ISO/IEC 17020:2012 AUDIT CHECKLIST
Conformity Assessment — Requirements for the Operation of Various Types of Bodies Performing Inspection
1. AUDIT INFORMATION
Organisation:
Audit Date:
Audit Type:
☐ Initial ☐ Surveillance ☐ Re-assessment ☐ Extension
Location:
Lead Auditor:
Audit Team:
Scope of Inspection Body:
Type (A/B/C):
Standards/References:
ISO/IEC 17020:2012, applicable regulations, accreditation body criteria
2. HOW TO USE THIS CHECKLIST
This checklist covers all normative requirements of ISO/IEC 17020:2012. Each row represents an audit criterion mapped to the relevant clause. Auditors should assess each item against objective evidence and assign a finding code using the legend below.
3. FINDING CODES LEGEND
C
Conforming — Requirement fully met
NC
Nonconforming — Requirement not met
OFI
Opportunity for Improvement
NA
Not Applicable to this body
4. AUDIT CHECKLIST — REQUIREMENTS
NOTE: Guidance in the 'Audit Evidence / Notes' column indicates typical evidence to seek. It is not exhaustive.
4. General Requirements
No.
Clause Ref.
Audit Requirement / Criterion
Audit Evidence / Notes
Finding
(C / NC / OFI / NA)
4.1.1
Cl. 4.1
The inspection body is legally identifiable (company registration, legal status documented).
Request legal registration docs
4.1.2
Cl. 4.1
The inspection body has defined its scope of inspection activities.
Review scope statement
4.1.3
Cl. 4.1
The inspection body is responsible for all inspection activities including those subcontracted.
Check subcontracting policy
4.1.4
Cl. 4.1
The body complies with all applicable legal and regulatory requirements.
Verify regulatory list
4.2.1
Cl. 4.2
The inspection body has documented impartiality policy.
Review impartiality policy
4.2.2
Cl. 4.2
Threats to impartiality are identified and documented.
Check threat register/log
4.2.3
Cl. 4.2
Mechanisms are in place to manage conflicts of interest (e.g., declarations, procedures).
Verify COI forms/records
4.2.4
Cl. 4.2
Personnel do not engage in commercial, financial, or other pressures compromising results.
Interview key staff
4.2.5
Cl. 4.2
For type B & C bodies: independence from design, manufacture, supply, installation, purchase, and use is maintained.
Review ownership/contracts
4.3.1
Cl. 4.3
Liability and financing arrangements are adequate for the scope of activities.
Review insurance docs
4.3.2
Cl. 4.3
Financial stability is ensured without compromising impartiality.
Review financial statements
4.4.1
Cl. 4.4
Non-discriminatory procedures are applied to all clients.
Review client intake process
4.4.2
Cl. 4.4
Inspection services are accessible to all types of applicants.
Verify no undue barriers
5. Structural Requirements
No.
Clause Ref.
Audit Requirement / Criterion
Audit Evidence / Notes
Finding
(C / NC / OFI / NA)
5.1.1
Cl. 5.1
The organisational structure is documented (org chart, roles, responsibilities).
Request org chart
5.1.2
Cl. 5.1
Responsibility, authority, and interrelation of personnel affecting quality are defined.
Check job descriptions
5.1.3
Cl. 5.1
Management ensures inspection personnel are free from commercial and financial pressures.
Interview management
5.1.4
Cl. 5.1
Confidentiality requirements are defined and communicated to all personnel.
Check confidentiality agreements
5.2.1
Cl. 5.2
A technically competent manager responsible for the inspection function is appointed.
Verify appointment record
5.2.2
Cl. 5.2
Deputies are designated for key management roles.
Check deputisation records
5.2.3
Cl. 5.2
The scope and limitations of authority for all personnel are defined.
Review authority matrix
6. Resource Requirements
No.
Clause Ref.
Audit Requirement / Criterion
Audit Evidence / Notes
Finding
(C / NC / OFI / NA)
6.1.1
Cl. 6.1
Sufficient number of qualified personnel are available for planned inspection work.
