2012 IB Self Assessment Checklist V 1

INSPECTION BODY
SELF-ASSESSMENT CHECKLIST
Inspection Body Name:
Assessment Standard
ISO/IEC 17020:2012 (without internationally agreed interpretations)

Ref’s Questions System Evidence / Comments
References
&  or 
Impartiality
4.1.5 Does the inspection body have a documented
[NEW] commitment of the top management to
impartiality?
4.1.2 Does the documented statement explicitly not

allow commercial, financial or other pressures
to compromise the impartiality of inspections?
5.2.1 Is the inspection body structured and

[NEW] managed so as to safeguard impartiality?
Is there any evidence that reporting lines or

individuals with more than one role could
result in conflicts of interest that could
adversely affect the impartiality of
inspections?
4.1.3 What evidence is there that the inspection

body identifies and manages risks to its
impartiality (conflicts of interest) whenever
events occur which might have a bearing on
the impartiality of the inspection body or its
personnel?
6.1.11 How are personnel, involved in inspection

activities, remunerated and is the method of
remuneration likely to influence the results of
inspections?

body has identified conflicts of interest since
the last assessment?
What evidence is there that identified conflicts

of interest were appropriately managed
(eliminated or minimized)?
4.1.2 Is there sufficient evidence to conclude that

the inspection body is effectively managing
conflicts of interest and undertaking
inspection work impartially?
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Independence
Has a Type A, B or C classification worksheet
been completed and filed for each category or
group of inspection activities?
Have the worksheets been reviewed to

identify any circumstances that may have
changed since the last assessment and that
could affect the Type A, B, C classification
decisions?
4.1.6 Are all of the accredited activities of the

inspection body classified as Type A, B or C?

Confidentiality
4.2.3 Is information about the client, obtained from
[NEW] sources other than the client (e.g.
complainants, regulators), treated as
confidential?
4.2.1 Does the inspection body have legally

[NEW] enforceable commitments to safeguard the
confidentiality of information obtained or
created during the performance of inspection
activities?
E.g. in contract documents.
Does the inspection body have a procedure to

inform the client, in advance, of any
information it intends to place in the public
domain?
4.2.2 If the inspection body is required, by

[NEW] contractual conditions, regulation or law, to
divulge information obtained or created during
inspection activities, what evidence is there
that the inspection body notifies the
organisation or individual of the information
provided?
Note: If notification is prohibited by law, the

law over-rides this requirement to disclose the
information.
Is there sufficient evidence to conclude that

the inspection body is effectively managing
the confidentiality of information obtained or
created during inspection activities?
Administrative Requirements
5.1.1 What evidence is there to confirm that the
inspection body is a legal entity, or a defined
part of a legal entity, such that it can be held
legally responsible for all its inspection
activities?
5.1.2 If the inspection body is part of a legal entity,

involved in activities other than inspection,
how is it identifiable within that entity?
5.1.3 What documentation does the inspection body

have which describes the activities for which it
is competent.

5.1.4 What provision (e.g. insurance or reserves)
does the inspection body have to cover
liabilities arising from its operations?
NOTE The liability can be assumed by the

State in accordance with national laws, or by
the organization of which the inspection body
forms a part.
5.1.5 What documentation does the inspection body

have describing the contractual conditions
under which it provides the inspection?
This requirement does not apply when an

inspection body provides inspection services
to the legal entity of which it is a part.

Organisation and Management
5.2.4 If the inspection body is part of a legal entity
performing activities other than inspection,
how are the relationships between these other
activities and inspection activities defined
(documented)?
5.2.3 How has the inspection body defined and

document the responsibilities and reporting
structure of the organization?
5.2.7 Does the inspection body have a job

description or other documentation for each
position category within its organization
involved in inspection activities?
6.1.4 How does the inspection body make clear to

[NEW] each person their duties, responsibilities and
authorities?
5.2.5 What is/are the name(s) of the person(s)

appointed as technical manager(s) who have
overall responsibility for ensuring that the
inspection activities are carried out in
accordance with this International Standard?
5.2.5 What evidence is there that each named

[NEW] ‘Technical Manager’ or person fulfilling this
function is technically competent and
experienced in the operation of the
inspection body?
5.2.5 If the inspection body has more than one

technical manager, how are the specific
responsibilities of each manager defined and
documented?
5.2.6 Does the inspection body have one or more

named person(s) who will deputize in the
absence of any technical manager responsible
for on-going inspection activities?
Record the name(s) or comment on the

deputising process.

body employs, or has contracts with, a
sufficient number of persons with the required
competencies, including, where needed, the
ability to make professional judgements, to
perform the type, range and volume of its
inspection activities?

