2016 Ia Sample Checklist

The ISO 13485:2016 Internal Audit Checklist
This checklist is based on the information provided in the 2016-03-01 release of the ISO 13485:2016 international standard. The checklist
is best used by trained and practicing auditors to evaluate or assess Quality Management Systems requirements based on the standard.
You will see questions on the checklist that refer to the standard, and for each clause, provisions are made for additional questions.
The auditors are expected to keep in mind that the standard requires six (6) mandatory procedures, such as with clauses 4.2.4, 4.2.5, 8.2.4, 8.3,
8.5.2, and 8.5.3. For other clauses of the standard, the phrase such as ‘documented procedures’ is used to specify that a process, a method, a
system, a work instruction, or an arrangement be documented.
The auditors must use a great deal of discretion and therefore must be careful and thoughtful prior to establishing a deficiency against a
requirement. Evidence for visible top management leadership, commitment and quality management action must be looked for.
The bold numbers and tittles used in the first two columns of the checklist indicate the “Requirements” and may be referred to on
nonconformity reports prepared by the auditor.
During assessment of each requirement, auditors record the status

of the evaluation by indicating in the right hand column a
Yes - for Acceptable Condition or No - for Deficient Condition
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4 QUALITY MANAGEMENT SYSTEM
REQUIREMENTS OBSERVATIONS / COMMENTS / DOCUMENTS RESULT

REVIEWED
4.1 General Requirements
4.1.1 Is there a Quality Management System in place that has
been established and documented to meet the
requirements of the ISO 13485:2016 Standard and the
applicable regulatory requirements?
Are the role(s) undertaken by your company under the

regulatory requirements (as a manufacturer, a distributor,
an authorized representative, or an importer) documented?
4.1.2 For the undertaken role(s), are the processes needed for
the QMS applied throughout the company?
Is a risk-based approach to the control of processes

applied?
Are the sequence and interaction of the processes

determined?
4.1.3 Is the system maintained and is there evidence that its

effectiveness is maintained?
• Look for methods and criteria needed to ensure that

operation and control of the processes are effective.
• Look for the resources and information needed to

support the operation and monitoring of the QMS
processes.
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Are records maintained?
Additional Questions
4.2 Documentation Requirements

4.2.1 General
Does your quality system documentation include the
documentation required by ISO 13485:2016?
Does it include:
• Documented statements of the Quality Policy and
Quality Objectives?
• A Quality Manual?
• Documented procedures (6) required by the standard?
• Documents required to ensure the effective planning,

operation and control of your processes?
• A list or other means of identifying the documentation

required by your QMS?
• Availability of the required documents?
• Records required by the standard?
• Other documentation required by national or regional

regulations?
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When the standard specifies that a requirement, a
procedure, an activity or arrangement be “documented”, is it
implemented and maintained?
4.2.2 Quality Manual

Review the Quality Manual (if available).
Does the manual include:

• The scope of your QMS including the details of and
justification for any exclusion and/or non-application in
clauses 6, 7 or 8?
• The documented procedures (6) established for the

QMS, or reference to them?
• A description or illustration of the interrelation of the

processes of the QMS?
Does the Quality Manual outline the structure for the

documentation used in the QMS?
4.2.3 Medical Device File
Is a medical device file maintained for each medical device

type or medical device family?
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• Determining causes?
• Evaluate need and identify action to prevent

reoccurrence?
• Planning, documenting and implementing action needed,

including, if appropriate, updating of the documentation?
• Verifying that action taken does not adversely affect the

ability to meet regulatory requirements and the safety and
performance of the medical device?
• Recording of the results of any investigation and of action
taken?
• Reviewing the corrective action taken and its

effectiveness?
8.5.3 Preventive Action

Has your company established a procedure to eliminate the
cause of potential nonconformities?
Does the procedure include items required by the standard

for:
• Determining potential nonconformities and their causes?
• Evaluating the need for action?
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The ISO 13485:2016 Internal Audit Checklist

During assessment of each requirement, auditors record the status

Yes - for Acceptable Condition or No - for Deficient Condition

REQUIREMENTS OBSERVATIONS / COMMENTS / DOCUMENTS RESULT

Are the role(s) undertaken by your company under the

Is a risk-based approach to the control of processes

Are the sequence and interaction of the processes

4.1.3 Is the system maintained and is there evidence that its

• Look for methods and criteria needed to ensure that

• Look for the resources and information needed to

4.2 Documentation Requirements

• Documented procedures (6) required by the standard?

• Documents required to ensure the effective planning,

• A list or other means of identifying the documentation

• Availability of the required documents?

• Records required by the standard?

• Other documentation required by national or regional

4.2.2 Quality Manual

Does the manual include:

• The documented procedures (6) established for the

• A description or illustration of the interrelation of the

Does the Quality Manual outline the structure for the

4.2.3 Medical Device File

Is a medical device file maintained for each medical device

• Evaluate need and identify action to prevent

• Planning, documenting and implementing action needed,

• Verifying that action taken does not adversely affect the

• Reviewing the corrective action taken and its

8.5.3 Preventive Action

Does the procedure include items required by the standard

• Evaluating the need for action?

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