Comprehensive internal audit checklist for the departments of Petroleum Institute Effurun,

tailored to assess compliance with the ISO 9001:2015 Quality Management System (QMS)
requirements. Each department should review this checklist and prepare evidence for the
certification audit.

1. General Checklist for All Departments

Has the department

SWOT analysis, risk
Understanding the identified internal
assessments,
4.1 organization and its and external issues
documented context
context that affect its
analysis.
objectives?
Understanding the Are the needs of Stakeholder
needs and relevant stakeholders mapping, meeting
4.2
expectations of identified and records, survey
interested parties considered? results.
Does the
Documented scope
Determining the department's scope
4.3 statement, evidence
scope of the QMS align with the overall
of inclusion in QMS.
QMS scope?
Are all processes Process maps,
QMS and its identified, with flowcharts,
4.4
processes inputs, outputs, and documented
controls defined? procedures.
Has the department
SWOT analysis, risk
Understanding the identified internal
assessments,
4.1 organization and its and external issues
documented context
context that affect its
analysis.
objectives?
Understanding the Are the needs of Stakeholder
needs and relevant stakeholders mapping, meeting
4.2
expectations of identified and records, survey
interested parties considered? results.

2. Leadership (Management & Department Heads)

Clause Requirement Audit Questions Evidence to Provide

5.1 Leadership Are leaders demonstrating Meeting minutes,

commitment commitment to the QMS? communications, resource
Clause Requirement Audit Questions Evidence to Provide

allocations.

Is the quality policy appropriate,

Displayed policies, staff
5.2 Quality policy communicated, and
interviews, policy updates.
understood?

Are roles and responsibilities Organizational charts, job

Organizational roles
5.3 clearly defined and descriptions, role training
and responsibilities
communicated? records.

2. Planning

Clause Requirement Audit Questions Evidence to Provide

Are risks and
Actions to address Risk registers,
opportunities
6.1 risks and mitigation plans,
identified, assessed,
opportunities monitoring results.
and managed?
Are measurable Documented
Quality objectives
6.2 objectives set and objectives, KPIs,
and planning
aligned with policy? review records.
Are changes planned
Change management
and evaluated for
6.3 Planning of changes records, impact
their impact on the
assessments.
QMS?

3. Support (HR, IT, and Admin Departments)

Clause Requirement Audit Questions Evidence to Provide

Are sufficient
Budget reports,
resources provided
equipment
7.1 Resources (human,
maintenance records,
infrastructure, and
resource plans.
environment)?
Training records,
Are staff competent
competency
7.2 Competence and trained for their
assessments,
roles?
certifications.
Are staff aware of the Staff interviews,
7.3 Awareness QMS, policy, and awareness training
objectives? records.
 Is communication
Communication
with internal and
7.4 Communication plans, emails,
external parties
meeting records.
effective?
Are documents and Document registers,
Documented
7.5 records controlled as control logs, version
information
per the QMS? histories.

4. Operations (Core Functions: Labs, Training, R&D)

Clause Requirement Audit Questions Evidence to Provide

Are operations
SOPs, work
Operational planning planned and
8.1 instructions, project
and control controlled to meet
plans.
requirements?
Are customer Contracts,
Requirements for
8.2 requirements defined requirement analysis,
products/services
and reviewed? review forms.
Are design and
Design and Design records,
development
8.3 development (if validation results,
processes
applicable) prototype feedback.
established?
Are external Supplier evaluation
Control of external
8.4 providers evaluated records, contracts,
providers
and controlled? performance reviews.
Are operations Inspection records,
Production and carried out under quality checks,
8.5
service provision controlled equipment
conditions? calibrations.
Are checks in place Inspection reports,
Release of products
8.6 before releasing sign-off records,
and services
products or services? approval documents.
Control of Are nonconformities NCR logs, corrective
8.7 nonconforming identified and actions, disposal
outputs managed effectively? records.

5. Performance Evaluation

Clause Requirement Audit Questions Evidence to Provide

9.1 Monitoring, Are processes Performance reports,
measurement, and monitored and KPI results, customer
analysis analyzed for feedback.
 performance?
Are regular internal Audit plans, reports,
9.2 Internal audit audits conducted and corrective action
actions taken? plans.
Are management
Review meeting
reviews conducted
9.3 Management review minutes, action logs,
and improvements
follow-up reports.
identified?

6. Improvement

Clause Requirement Audit Questions Evidence to Provide

Are opportunities for
Improvement plans,
General improvement
10.1 project outcomes,
improvement identified and
updated procedures.
implemented?
Are nonconformities
NCR logs, root cause
Nonconformity and managed effectively
10.2 analysis, corrective
corrective action with corrective
action plans.
actions?
Innovation records,
Are continual
Continual improvement logs,
10.3 improvement
improvement customer satisfaction
initiatives evident?
trends.

Department-Specific Checklist Examples

HR Department

 Employee training records.

 Competency frameworks and assessments.

 Records of awareness training sessions.

IT Department

 IT infrastructure and maintenance logs.

 Backup and disaster recovery plans.

 Access control and data security documentation.

Labs
  Equipment calibration records.

 Test results and certifications.

 Compliance with safety and environmental standards.

Admin

 Document control processes.

 Records of supplier evaluations.

 Communication logs and meeting minutes.

Audit Preparation Tips

1. Organize Documentation: Ensure all necessary documents and records are readily
available.

2. Address Past Issues: Review and close out any nonconformities from previous audits.

3. Train Staff: Ensure everyone understands the QMS and their role in compliance.

4. Perform Mock Audits: Conduct internal audits to simulate the certification audit
process.

5. Focus on Evidence: Be prepared to provide records and objective evidence for all audit
criteria.

This checklist ensures that all departments are prepared and aligned with the ISO 9001:2015
certification requirements.