024	Pending
Customer Satisfaction	Customer feedback and complaints (Clause 8)	Customer surveys, Feedback forms	No customer surveys conducted in the last 6 months	Yes	Conduct customer surveys	Michael Brown	20/01/2024	Pending
Document Control	Control of documents and records (Clause 7.5)	Document Control Register, SOPs	Some documents are not listed in the register	Yes	Update document control register	Sarah White	30/01/2024	Pending
Process Performance	Monitoring and measuring process performance (Clause 9.1)	Process Data, Performance Reports	No regular monitoring of key process indicators	Yes	Implement regular monitoring	Robert Lee	25/01/2024	Pending
Internal Audits	Conducting internal audits (Clause 9.2)	Internal Audit Reports, Audit Records	Internal audit plan for this year not prepared	Yes	Prepare internal audit plan	Emily Davis	10/02/2024	Pending
Corrective Actions	Corrective actions and root cause analysis (Clause 10.2)	Corrective Action Records, Root Cause Analysis	Root cause analysis not performed for all issues	Yes	Perform root cause analysis and document	David Lee	15/02/2024	Pending

Instructions to Create the Template in Excel

1. Column Titles: Set up your Excel spreadsheet with the column titles mentioned above (Audit Area, Criteria/Requirements, etc.).

2. Rows: For each audit area or process in your organization, create a row with the relevant details. You may have multiple rows depending on the complexity and number of processes you are auditing.

3. Formatting:

   • Use filters in Excel to easily sort and search for different categories.
   • Colour code rows or use conditional formatting to highlight areas that need attention (e.g., non-compliance).
   • Add drop-down lists for columns like "Status" to track whether actions are "Pending," "In Progress," or "Completed."

4. Data Validation: In the "Status" column, you can use Data Validation to create a drop-down list of statuses like "Pending," "In Progress," and "Completed."

5. Progress Tracking: Add a column to track the progress of corrective actions. This will help monitor the implementation and ensure that everything is completed on time.

How to Use the ISO 9001 Audit Checklist Template

1. Pre-Audit: Before conducting the audit, fill in the "Audit Area" and "Criteria/Requirements" columns based on ISO 9001 standards.

2. Audit Execution: During the audit, use the "Evidence/Documentation" column to note all the relevant documents or records reviewed. In the "Audit Findings" column, summarize what you observed or any discrepancies.

3. Post-Audit: After the audit, use the "Non-conformity" and "Corrective Actions" columns to address areas of non-compliance and plan actions to resolve them. Assign responsibilities and set deadlines for corrective actions.

Download Free ISO 9001 Audit Checklist Template in Excel

To ensure a smooth download experience, we recommend using a desktop. Mobile devices may have limitations when downloading the file.

ISO-9001-Audit-Checklist.xlsx File 8.00KB .xlsx

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