Audit Checklist

A general audit checklist for planning and conducting an audit end to end.

Published July 3, 2026

Plan and prepare

Confirm the purpose and objectives of the audit.
Define the scope, including areas, processes and period covered.
Identify the criteria to audit against.
Use applicable standards, policies, contracts and your procedures.
Review background documents and prior audit results.
Assign auditors who are independent of the area audited.
Prepare the audit plan, schedule and notify the auditee.

Opening and logistics

Hold an opening meeting to confirm scope and plan.
Agree the schedule, contacts and access required.
Confirm confidentiality and how findings will be handled.
Explain the methods and sampling approach.
Confirm safety requirements and site access rules.
Set expectations for the closing meeting and report.

Gather evidence

Interview relevant staff about how work is done.
Observe activities and conditions firsthand.
Sample and review records and documents.
Trace transactions or items end to end where useful.
Take notes and reference each piece of evidence.
Verify information from more than one source where possible.

Evaluate and record findings

Compare the evidence against the audit criteria.
Identify conformities, nonconformities and observations.
Classify findings by significance or risk.
Confirm findings with the auditee to agree the facts.
Document objective evidence for each finding.
Note positive findings and good practice.

Report results

Hold a closing meeting to summarize findings.
Draft a clear, factual audit report.
State conclusions against the objectives and criteria.
Prioritize findings and recommended actions.
Distribute the report to the agreed stakeholders.
Keep the report and evidence on file.

Follow-up and closure

Agree corrective actions with owners and due dates.
Require root cause analysis for significant findings.
Track actions to completion.
Verify actions are implemented and effective.
Close findings once evidence confirms resolution.
Capture lessons learned for future audits.

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An audit checklist is a structured guide for planning and conducting an audit from start to finish. It walks the auditor through defining scope and objectives, setting the criteria, gathering and evaluating evidence, recording findings, reporting results and following up on corrective actions, so audits are consistent and defensible.

Audits without structure tend to drift: scope creeps, evidence is patchy, and findings rest on opinion rather than fact. A clear checklist keeps the audit focused on its objectives and grounds every conclusion in objective evidence the auditee can review and act on.

This checklist works for many audit types — process, internal, supplier or management system — and helps auditors, audit leads and managers run each phase methodically. It is general by design; adapt the criteria and depth to the audit's purpose, the applicable standards and your organization's procedures.

Print the checklist for the audit, or download the PDF so auditors can record scope, evidence and findings on site. Keep completed records on file as audit evidence and to track corrective actions through to closure.

FAQ

What is an audit checklist?

It is a structured guide for running an audit end to end — defining scope and criteria, gathering and evaluating evidence, recording findings, reporting and following up — so audits are consistent, objective and defensible.

What is the difference between scope and criteria?

Scope defines what the audit covers — the areas, processes, sites or period. Criteria are the requirements you audit against, such as standards, policies, procedures or contracts. Findings compare the evidence to the criteria.

What counts as audit evidence?

Audit evidence is objective information gathered through observation, interviews, sampling records and reviewing documents. It should be verifiable and sufficient to support each finding rather than relying on opinion.

How is this different from a quality audit checklist?

This is a general audit process checklist for any audit type. A quality audit checklist is specialized for auditing a quality management system against quality standards and clauses such as ISO 9001.

Is this available as a printable PDF?

Yes. Print the audit checklist for the audit, or download the PDF so auditors can record scope, evidence and findings on site and keep records on file to track corrective actions to closure.