5.2.2 Is there sufficient evidence to conclude that
the size, structure, composition and
management of the inspection body, taken
together, are capable of maintaining the
capability to competently perform the activities
with which the inspection body is concerned?

Personnel, Training, Competence, Authorisation and Monitoring
Competence requirements
6.1.1 Has the inspection body defined and
documented the competence requirements
for all personnel involved in inspection
activities, including requirements for:
 Education
 Training
 Technical knowledge
 Skills
 Experience
NOTE:
The competence requirements can be part of
the job description or other documentation
mentioned in 5.2.7.

competence requirements for personnel are
adequately detailed, are technically
appropriate and cover all relevant roles?

Personnel Requirements
6.1.3 What evidence is there that personnel
responsible for inspection have appropriate:
 Qualifications
 Training
 Experience
 Satisfactory knowledge of the
requirements of the inspections to be
carried out
 Relevant knowledge of the technology
used for the manufacture of the products
inspected, the operation of processes
and the delivery of services
 Relevant knowledge of the way in which
products are used, processes are
operated and services are delivered
 Relevant knowledge of any defects
which may occur during the use of the
product, any failures in the operation of
the process and any deficiencies in the
delivery of services
What evidence is there that personnel

responsible for inspection understand:
 the significance of deviations found with

regard to the normal use of the products
 the operation of the processes
 the delivery of services?
This clause applies to both inspectors and

technical managers.
Is there sufficient evidence to conclude that all

personnel involved in inspection activities are
competent to the level indicated in their
training/competence records?

Training System
6.1.5 Does the inspection body have documented
procedures [training system] for:
[NEW]  Selecting
 Training
[NEW]  Formally authorising
 Monitoring
of inspectors and other personnel involved in

6.1.6 Does the documented training system address

at least the following stages:
 an induction period?
 a mentored working period with
experienced inspectors?
 continuing training to keep pace with
developing technology and inspection
methods?
6.1.7 Is the training required appropriate to the

ability, qualifications and experience of each
inspector and other personnel involved in
[NEW] What evidence is there that training is linked to

the results of monitoring? (see 6.1.8)?
6.1.10 What evidence is there to demonstrate that

the inspection body maintains records of:
 monitoring?
 education?
 training ?
[NEW]  technical knowledge?
[NEW]  skills
 experience
[NEW]  authorisation?
for each member of its personnel involved in


the inspection body’s training system includes
all required elements and that it is operating
effectively to correctly identify training needs
and deliver appropriate and effective training
in a timely manner?

Monitoring
6.1.8 What evidence is there that all personnel
involved in inspection activities are regularly
monitored for satisfactory performance?
What evidence is there that monitoring is

performed by personnel familiar with the
inspection methods and procedures?
[NEW] What evidence is there that the results of

monitoring are used as a means of identifying
training needs? (see 6.1.7)
NOTE Monitoring can include a combination of

techniques, such as on-site observations,
report reviews, interviews, simulated
inspections and other techniques to assess
performance, and will depend on the nature of
inspection activities.
6.1.9 Is each inspector observed [regularly] on-

site? (see 6.1.9b).
If not, what alternative objective evidence is

there that the inspector is continuing to
perform competently? (See 6.1.9a below)

the inspection body is satisfactorily monitoring
its staff and thereby ensuring on-going
competence and consistency of staff?

