The internal audit is a powerful tool for continuous improvement. When conducted properly, it allows you to identify gaps, prevent problems, and calmly prepare for certification audits. Here is a checklist of the 20 essential points you should never overlook.

Before the Audit: Preparation

1. Define the Scope and Objectives

Which process(es) will you audit?
What requirements need to be verified (standard, regulation, internal)?
What are the specific objectives of this audit?

Key takeaway: An effective audit has clear objectives. “Check the purchasing process” is too vague. “Verify the purchasing process compliance with ISO 9001 clause 8.4” is much more precise.

2. Plan the Audit

Who will be the auditor (or audit team)?
What is the scheduled date and duration?
Who are the auditees to be informed?

Key takeaway: The auditor must not audit their own work. Respect the principle of independence.

3. Review Applicable Documentation

Procedures and operating instructions for the process
Results from previous audits
Current or recent nonconformities
Process performance indicators

4. Prepare the Audit Plan

Sequencing of topics to be covered
Key questions to ask
Documents and records to request
People to interview

During the Audit: Execution

5. Opening Meeting

Presentation of objectives and agenda
Confirmation of auditee availability
Reminder of the confidentiality of findings

Suggested duration: 10-15 minutes max. Get straight to the point.

6. Verify Documentation

Typical questions:

Are documents up to date and approved?
Are they accessible to those who need them?
Are they known and understood by the users?

What to ask: “Show me where you find procedure X”, “What is the latest version?”

7. Observe Practices in the Field

Are activities carried out as described?
Is the equipment suitable and in good condition?
Is the work environment compliant?

What to do: Accompany an operator during their task. Observe without interrupting, then ask your questions.

8. Interview Employees

Typical questions:

“Can you explain to me how you do…?”
“What happens if…?”
“How do you know that…?”

Interview technique: Ask open-ended questions. Listen more than you speak. Rephrase to validate your understanding.

9. Verify Records

Do the required records exist?
Are they complete and legible?
Are they properly stored and protected?

Sampling: Select a few recent records at random. Verify their consistency with the practices observed.

10. Evaluate Nonconformity Management

Are nonconformities identified and recorded?
Are root causes analyzed?
Are corrective actions defined and tracked?
Is effectiveness verified?

11. Check Indicators and Objectives

Are objectives defined and measurable?
Are indicators monitored regularly?
Are deviations subject to corrective actions?

12. Evaluate Competencies

Are required competencies defined?
Are employees trained?
Is training documented?

13. Verify Supplier Management

Are critical suppliers identified?
Are they evaluated and monitored?
Are requirements communicated to them?

14. Verify Internal Communication

Is relevant information communicated?
Is field-level feedback possible?
Is the QHSE policy known?

15. Take Factual Notes

Record facts, not interpretations
Reference evidence (document, person, location)
Distinguish between positive findings and gaps

After the Audit: Closing

16. Closing Meeting

Presentation of findings (positive and gaps)
Clarification of gaps with auditees
Agreement on the understanding of findings
Presentation of next steps

Suggested duration: 20-30 minutes. Be factual and constructive.

17. Write the Audit Report

The report must contain:

Audit scope and objectives
People interviewed
Documents reviewed
Findings (gaps and strengths)
Overall conclusion

Golden rule: One finding = one fact + one requirement + one gap. Be precise and objective.

18. Classify Nonconformities

Major nonconformity: Total absence or failure of a required element
Minor nonconformity: Isolated or partial deviation
Observation: Improvement opportunity without a confirmed gap

19. Distribute the Report

Send the report within the agreed timeframe
Ensure proper receipt
Respond to any questions

20. Follow Up on Corrective Actions

Verify that action plans are defined
Track the progress of actions
Verify the effectiveness of actions (follow-up audit if necessary)

Tips for Being a Good Internal Auditor

Be prepared: An improvised audit is a failed audit
Stay objective: Judge facts, not people
Listen actively: An audit is not an interrogation
Highlight the positive: An audit is not just about hunting for nonconformities
Be constructive: Your goal is to help improve

Audit Grid Template

No.	Question / Verification Point	Requirement Reference	Finding	Evidence	Status
1	Are quality objectives defined?	ISO 9001 - 6.2	…	…	C / NC / NA
2	Are responsibilities defined?	ISO 9001 - 5.3	…	…	C / NC / NA
…	…	…	…	…	…

C = Conforming, NC = Nonconforming, NA = Not Applicable

Conclusion

A well-conducted internal audit is a tremendous lever for improvement. It allows you to step back, identify gaps before they become problems, and demonstrate the maturity of your management system.

This checklist will serve as your guide so you do not miss anything. Adapt it to your context, your reference standards, and your specific challenges.

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