This checklist samples documents against the register, so the auditor can see whether the issue in use is the one that was approved.
Prepared using the F-Q2A Audit Checklist form template.
The file is supplied in fully editable MS Word format and can be easily customised, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:
- Checklist number and title
- Information-classification
- Version
- Page number / total pages
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Further guidance on document control and internal auditing:
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Management of Documented Information Audit Checklist Template
A process audit checklist for auditing the control of documented information: how documents are updated, reviewed and approved, whether the document register matches the documents in use, and how version control works across paper and electronic copies. It is set out on the F-Q2A Audit Checklist format, with the scope, criteria, site, participants, auditor and date recorded at the top, and each question alongside the auditee and the evidence viewed, response and findings.
Questions Covered
- How document updates, reviews and approvals are managed
- Whether the document register matches the versions on the documents in use, checked by sampling from the register
- How version control works where documents are kept both on paper and electronically
- Where they apply, how drawings, specifications, work instructions and training materials are controlled, and whether the correct issue is in use
Carrying Out the Audit
The checklist suggests sampling documents from the register and checking the version on each one, and sampling documents in projects or production to see the correct issue is in use. Starting from a document found in use and tracing it back to the register tests the control from the other direction, and often finds copies that were printed and never withdrawn.
Planning the Audit
Have the current document register to hand and agree which areas the samples will be taken from, such as the office, production or a live project, so the auditor sees documents where they are actually used.
Who Should Carry Out the Audit?
Anyone trained in internal auditing who is independent of the area being audited. The questions are written in plain language, so the checklist also works well for training new internal auditors.
Included in the ISO Toolkits
This checklist is part of the ISO 9001 Toolkit and is also included in the ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them.
Related Documents
Documents that work alongside this checklist:
Part of the Process Audit Checklists
This is one of the alphaZ process audit checklists, each covering a single area of the management system, so audits can be spread across the year using the ER11 Audit Schedule. The completed checklist becomes the record of the audit, and the results can be written up using the F-Q31 Audit Report.
Adapting the Checklist
The questions can be edited, added to or removed to suit the way the organisation works, and the scope and criteria at the top changed to match the area being audited. Because every alphaZ audit checklist uses the same F-Q2A layout, audit records look the same whichever area was audited, which makes them easier to review and compare.
Using the Findings
Out of date documents found in use are withdrawn and the cause looked at, whether that is the approval step, the way updates are communicated or uncontrolled copies, and actions are followed up through corrective action.
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