Facilities and Equipment
Definition of Equipment requirements
6.2.4 What evidence is there that all equipment,
[NEW] having a significant influence on the results of
inspections, has been defined?
6.2.1 Does the inspection body have available,

suitable and adequate facilities and
equipment to permit all activities associated
with the inspection activities to be carried out
[NEW] in a competent and safe manner?
Management of equipment
6.2.4 Where appropriate, is equipment having a
significant influence on the results of the
inspection uniquely identified?
6.2.2 Does the inspection body have appropriate

documented rules for access to, and use of,
specified facilities and equipment used to
perform inspections?
6.2.5 Does the inspection body have satisfactory

documented procedures and instructions for
the maintenance of equipment identified in
6.2.4?
What evidence is available to demonstrate

that all equipment (see 6.2.4) is maintained in
accordance with documented procedures and
instructions?
6.2.3 How does the inspection body ensure the

continued suitability of the facilities and the
equipment mentioned in 6.2.1 for their
intended use?

procedures for dealing with defective
equipment?
What evidence is there that defective

equipment is removed from service by
segregation, prominent labelling, marking or
other means defined in procedures?
What evidence is available to confirm that

when equipment defects are identified, the
inspection body examines the possible effect
of defects on previous inspections and, when
necessary has taken appropriate corrective
action?
6.2.15 Is relevant information on the equipment,

including software, recorded?
Do records include, as appropriate,

identification and, information on calibration
and maintenance for all equipment identified
as essential in 6.2.4.

the inspection body is satisfactorily managing
essential equipment?
Calibration and reference items

6.2.6 What evidence is there that all measurement
equipment, having a significant influence on
the results of the inspection, is calibrated,
before being put into service?
What evidence is there that all measurement

equipment, having a significant influence on
the results of the inspection, subject to re-
calibration according to an [appropriate]
established programme?
6.2.7 Is the overall programme of calibration of

equipment designed and operated so as to
ensure that, wherever applicable,
measurements made by the inspection body
are traceable to national or international
standards of measurement, where available?
6.2.9 Where relevant, is equipment subject to in-

service checks between regular
recalibrations?

6.2.8 What evidence is there that reference
standards of measurement, held by the
inspection body, used for calibration only and
for no other purpose?
What evidence is there that reference

standards of measurement are calibrated,
providing traceability to a national or
international standard of measurement?
6.2.10 If reference materials are used, and if

traceability to national or international
reference materials is possible, what evidence
is there that, traceable has been established?
Is there sufficient evidence to conclude that all

measuring equipment that could have a
significant effect on the outcome of
inspections, is likely to be fit for purpose at the
time of use?
Purchasing and Inwards Goods

6.2.11 Where purchased equipment, materials or
services could affect the outcome of
inspections, does the inspection body have
procedures for the following:
a) selection and approval of suppliers?
b) verification of incoming goods and

services?
c) ensuring appropriate storage facilities?
6.2.12 Where applicable, does the inspection body

assess the condition of stored items, at
appropriate intervals, to detect deterioration?
This implies a definition of ‘appropriate

intervals’.

purchased equipment, materials and services
are managed appropriately to support reliable
inspection outcomes?

Computers and Automated Equipment
6.2.13 If the inspection body uses computers or
automated equipment in connection with
inspections:
a) What evidence is there that the inspection

body verifies that computer software is
adequate for use on an on-going basis?
NOTE This can be done by the following:
 validation of calculations before use;

 periodic revalidation of related hardware
and software;
 revalidation whenever changes are made
to related hardware or software;
 software updates implemented as
required.
b) What evidence is there that appropriate

procedures are established and implemented
for protecting the integrity and security of
electronic data?
c) What evidence is there that computer and

automated equipment is maintained in order to
ensure proper functioning?


computers, software and automated
equipment are managed to give confidence in
the capture, processing, storage and retrieval
of data for relevant time periods?

