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ISO 9001 compliance checklist template

ISO 9001 compliance checklist template

Evaluate your organization’s quality management system and assess key requirements before certification audits.

Use this template with Lumiform

The Lumiform application helps frontline teams uphold internal standards effortlessly.
  • Customize this template or build your own
  • Fill out templates via mobile app
  • Assign and track corrective actions
  • Get reports and analyse your data
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ISO 9001 compliance checklist template

Evaluate your organization’s quality management system and assess key requirements before certification audits.

Use this template with Lumiform

The Lumiform application helps frontline teams uphold internal standards effortlessly.
  • Customize this template or build your own
  • Fill out templates via mobile app
  • Assign and track corrective actions
  • Get reports and analyse your data
Prices start from ░░░ per month
Book a demo
Learn more
or Download template as PDF

The ISO 9001 compliance checklist guides you through assessing your quality management system against essential ISO 9001 requirements. It addresses key areas like management responsibility, resource allocation, product realization, and continuous improvement processes.

Getting ISO 9001 certification requires internal audits as well as an external audit that’s performed by an accredited certification body. This checklist helps you prepare for both types of audits, so you can maintain compliance and continuously improve your processes with confidence.

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Preview of the template
Page 1
Quality Management System
Is there a documented quality management system?
Does the quality management system cover all organizational activities?
Is the quality management system regularly reviewed and updated?
Management Responsibility
Is there a defined quality policy?
Are quality objectives established and reviewed?
Is management commitment to the quality management system demonstrated?
Resource Management
Are the resources needed to implement and maintain the quality management system identified?
Is the competence of personnel ensured?
Is the work environment suitable for achieving product conformity?
Product Realization
Are customer requirements determined and met?
Is the design and development process defined and controlled?
Is purchasing and supplier evaluation/monitoring in place?
Is production and service provision planned and carried out under controlled conditions?
Is identification and traceability of products maintained?
Is customer property safeguarded?
Is preservation of product ensured during internal processing and delivery?
Measurement, Analysis and Improvement
Are processes for monitoring, measurement, analysis and improvement established?
Is internal auditing conducted periodically?
Are corrective and preventive actions taken to address nonconformities?

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Related resources

Access a complete set of resources aimed at maximizing safety, quality, and operational excellence, including detailed guides, related templates, and real-world use cases.

Topic guides

Read in-depth guides covering key topics related to this article.

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Quality management process10 clauses of ISO 9001What is ISO 9001?How to evaluate compliance measures

Frequently asked questions

What are the most common non-conformities found using this checklist?

The most common non-conformities revealed through this checklist include incomplete documentation, undefined responsibilities, inadequate risk assessment processes, and insufficient evidence of continuous improvement. Management review gaps and poor internal communication issues are also frequently identified, allowing you to address these problems before they impact certification.

How can you maximize the effectiveness of this ISO 9001 compliance checklist?

To maximize effectiveness, involve team members from different departments when completing the checklist, providing objective perspectives. Document all findings thoroughly, including positive observations. Create specific, time-bound action plans for any gaps identified. Afterwards, review previous checklist results to track improvements and ensure recurring issues are permanently resolved.

Can you customize this ISO 9001 compliance checklist for specific industries?

Yes, you can customize the checklist for specific industries by adding sector-specific requirements or regulations. Focus on your unique processes and risks while maintaining the core ISO 9001 requirements. Add questions addressing industry-specific challenges and customer requirements that apply to your organization’s context.

How does this checklist help with continuous improvement?

The checklist helps with continuous improvement by creating a baseline measurement of your quality management system’s performance. By comparing results over time, you can track progress and identify recurring issues. It also helps you prioritize improvement initiatives based on compliance gaps and provides structure for regular system reviews.


This template, developed by Lumiform employees, serves as a starting point for businesses using the Lumiform platform and is intended as a hypothetical example only. It does not replace professional advice. Companies should consult qualified professionals to assess the suitability and legality of using this template in their specific workplace or jurisdiction. Lumiform is not liable for any errors or omissions in this template or for any actions taken based on its content.
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