Some Questions an Auditor may Ask


Super Moderator
Does anyone has checklist for 9001 audit for financial consultancy
Probably not, anyway checklists can limit what happens by setting up barriers or fences auditors and everyone else will stay inside of.

I can make the prettiest checklist in the world but if you don't answer the 1st question as anticipated then it's worthless. A checklist should serve as a guide at best and not as the audit itself.

John Broomfield

Super Moderator
Instead of using another audit's checklist you can prepare for your audit well by making your own checklist as necessary to fulfill the objectives of the audit.

Consider the audit criteria and the relevant processes (with or without documented procedures and based on your knowledge) and decide what you want to look at (the sample), what you are going to look for and why.

Depending on the rapport you develop with the auditee, these questions usually open up the chat, conversation, interview or investigation to elicit the evidence.

Most important to leave space between for your supplementary lines of inquiry.

And against each line of inquiry provide space for recording the evidence of effectiveness, excellence or nonconformity.

Now you are ready for the audit. Having someone else’s checklist may mean you are not yet ready.

As team leader, my auditors could always expect me to ask them for evidence that they are prepared.
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