This checklist checks how planned changes are assessed, approved and communicated, and how unintended changes are dealt with.
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 planning changes and internal auditing:
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Management of Change Audit Checklist Template
A process audit checklist for auditing the management of change, covering planned changes to the organisation and the management system, unintended changes, and changes to customer requirements. 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 change is managed, and whether risks are assessed when a change is planned
- Whether planned changes to the management system consider their purpose and possible consequences, the integrity of the system, resources, responsibilities, communication and how results will be monitored
- Whether planned changes are documented and approved
- Whether unintended changes are reviewed and action taken to reduce any adverse effects
- What happens when customer requirements change, including where part of the order is already made or development has started
- How changes are communicated so everyone works to the latest specification
Carrying Out the Audit
Take a recent change and follow it through from the decision to make it, to the review of risks, approval and communication, then check with the people affected that they knew about it. A change to a customer order part way through is a good second sample.
Planning the Audit
Have the change review records to hand, and ask beforehand which recent changes affected the management system and which affected customer orders, so a sample of each can be chosen.
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
Changes made without review, approval or communication are raised as actions, and a pattern of unplanned changes is worth taking to management review.
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