Free tool

Audit readiness checklist

Walk through each clause, score what's in place, and see exactly what's missing before Stage 1 — and what you'll need before Stage 2.

Organisation name (appears on PDF export)

ISO 9001:2015 — Quality

Stage 1 — Readiness

Context analysis (internal & external issues) documentedCritical

Interested parties and their requirements identified

QMS scope statement defined and justifiedCritical

Process map / interactions documented

Stage 2 — Effectiveness

Context reviewed in management review minutes

Scope matches what is actually delivered on site

Stage 1 — Readiness

Quality Policy signed and communicatedCritical

Roles, responsibilities and authorities assigned

Stage 2 — Effectiveness

Staff can describe how the policy applies to their role

Top management evidences engagement (reviews, resourcing)

Stage 1 — Readiness

Risk & opportunity register in placeCritical

Quality objectives, measurable, with owners and dates

Change control process defined

Stage 2 — Effectiveness

Actions from risks tracked to closure

Objectives trended with evidence of progress

Stage 1 — Readiness

Competence matrix and training records

Document control procedure (versioning, approval)

Calibration / monitoring equipment list (if applicable)

Stage 2 — Effectiveness

Training delivered and effectiveness evaluated

Calibration certificates current

Stage 1 — Readiness

Operational procedures / work instructions

Supplier evaluation & approval process

Design & development controls (if applicable)

Stage 2 — Effectiveness

Records of supplier performance reviews

Non-conforming output records & disposition

End-to-end traceability for one completed customer order/job/project/service — enquiry → review → planning → external providers → delivery → change control → verification → nonconformity handling → handover → invoicing → feedbackCritical

Evidence examples: Customer enquiry / RFQ / tender / brief / service ticket / PO with the original requirements (specs, drawings, SLAs, special instructions) · Quotation, contract or order review record showing capability, resources, timescales and legal/regulatory requirements were considered before acceptance · Acceptance evidence: approved quote, signed contract, accepted PO, authorised job sheet, statement of work or works order · Planning & operational control: job sheet, works order, project/method plan, sprint/ticket plan, RAMS, inspection/quality plan, task allocation · Work instructions, drawings, specifications and acceptance criteria available to the people doing the work · External provider controls (where applicable): supplier PO, approved supplier evidence, subcontractor RAMS, delivery notes, certs of conformity, incoming inspection — or a stated 'not applicable' with reason · Delivery / production / service records: job cards, site diaries, engineer reports, system logs, test/inspection records, photos, batch records — with traceable job/order/batch/ticket reference · Identification & traceability of customer property and externally provided property where applicable · Change control (where applicable): customer change request, variation order, revised drawing/spec, change ticket, evidence the change was reviewed, approved and communicated to staff/suppliers/customer — or a stated 'no changes' for the example · Verification / inspection / testing / acceptance: final inspection, UAT, commissioning record, snagging list, customer sign-off, completion certificate; who authorised release · Nonconforming outputs (where applicable): NCR, complaint, rework, concession, incident report — containment, correction and customer communication; not released until acceptable — or a stated 'no issues' for the example · Handover / completion: delivery note, signed acceptance, handover form, completion certificate, ticket closure, release note, warranty/aftercare info provided · Invoice / commercial close-out linked to the original enquiry, quote, PO, job, project or ticket reference (financial values may be redacted; traceability must remain) · Customer feedback (where available): survey, review, testimonial, post-project review, repeat order — or evidence of the normal feedback process if none for this example

Stage 1 — Readiness

Internal audit programme covering all clausesCritical

Customer satisfaction monitoring method defined

Management review schedule and inputs defined

Stage 2 — Effectiveness

At least one internal audit cycle completedCritical

Management review minutes with all required inputs/outputsCritical

Stage 1 — Readiness

Corrective action procedure with root cause method

Stage 2 — Effectiveness

CAPAs raised, root-caused and verified effectiveCritical

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Overall coverage

Stage 1 readiness0%

Stage 2 effectiveness0%

ISO 9001

ISO 9001:2015 — Quality

Not ready

Stage 1 (0/19)0%

Stage 2 (0/14)0%

Stage 2 blockers (5)

• Context analysis (internal & external issues) documented
• QMS scope statement defined and justified
• Quality Policy signed and communicated
• Risk & opportunity register in place

