HFORM08: Internal Audit Checklist¶
Form Reference: HFORM08 Version: 1.0 Classification: CRGI Information Form Owner: Sean Ashton, Operations Manager Purpose: Comprehensive internal audit checklist for assessing conformance to ISO 9001:2015, ISO 14001:2015, and ISO 45001:2018 requirements. Captures audit scope, methodology, findings, and corrective actions.
Document Control¶
| Version | Date | Author | Changes |
|---|---|---|---|
| 1.0 | 10/03/2026 | Sean Ashton | Initial creation |
1. Audit Identification¶
| Field | Details |
|---|---|
| Audit Reference | IA-______-______ |
| Audit Date | ________________ |
| Audit Type | ☐ Scheduled ☐ Surveillance Prep ☐ Follow-up ☐ Special |
| Lead Auditor | ________________ |
| Auditee/Function | ________________ |
| Audit Location | ☐ Virtual (Teams) ☐ Remote Desktop Review ☐ Site Visit |
| Planned Duration (hours) | ________________ |
| Actual Duration (hours) | ________________ |
2. Audit Scope & Objectives¶
Audit Scope (ISO Clauses):
☐ Clause 4 – Context of the Organisation ☐ Clause 5 – Leadership ☐ Clause 6 – Planning ☐ Clause 7 – Support ☐ Clause 8 – Operation ☐ Clause 9 – Performance Evaluation ☐ Clause 10 – Improvement
Standards Covered:
☐ ISO 9001:2015 (Quality Management) ☐ ISO 14001:2015 (Environmental Management) ☐ ISO 45001:2018 (Occupational Health & Safety)
Audit Objectives:
3. Audit Methodology¶
Methods Used:
☐ Document Review ☐ System Interviews ☐ Process Observation ☐ Records Examination ☐ Sampling & Testing ☐ Remote System Access Review ☐ Client Site Observation
Audit Sampling Basis:
4. Summary of Findings¶
Overall Compliance Rating¶
| Standard | Rating | Comments |
|---|---|---|
| ISO 9001:2015 | ☐ Fully Compliant ☐ Largely Compliant ☐ Partially Compliant ☐ Non-Compliant |
________________ |
| ISO 14001:2015 | ☐ Fully Compliant ☐ Largely Compliant ☐ Partially Compliant ☐ Non-Compliant |
________________ |
| ISO 45001:2018 | ☐ Fully Compliant ☐ Largely Compliant ☐ Partially Compliant ☐ Non-Compliant |
________________ |
Finding Summary Counts¶
| Finding Type | Count |
|---|---|
| Conformances | ____ |
| Observations | ____ |
| Minor Non-Conformances | ____ |
| Major Non-Conformances | ____ |
| Total Findings | ____ |
5. Detailed Findings¶
Finding 1¶
| Field | Details |
|---|---|
| Finding ID | F-____-001 |
| Type | ☐ Conformance ☐ Observation ☐ Minor NC ☐ Major NC |
| ISO Clause | ________________ |
| Requirement | ________________________________________________________________________________ |
| Finding Description | ________________________________________________________________________________ |
| Evidence | ________________________________________________________________________________ |
| Risk/Impact | ☐ Low ☐ Medium ☐ High – Details: ________________________________________________________________ |
| Recommendation | ________________________________________________________________________________ |
Finding 2¶
| Field | Details |
|---|---|
| Finding ID | F-____-002 |
| Type | ☐ Conformance ☐ Observation ☐ Minor NC ☐ Major NC |
| ISO Clause | ________________ |
| Requirement | ________________________________________________________________________________ |
| Finding Description | ________________________________________________________________________________ |
| Evidence | ________________________________________________________________________________ |
| Risk/Impact | ☐ Low ☐ Medium ☐ High – Details: ________________________________________________________________ |
| Recommendation | ________________________________________________________________________________ |
Finding 3¶
| Field | Details |
|---|---|
| Finding ID | F-____-003 |
| Type | ☐ Conformance ☐ Observation ☐ Minor NC ☐ Major NC |
| ISO Clause | ________________ |
| Requirement | ________________________________________________________________________________ |
| Finding Description | ________________________________________________________________________________ |