Subcontracting
6.3.1 Does the inspection body itself normally
perform the inspections that it contracts to
undertake?
NOTE 1:
Acceptable reasons to subcontract include the
following:
 an unforeseen or abnormal overload
 key inspection staff members being
incapacitated
 key facilities or items of equipment being
temporarily unfit for use
 part of the contract from the client
involving inspection not covered by the
inspection body's scope or being beyond
the capability or resources of the
inspection body
6.3.1 Where an inspection body subcontracts any

part of the inspection, what evidence is there
that the inspection body ensures and can
demonstrate that the subcontractor is
competent to perform the activities in
question?
AND
Where applicable, what evidence is there that

the inspection body can demonstrate that the
subcontractor complies with the relevant
requirements stipulated in this International
Standard or in other relevant conformity
assessment standards?
6.3.1 NOTE 3:
Where the inspection body engages
individuals or employees of other
organizations to provide additional resources
or expertise, these individuals are not
considered to be subcontractors provided they
are formally contracted to operate under the
inspection body's management system (see
6.1.2).

body informs clients of its intention to
subcontract any part of an inspection, prior to
doing so?
6.3.3 Does the inspection body understand and

accept that whenever subcontractors carry out
work that forms part of an inspection, the
responsibility for any determination of
conformity of the inspected item with the
requirements remains with the inspection
body?
6.3.4 What records are retained to confirm that the

inspection body investigates the competence
of its subcontractors?
What records are retained as evidence that

the inspection body investigates
subcontractors’, conformity with the applicable
requirements in this International Standard or
in other relevant conformity assessment
standards?
6.3.4 If the inspection body ever subcontracts work

does it maintain a register of all
subcontractors?
7.1.6 When the inspection body uses information

[NEW] supplied by any other party as part of the
inspection process, what evidence is there
that the inspection body verifies the integrity of
the information?

subcontracting is only in exceptional
circumstances and that it is managed to
maintain the integrity and reliability of
inspection outcomes?

Process Requirements
Methods and Procedures
7.1.1 Does the inspection body use the methods
and procedures for inspection which are
defined in the requirements against which
inspection is to be performed?
NOTE The requirements against which the

inspection is performed are normally specified
in regulations, standards or specifications,
inspection schemes or contracts.
Specifications can include client or in-house
requirements.
7.1.1 Where inspection methods and procedures

are not defined, what evidence is there that
the inspection body develops specific methods
and procedures to be used (see 7.1.3)?
7.1.3 When the inspection body has to use

inspection methods or procedures which are
non-standard, what evidence is there, that
such non-standard methods and procedures
are technically appropriate and fully
documented?
NOTE
A standard inspection method is one that has
been published, for example, in international,
regional or national standards, or by reputable
technical organizations or by co-operation of
several inspection bodies or in relevant
scientific text or journals. This means that
methods developed by any other means,
including by the inspection body itself or by
the client, are considered to be non-standard
methods.

[NEW] body informs clients if the inspection method
proposed by the client is considered to be
inappropriate?

7.1.2 Where the absence of such instructions could
jeopardize the effectiveness of the inspection
process, does the inspection body have
adequate documented instructions on:
 Inspection planning
 Inspection techniques
 Sampling
What evidence is there that the inspection

body uses documented instructions on:
• inspection planning
• inspection techniques
• sampling
Where applicable, what evidence is there that

the inspection body has sufficient knowledge
of statistical techniques to ensure statistically
sound sampling procedures and the correct
processing and interpretation of results?
Is there sufficient evidence to provide

confidence that inspection methods and
procedures are managed to provide an
acceptable degree of technical reliability and
consistency in inspection outcomes?

Contract Review
7.1.5 a) What records are there to demonstrate that
the inspection body determines that work to be
undertaken is within its expertise and that the
organization has adequate resources to meet
the requirements before accepting work?
NOTE Resources can include, but are not

limited to, facilities, equipment, reference
documentation, procedures and human
resources.
b) What records are there to demonstrate that

the inspection body determines that the
requirements of those seeking the inspection
body's services are adequately defined and that
special conditions are understood, so that
unambiguous instructions can be issued to
personnel performing the duties to be required
before work is accepted?
c) What records are there to demonstrate that

work being undertaken is controlled by regular
review and corrective action?
d) What records are there to demonstrate that

the requirements of the contract or work order
have been met?
7.1.5 Is there sufficient evidence to give confidence

that the inspection body’s contract or work order
control system fulfils all requirements?

