This checklist takes the auditor through issues, interested parties and scope, with space to note the evidence seen against each question.
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 the context of the organisation and internal auditing:
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Context of the Organisation Audit Checklist Template
A process audit checklist for auditing the context of the organisation: the internal and external issues, the interested parties and their requirements, and the scope of the management system. 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
- Internal and external issues relevant to the organisation and its strategic direction, including whether climate change is a relevant issue
- The interested parties, their relevant requirements, and which of those requirements the management system addresses
- How issues and interested party requirements are monitored and reviewed
- How the issues and interested parties were taken into account when setting the scope
- Whether the scope is documented and still appropriate, the products and services it covers, and the justification for any requirement treated as not applicable
Carrying Out the Audit
Several of the questions note how they can be validated, through documented evidence or an interview with top management. Context is set at the top of the organisation, so this audit works best with a director or senior manager taking part, comparing what they describe with the issues, interested parties and scope that are written down. Picking one or two interested parties and following their requirements through to the processes that meet them is a good test of whether the register is being used.
Planning the Audit
Have the current record of internal and external issues, the interested parties register and the scope statement to hand, along with the record of the last management review, where changes in issues and in the needs of interested parties should have been considered.
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.
Using the Findings
Gaps found in the issues, interested parties or scope are raised as actions and followed up through corrective action, and any change in context becomes an input to the next management review.
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