Top gaps

S1 · Clause 4 — Context & Scope
Context analysis (internal & external issues) documented
Next: Run a short PESTLE / SWOT workshop with leadership; capture issues in a one-page register.
S1 · Clause 4 — Context & Scope
QMS scope statement defined and justified
Next: Write the QMS scope in one paragraph: products/services, sites, exclusions with justification.
S1 · Clause 5 — Leadership
Quality Policy signed and communicated
Next: Draft a 1-page Quality Policy aligned to your context and objectives.
S1 · Clause 6 — Planning
Risk & opportunity register in place
Next: Build a register with columns: risk, source, likelihood, impact, owner, treatment, due date.
S1 · Clause 9 — Performance Evaluation
Internal audit programme covering all clauses
Next: Build an annual programme covering every clause and process at least once per year.
S2 · Clause 8 — Operation
End-to-end traceability for one completed customer order/job/project/service — enquiry → review → planning → external providers → delivery → change control → verification → nonconformity handling → handover → invoicing → feedback
Next: Sample records to confirm the procedure is followed in practice.
S2 · Clause 9 — Performance Evaluation
At least one internal audit cycle completed
Next: Complete one full cycle of internal audits before Stage 2.
S2 · Clause 9 — Performance Evaluation
Management review minutes with all required inputs/outputs
Next: Use clause 9.3.2 inputs as the agenda (status of actions, changes, performance, customer feedback, audits, risks, improvement).

The Certification People · Audit readiness report

Your organisation

Generated 1 November 2026

Overall Stage 1 readiness

Overall Stage 2 effectiveness

Standard	Stage 1	Stage 2	Blockers	Status
ISO 9001	0% (0/19)	0% (0/14)	5	Not ready

Top gaps & blockers

ISO 9001

Stage 2 blockers

Context analysis (internal & external issues) documented
QMS scope statement defined and justified
Quality Policy signed and communicated
Risk & opportunity register in place
Internal audit programme covering all clauses

Top gaps

S1 · Clause 4 — Context & Scope — Context analysis (internal & external issues) documented
S1 · Clause 4 — Context & Scope — QMS scope statement defined and justified
S1 · Clause 5 — Leadership — Quality Policy signed and communicated
S1 · Clause 6 — Planning — Risk & opportunity register in place
S1 · Clause 9 — Performance Evaluation — Internal audit programme covering all clauses
S2 · Clause 8 — Operation — End-to-end traceability for one completed customer order/job/project/service — enquiry → review → planning → external providers → delivery → change control → verification → nonconformity handling → handover → invoicing → feedback
S2 · Clause 9 — Performance Evaluation — At least one internal audit cycle completed
S2 · Clause 9 — Performance Evaluation — Management review minutes with all required inputs/outputs

ISO 9001:2015 — Quality

Detailed checklist · Your organisation

Clause 4 — Context & Scope

Stage	Item	Status
S1	Context analysis (internal & external issues) documented	✗Missing
S1	Interested parties and their requirements identified	✗Missing
S1	QMS scope statement defined and justified	✗Missing
S1	Process map / interactions documented	✗Missing
S2	Context reviewed in management review minutes	✗Missing
S2	Scope matches what is actually delivered on site	✗Missing

Clause 5 — Leadership

Stage	Item	Status
S1	Quality Policy signed and communicated	✗Missing
S1	Roles, responsibilities and authorities assigned	✗Missing
S2	Staff can describe how the policy applies to their role	✗Missing
S2	Top management evidences engagement (reviews, resourcing)	✗Missing

Clause 6 — Planning

Stage	Item	Status
S1	Risk & opportunity register in place	✗Missing
S1	Quality objectives, measurable, with owners and dates	✗Missing
S1	Change control process defined	✗Missing
S2	Actions from risks tracked to closure	✗Missing
S2	Objectives trended with evidence of progress	✗Missing

Clause 7 — Support

Stage	Item	Status
S1	Competence matrix and training records	✗Missing
S1	Document control procedure (versioning, approval)	✗Missing
S1	Calibration / monitoring equipment list (if applicable)	✗Missing
S2	Training delivered and effectiveness evaluated	✗Missing
S2	Calibration certificates current	✗Missing

Clause 8 — Operation

Stage	Item	Status
S1	Operational procedures / work instructions	✗Missing
S1	Supplier evaluation & approval process	✗Missing
S1	Design & development controls (if applicable)	✗Missing
S2	Records of supplier performance reviews	✗Missing
S2	Non-conforming output records & disposition	✗Missing
S2	End-to-end traceability for one completed customer order/job/project/service — enquiry → review → planning → external providers → delivery → change control → verification → nonconformity handling → handover → invoicing → feedback	✗Missing

Clause 9 — Performance Evaluation

Stage	Item	Status
S1	Internal audit programme covering all clauses	✗Missing
S1	Customer satisfaction monitoring method defined	✗Missing
S1	Management review schedule and inputs defined	✗Missing
S2	At least one internal audit cycle completed	✗Missing
S2	Management review minutes with all required inputs/outputs	✗Missing

Clause 10 — Improvement

Stage	Item	Status	Note
S1	Corrective action procedure with root cause method	✗Missing
S2	CAPAs raised, root-caused and verified effective	✗Missing