Handling Inspection Items and Samples
7.2.1 What evidence is there that the inspection body
ensures items and samples to be inspected are
uniquely identified in order to avoid confusion
regarding the identity of such items and
samples?
7.2.2 What evidence does the inspection body have

that they check whether or not the item to be
inspected has been appropriately prepared [for
inspection]?
7.2.3 What evidence is there that the inspection body

records any apparent abnormalities notified to it,
or noticed by the inspector?
What evidence is there that when there is any

doubt as to the item's suitability for the
inspection or where the item does not conform
to the description provided, the inspection body
contacts the client before proceeding?
7.2.4 Where applicable does the inspection body

have documented procedures and appropriate
facilities to avoid deterioration or damage to
inspection items while under its responsibility?
What evidence is there that the documented

procedures and appropriate facilities are used
when appropriate to avoid deterioration or
damage to inspection items while under its
responsibility?

confidence that items for inspection are clearly
identified and that they are safeguarded from
deterioration while under the inspection body’s
responsibility?

Inspection and Management System Records
8.4.1 Has the inspection body established
[NEW] procedures to define the controls needed
for all of the following document
management activities related to the
fulfilment of this International Standard.?
[NEW]  Identification of records?

[NEW]  Storage of records?
[NEW]  Protection of records?
[NEW]  Retrieval of records?
 Retention time for records?
[NEW]  Disposition of its records?

procedures for retaining records for a period
consistent with its contractual and legal
obligations?
[NEW] Is access to these records consistent with the

confidentiality arrangements?
7.1.7 What evidence was seen to demonstrate that

observations and data obtained in the course
of inspections are recorded in a timely manner
so as to prevent loss of relevant information?
7.1.8 What evidence is there that calculations and

data transfers are subject to appropriate
checks?
NOTE Data can include textual material,

digital data and anything else that is
transferred from one location to another where
errors could be introduced.
7.3.2 How can the inspection body demonstrate that

[NEW] the record keeping system facilitates the
linking of the inspector(s) who performed the
inspection with the inspection report and/or
certificate?
7.3.1 Does the available evidence give confidence

that the inspection body maintains a record
system that effectively demonstrates and
confirms the operation of management system
and inspection procedures and that facilitates
effective evaluation of inspections?

Inspection reports and inspection certificates
7.4.1 Is the work carried out by the inspection body
covered by retrievable inspection reports
and/or inspection certificates?
7.4.2 What evidence is available to demonstrate

that all inspection reports/certificates include
all of the required information:
NOTE Optional elements that can be included

in inspection reports or certificates are listed in
Annex B.
7.4.3 If the inspection body issues an inspection

certificate that does not include the inspection
results [see 7.4.2 g); what evidence is
available to demonstrate that the inspection
body retains sufficient records to be able to
produce an inspection report containing the
inspection results if required in future?
If the inspection body produces both

inspection certificates and inspection reports
for the same item how are the certificates and
reports traceable to each other?
7.4.4 How can the inspection body demonstrate that

all information listed in 7.4.2 is reported
 Correctly
 Accurately
 Clearly
What evidence is there to demonstrate that

where an inspection report or inspection
certificate contains results supplied by
subcontractors, these results are clearly
identified as subcontracted?
7.4.5 What evidence is there to demonstrate that

any corrections or additions to inspection
reports or inspection certificates, after issue,
are recorded in accordance with the relevant
requirements of this sub clause (7.4)?
What evidence is there that amended reports

or certificates identify the reports or certificates
they replace?

confidence that inspection reports and
certificates contain all required information and
are subject to appropriate controls to minimise
errors?

Complaints and Appeals
processes to:
 Receive complaints and appeals?

 Evaluate complaints and appeals?
 make decisions on complaints and
appeals?
7.5.2 Is a description of the handling process for

[NEW] complaints and appeals available to any
interested party upon request?
7.5.3 What evidence is there that, upon receipt of a

[NEW] complaint, the inspection body confirms
whether the complaint relates to inspection
activities for which it is responsible or not?
When complaints are found to relate to

inspection activities for which it is responsible,
what evidence is there that the inspection
body manages them appropriately?