| Evidence | ________________________________________________________________________________ |
| Risk/Impact | ☐ Low ☐ Medium ☐ High – Details: ________________________________________________________________ |
| Recommendation | ________________________________________________________________________________ |
Finding 4¶
| Field | Details |
|---|---|
| Finding ID | F-____-004 |
| Type | ☐ Conformance ☐ Observation ☐ Minor NC ☐ Major NC |
| ISO Clause | ________________ |
| Requirement | ________________________________________________________________________________ |
| Finding Description | ________________________________________________________________________________ |
| Evidence | ________________________________________________________________________________ |
| Risk/Impact | ☐ Low ☐ Medium ☐ High – Details: ________________________________________________________________ |
| Recommendation | ________________________________________________________________________________ |
Finding 5¶
| Field | Details |
|---|---|
| Finding ID | F-____-005 |
| Type | ☐ Conformance ☐ Observation ☐ Minor NC ☐ Major NC |
| ISO Clause | ________________ |
| Requirement | ________________________________________________________________________________ |
| Finding Description | ________________________________________________________________________________ |
| Evidence | ________________________________________________________________________________ |
| Risk/Impact | ☐ Low ☐ Medium ☐ High – Details: ________________________________________________________________ |
| Recommendation | ________________________________________________________________________________ |
Additional Findings: ☐ Yes – Continue on supplementary sheet(s)
6. Strengths Identified¶
7. Improvement Opportunities¶
8. Corrective Actions Required¶
| Finding ID | Type | Description | Responsible | Target Date | Priority |
|---|---|---|---|---|---|
| _______ | ☐ Minor ☐ Major |
________________ | ________________ | __________ | ☐ High ☐ Medium ☐ Low |
| _______ | ☐ Minor ☐ Major |
________________ | ________________ | __________ | ☐ High ☐ Medium ☐ Low |
| _______ | ☐ Minor ☐ Major |
________________ | ________________ | __________ | ☐ High ☐ Medium ☐ Low |
9. Audit Conclusion¶
Overall Assessment:
Auditor Opinion:
Recommendation: ☐ Certification approved
☐ Conditional approval (with actions)
☐ Audit failure
Next Steps & Action Items:
Follow-up Audit Required: ☐ Yes – Planned for __________________
☐ No
10. Distribution¶
Distribute completed audit to: - ☐ Auditee - ☐ Operations Manager - ☐ Management Review - ☐ Certification Body (if external) - ☐ Compliance file (HREG07)
11. Sign-Off¶
| Role | Name | Signature | Date |
|---|---|---|---|
| Lead Auditor | ________________ | ________________ | __________ |
| Auditee/Management | ________________ | ________________ | __________ |
| Operations Manager (Acknowledgment) | ________________ | ________________ | __________ |
12. Supporting Documentation¶
Registers Examined¶
☐ HREG07 – Audit Programme & Reports ☐ HREG08 – Non-Conformances & Corrective Actions ☐ HREG01 – Risk & Opportunity Register ☐ HREG02 – Environmental Register ☐ HREG03 – Health & Safety Incidents
Systems Verified¶
- Quality Management System Documentation: ☐ Yes ☐ No
- Process Controls: ☐ Yes ☐ No
- Records Management: ☐ Yes ☐ No
- Personnel Competence: ☐ Yes ☐ No
- Equipment Maintenance: ☐ Yes ☐ No
Evidence Log¶
| Evidence Ref | Description | Location/File | Examined By | Date |
|---|---|---|---|---|
| E-____-001 | ________________ | ________________ | ________________ | __________ |
| E-____-002 | ________________ | ________________ | ________________ | __________ |
| E-____-003 | ________________ | ________________ | ________________ | __________ |
RETENTION: 7 years (or per client/regulatory requirement) STORAGE: Secure SharePoint site – /HSQEMS/Audits/ ACCESS: Operations Manager, Auditees, Management Review Team CLASSIFICATION: CRGI Information
END OF FORM