Review staffing records
6.1.2
Cl. 6.1
Personnel competence criteria are defined (education, training, skills, experience).
Check competence matrix
6.1.3
Cl. 6.1
Personnel competence is evaluated and records are maintained.
Review evaluation records
6.1.4
Cl. 6.1
Training programme is documented and records of training are kept.
Request training records
6.1.5
Cl. 6.1
Authorization of personnel to conduct specific inspections is documented.
Check authorisation list
6.1.6
Cl. 6.1
Personnel are supervised proportionate to their competence level.
Check supervision records
6.1.7
Cl. 6.1
Performance of personnel is periodically monitored and reviewed.
Review performance records
6.1.8
Cl. 6.1
Confidentiality and independence obligations are understood by staff and contractors.
Check signed agreements
6.2.1
Cl. 6.2
Equipment and facilities necessary for correct performance of inspections are available.
Inspect equipment list
6.2.2
Cl. 6.2
Equipment is maintained in proper working order and suitable for its intended purpose.
Check maintenance logs
6.2.3
Cl. 6.2
Equipment requiring calibration is identified and regularly calibrated.
Review calibration records
6.2.4
Cl. 6.2
Calibration status is displayed or documented on equipment.
Verify labels/records
6.2.5
Cl. 6.2
Faulty equipment is taken out of service; procedures exist for handling nonconforming equipment.
Check out-of-service procedure
6.2.6
Cl. 6.2
Equipment records include ID, calibration dates, condition, maintenance history.
Review equipment register
6.2.7
Cl. 6.2
Where equipment is used outside the inspection body's premises, procedures ensure adequacy.
Check field equipment controls
6.3.1
Cl. 6.3
Subcontracting is carried out in compliance with documented criteria.
Review subcontracting process
6.3.2
Cl. 6.3
Clients are notified of the intention to subcontract.
Check client communication
6.3.3
Cl. 6.3
Subcontractors are competent and comply with ISO/IEC 17020 (or equivalent).
Review subcontractor evaluation
6.3.4
Cl. 6.3
The inspection body retains responsibility for subcontracted work.
Verify accountability records
7. Process Requirements
No.
Clause Ref.
Audit Requirement / Criterion
Audit Evidence / Notes
Finding
(C / NC / OFI / NA)
7.1.1
Cl. 7.1
Inspection methods and procedures are documented and appropriate for the scope.
Review procedures/methods
7.1.2
Cl. 7.1
Deviation from documented methods is controlled and approved.
Check deviation procedure
7.1.3
Cl. 7.1
Standards and regulations relevant to the scope are identified and current.
Check standards register
7.1.4
Cl. 7.1
Inspection planning is carried out prior to the inspection.
Review inspection plans
7.1.5
Cl. 7.1
Pre-inspection information is gathered and used to plan the inspection.
Check pre-inspection checklists
7.1.6
Cl. 7.1
Procedures for sampling (where applicable) are documented and followed.
Review sampling procedures
7.2.1
Cl. 7.2
Items for inspection are uniquely identified and clearly associated with the inspection.
Check ID records
7.2.2
Cl. 7.2
Any damage, deterioration, or unusual condition of items is recorded.
Review reception records
7.3.1
Cl. 7.3
Inspection records contain sufficient information to repeat/reproduce the inspection.
Review sample records
7.3.2
Cl. 7.3
Observations, measurements, and data are recorded at the time of inspection.
Verify on-site documentation
7.3.3
Cl. 7.3
Amendments to records are controlled and original information is preserved.
Check records amendment log
7.4.1
Cl. 7.4
Inspection reports are issued for each inspection completed.
Review sample inspection reports
7.4.2
Cl. 7.4
Inspection reports contain all required information (ID, date, client, scope, results, opinion).
Check report template
7.4.3
Cl. 7.4
Reports are reviewed and approved by authorised personnel before issue.
Verify review/approval records
7.4.4
Cl. 7.4
Corrections or additions to issued reports are controlled.
Check report amendment procedure
7.4.5
Cl. 7.4
Client information is kept confidential; results released only to authorised parties.