[NEW] body takes responsibility for all decisions at all
levels of the handling process for complaints
and appeals?
7.5.5 Are procedures for managing the investigation

[NEW] and decision making on complaints and
appeals effective in preventing any
discriminatory actions as a result of complaints
and appeals?
7.6.1 Does the handling process for complaints and

appeals include at least the following elements
and methods:
[NEW] a) a description of the process for receiving,

validating, investigating the complaint or
appeal, and deciding what actions are to be
taken in response to it?
[NEW] b) tracking and recording complaints and

appeals, including actions undertaken to
resolve them?
[NEW] c) ensuring that any appropriate action is

taken?

[NEW] body takes responsibility for gathering and
verifying all necessary information to validate
the complaint or appeal?

[NEW] body whenever possible, acknowledges
receipt of the complaint or appeal?
[NEW] What evidence is there that the inspection

body provides the complainant or appellant
with progress reports and the outcome of
complaints and appeals?

[NEW] body ensures that the decision to be
communicated to the complainant or appellant
is made by, or reviewed and approved by, an
individual(s) not involved in the original
inspection activities in question?
7.6.5 What evidence is there that, whenever

[NEW] possible, the inspection body gives formal
notice of the end of the complaint and appeals
handling process to the complainant or
appellant?

confidence that the complaints and appeals
process meets all requirements and operates
effectively?

Management System Requirements
Options
8.1.1 Note:
The Standard provides two options A and B
for meeting management system
requirements.
8.1.2 Option A
The management system of the inspection
body shall address the requirements of
clauses 8.2 – 8.8 see below:
8.1.3 Option B
[NEW] The inspection body may establish and
maintain a management system in accordance
with ISO 9001. In which case systems should
meet the requirements of clauses 8.2 – 8.8
below. Assess 8.2 – 8.8 below.
Management system documentation

8.2.1 Has the inspection body's top management
[NEW] documented policies and objectives for
fulfilment of this International Standard?
[NEW] What evidence is there that the inspection

body's top management ensures the policies
and objectives are acknowledged at all levels
of the inspection body's organization?
8.2.2 What evidence is there of top management’s

[NEW] commitment to the development and
implementation of the management system
and its effectiveness in achieving consistent
fulfilment of this International Standard?
8.2.3 Has a member of the management team

[NEW] been appointed by the inspection body's top
management to have responsibility for the
(quality) management system?
[NEW] Do the responsibilities and authority of the

nominated person include the following:
a) ensuring that processes and procedures

needed for the management system are
established, implemented and maintained?
b) reporting to top management on the

performance of the management system and
any need for improvement?

8.2.4 How are all documentation, processes,
systems, records, etc. related to the fulfilment
of the requirements of this International
[NEW] Standard included, referenced, or linked to
documentation of the management system?
8.2.5 What evidence is there that all personnel

involved in inspection activities have access to
the parts of the management system
documentation and related information that
are applicable to their responsibilities?

confidence that system documentation covers
all requirements and that all elements of the
system are effectively integrated?

Document control
procedures to control the documents (internal
and external) that relate to the fulfilment of this
International Standard?
8.3.2 Does the document control system define the

controls needed for all of the following?:
a) to approve documents for adequacy prior to

issue?
[NEW] b) to review and update (as necessary) and
re-approve documents?
[NEW] c) to ensure that changes and the current
revision status of documents are identified?
d) to ensure that relevant versions of
applicable documents are available at points
of use?
[NEW] e) to ensure that documents remain legible
and readily identifiable?
[NEW] f) to ensure that documents of external origin
are identified and their distribution controlled?
[NEW] g) to prevent the unintended use of obsolete
documents, and apply suitable identification to
them if they are retained for any purpose?

confidence that all essential documents are
kept up to date and that all relevant personnel
are informed of changes as intended?

