The audit checklist: is it for you?

How do you ensure that your audit will, at a minimum, address the requirements as defined by the scope of the audit? Do you consider an audit checklist a useful tool or a time-restraining process? The Auditing Practices Group has developed some advantages and disadvantages of implementing a checklist. Try our self-assessment task in order to determine whether a checklist is for you

Is it necessary?

In clause 6.4.3 of ISO 19011, it is stated that documents, such as a checklist or auditing sampling plans ‘may’ be included in the preparation for conducting an audit. It is also emphasized that ‘the use of checklists and forms should not restrict the extent of audit activities, which can change as a result of information collected during the audit.’

A checklist may be used to ensure that all relevant ISO 9001 requirements are addressed, but it is by no means necessary. Whether a checklist is suitable depends on many factors, including customer needs, time and cost restraints, auditor experience and sector scheme requirements. Auditors should assess the value of the checklist as an aid in audit process.

Why you should

Literature available in the marketplace notes the following with respect to the use of audit checklists:

• when used correctly for a specific audit, checklists can:

promote planning for the audit

ensure a consistent audit approach

act as a sampling plan and time manager

serve as a memory aid

• if an auditor is properly trained in the use of a particular checklist and good questioning techniques, a checklist can be used to obtain maximum information
• checklists should assist an auditor to perform better during the audit process
• checklists help to ensure that an audit is conducted in a systematic and comprehensive manner and that adequate evidence is obtained
• checklists can provide structure and continuity to an audit and can ensure that the audit scope is being followed
• checklists can provide a means of communication and a place to record data for use for future reference
• a completed checklist provides objective evidence that the audit was performed
• a checklist can provide a record that the QMS was examined
• checklists can be used as an information base for planning future audits
• checklists can be provided to the auditee ahead of the on-site audit in order to help preparation

Why you shouldn’t

In contrast, when audit checklists are not available or poorly prepared, the following issues and concerns are noted:

• it can be seen as intimidating to the auditee
• its focus may be too narrow in scope to identify specific problem areas
• they are a tool to aid the auditor, but will be restrictive if used as the auditor’s only support mechanism
• they should not be a substitute for audit planning
• if a checklist is relied on too heavily to guide questions, an inexperienced auditor may not be able to clearly communicate what he or she is looking for
• poorly prepared checklists can slow down an audit due to duplication and repetition
• generic checklists, which do not reflect the specific organizational management system, may not add any value and may interfere with the audit
• narrow-focused checklists minimize unique assessment questions and approach

The ISO 9001 Auditing Practices Group is an informal group of quality management system experts, auditors and practitioners drawn from the ISO Technical Committee 176 quality management and quality assurance (ISO/TC 176) and the International Accreditation Forum. It has developed a number of guidance papers and presentations that contain explanations about the auditing of QMSs. These reflect the process-based approach that is essential for auditing the requirements of ISO 9001.

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