This checklist audits how the management system checks itself, from customer feedback and complaints to internal audits and improvement.

Effective Audit Checklists

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

alphaZ documents - beautifully designed, tried and tested audit checklists. No junk, jargon or unnecessary questions. Simple and usable audit checklists developed over 25 years through practical use in the real world.

Further Reading

Further guidance on performance evaluation and internal auditing:

• ISO 9001 Clause 9 - Performance Evaluation
• ISO 9001 Clause 10 - Improvement
• Corrective Action and Audit Follow-up
• Internal Auditing knowledge base

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How to Download

This file is included in the alphaZ subscription. This checklist is also included in the ISO 9001, ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them, so the toolkit route gives you this file plus everything else you need in one download.

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Monitoring, Evaluation and Improvement - Management System Audit Checklist Template

A management system audit checklist for monitoring, evaluation and improvement, covering customer satisfaction, nonconforming outputs, problems and complaints, management system audits and continual improvement. 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.

Areas Covered

• Customer satisfaction - customer focus, awareness, how feedback is collected, negative feedback, and analysis of trends
• Nonconforming outputs, problems and complaints - awareness of how to deal with problems, recording, root cause, control of nonconforming outputs, the effectiveness of corrective action, and updating the risks and opportunities registers
• Management system audits - the audit schedule, completed audits, auditor competence and independence, how evidence is recorded, nonconformities, and review at management review
• Continual improvement - how improvement opportunities are found and taken forward, and the improvements achieved

Carrying Out the Audit

Sample a few complaints and problems and follow them through to root cause and an effective close, then compare the audit schedule with the audits actually completed. Asking a sample of workers how they would deal with a problem, as the checklist suggests, shows whether the process is understood beyond the office.

Planning the Audit

Have the customer feedback records and analysis, the problems and complaints records, the audit schedule and completed checklists, and the record of the last management review to hand.

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:

• F-Q10 Significant Problem / Incident / Complaint Form
• F-IMS51 Customer Complaints Register
• ER5 Customer Feedback Analysis Register
• F-Q16 Improvement Request

Part of the Management System Audit Checklists

This is one of the alphaZ management system audit checklists. The ISO 9001 Management System Audit Checklist covers the whole system in one audit, while the section checklists for Management System Documentation, Leadership, Commitment and Planning, Resource Management and Support, Operational Processes, Monitoring, Evaluation and Improvement and Information Security let the audit be spread across the year using the ER11 Audit Schedule. The results can be written up using the F-Q31 Audit Report.

Using the IMS1 Manual?

Where the management system is built on the alphaZ IMS1 manual, the IMS1 Section 5 Checklist covers the same ground, with each question referenced to its IMS1 section and the alphaZ forms and registers used with it.

Using the Findings

Issues closed without checking the action worked, missed audits or improvements that were never taken forward are raised as findings for the next management review.