Check release authorisation
7.5.1
Cl. 7.5
Complaints and appeals procedures are documented and available to clients.
Review complaints procedure
7.5.2
Cl. 7.5
All complaints and appeals are recorded, investigated, and responded to.
Check complaints log
7.5.3
Cl. 7.5
Actions taken on complaints and appeals are documented.
Verify closure records
7.6.1
Cl. 7.6
Procedures for handling nonconforming work are documented.
Review NC procedure
7.6.2
Cl. 7.6
Personnel with authority to stop/suspend work on nonconforming inspection are identified.
Check authority records
7.6.3
Cl. 7.6
Clients are notified and corrective action is taken when nonconforming work is identified.
Review NC records
8. Management System Requirements
No.
Clause Ref.
Audit Requirement / Criterion
Audit Evidence / Notes
Finding
(C / NC / OFI / NA)
8.1.1
Cl. 8.1
A management system is established, documented, implemented, and maintained.
Review QMS documentation
8.1.2
Cl. 8.1
A quality manual (or equivalent) defines the management system scope.
Request quality manual
8.1.3
Cl. 8.1
Top management demonstrates commitment to the QMS and continual improvement.
Verify management review records
8.2.1
Cl. 8.2
A document control procedure is documented and implemented.
Review doc control procedure
8.2.2
Cl. 8.2
All documents are reviewed and approved prior to issue.
Check approval records
8.2.3
Cl. 8.2
Current versions of applicable documents are available at points of use.
Verify version control
8.2.4
Cl. 8.2
Obsolete documents are promptly removed and identified when retained.
Inspect obsolete doc handling
8.3.1
Cl. 8.3
Procedure for records control is documented (creation, storage, retention, disposal).
Review records procedure
8.3.2
Cl. 8.3
Records are legible, identifiable, and retrievable.
Sample check records
8.3.3
Cl. 8.3
Records are protected from deterioration, loss, or unauthorized access.
Check storage security
8.3.4
Cl. 8.3
Retention periods for records are defined and complied with.
Verify retention schedule
8.4.1
Cl. 8.4
Management review is conducted at planned intervals.
Request management review minutes
8.4.2
Cl. 8.4
Management review covers all required inputs (internal audits, complaints, NC work, etc.).
Check review agenda/records
8.4.3
Cl. 8.4
Outputs of management review are recorded and include actions for improvement.
Verify action tracking
8.5.1
Cl. 8.5
Internal audits are conducted at planned intervals covering all elements of the management system.
Review internal audit schedule/reports
8.5.2
Cl. 8.5
Internal auditors are competent and independent of the activity being audited.
Check auditor qualifications
8.5.3
Cl. 8.5
Findings from internal audits are communicated to management and acted upon.
Review findings and closure records
8.6.1
Cl. 8.6
Procedure for corrective action is documented and implemented.
Review CA procedure
8.6.2
Cl. 8.6
Root cause analysis is performed for nonconformities.
Check CA records/analysis
8.6.3
Cl. 8.6
Corrective actions are implemented in a timely manner and effectiveness is verified.
Review CA close-out records
8.7.1
Cl. 8.7
Preventive action opportunities are identified and addressed.
Check preventive action log
8.7.2
Cl. 8.7
Risk-based thinking is applied to identify opportunities for continual improvement.
Review risk register
5. AUDIT SUMMARY
Total Requirements Assessed
Conforming (C)
Nonconforming (NC)
OFI / NA
6. NONCONFORMITY & ACTION TRACKING LOG
Item
Clause
Description of Finding / Nonconformity
Corrective Action Required
Responsible Person
Target Date
7. AUDIT CONCLUSIONS & RECOMMENDATIONS
Overall Assessment:
Recommendation: ☐ Accreditation / Approval Granted ☐ Conditional ☐ Denied ☐ Surveillance Required
8. SIGNATURES
Lead Auditor Name & Signature:
Inspection Body Representative:
Date:
Date:
Document Reference: QF-INSP-001 | Revision: 01 | Based on ISO/IEC 17020:2012