Management Review
General
8.5.1.1 What evidence is there that the inspection
body's top management have established
procedures to review its management system
at planned intervals?
Is the intent to determine if the management

system continues to be suitable?
Is the intent to determine if the management

system is adequate and effective?
[NEW] Are the suitability and effectiveness of stated

policies and objectives, related to the
fulfilment of this International Standard,
reviewed during the management review?
8.5.1.2 What evidence is there that comprehensive

management review meetings are conducted
at least once a year?
OR
[NEW] What evidence is there that a complete review,

broken up into segments (a rolling review) is
completed within a 12-month time frame?
8.5.1.3 What evidence is there that records of

management reviews are maintained and
that?

Management Review Inputs
8.5.2 What evidence is there that the input to
management reviews includes information
related to at least all of the following?
[NEW] a) results of internal and external audits?

[NEW] b) feedback from clients and interested parties
related to the fulfilment of this International
Standard?
[NEW] c) the status of preventive and corrective
actions?
[NEW] d) follow-up actions from previous
management reviews?
[NEW] e) the fulfilment of objectives?
[NEW] f) changes that could affect the management
system?
[NEW] g) appeals and complaints?

appropriate information is being collected and
considered to support a meaningful
management review?
Management Review Outputs

8.5.3 What evidence is there that the outputs from
management review include at least decisions
and actions related to:
[NEW] a) improvement of the effectiveness of the

management system and its processes;
[NEW] b) improvement of the inspection body related
to the fulfilment of this International Standard;
[NEW] c) resource needs.

management review is taking place as
intended and that the process is effective in
identifying and remedying any deficiencies in
the management systems?
Internal Audit
procedures for internal audits to verify that it
fulfils the requirements of this International
Standard?
Has the inspection body established

procedures for internal audits to verify that the
management system is effectively
implemented and maintained?
NOTE ISO 19011 provides guidelines for

conducting internal audits.

8.6.2 What evidence is there that audit programme
[NEW] planning takes into consideration the
importance of the processes and areas to be
audited, as well as the results of previous
audits?
8.6.3 What evidence is there that internal audits

cover all procedures in a planned and
systematic manner, in order to verify that the
[entire] management system is implemented
and is effective?
8.6.4 What evidence is there that internal audits are

performed at least once every 12 months?
The frequency of internal audits may be

adjusted depending on the demonstrated
effectiveness of the management system and
its proven stability.
8.6.5 What evidence is there to demonstrate that the

inspection body ensures that:
a) internal audits are conducted by qualified

personnel knowledgeable in inspection,
auditing and the requirements of this
International Standard?
b) auditors do not audit their own work?
[NEW] c) personnel responsible for the area audited
are informed of the outcome of the audit?
d) any actions resulting from internal audits are
taken in a timely and appropriate manner?
[NEW] e) any opportunities for improvement are
identified?
f) the results of audits are documented?

internal audits meet the minimum
requirements of the Standard and are being
used appropriately to assess the
implementation of documented systems?

Corrective Actions
procedures for identification and management
of nonconformities in its operations?
8.7.3 Are corrective actions appropriate to the

[NEW] impact of the problems encountered?
8.7.4 Do the corrective action procedures define at

least requirements for the following:
a) identifying nonconformities?
b) determining the causes of nonconformity?
c) correcting nonconformities?
d) evaluating the need for actions to ensure
that nonconformities do not recur?
e) determining the actions needed and
implementing them in a timely manner?
f) recording the results of actions taken?
[NEW] g) reviewing the effectiveness of corrective
actions?

[NEW] body has, where necessary, taken action to
eliminate the causes of nonconformities in
order to prevent recurrence?

Preventive Actions
procedures for taking preventive actions to
eliminate the causes of potential non-
conformities?
8.8.2 Have preventive actions taken been

[NEW] appropriate to the probable impact of the
potential problems?
8.8.3 Do procedures for preventive actions define

requirements for at least the following:
[NEW] a) identifying potential nonconformities and

their causes?
[NEW] b) evaluating the need for action to prevent the
occurrence of nonconformities?
[NEW] c) determining and implementing the action
needed?
[NEW] d) recording the results of actions taken?
[NEW] e) reviewing the effectiveness of the
preventive actions taken?
NOTE The procedures for corrective and

preventive actions do not necessarily have to
be separate.

the inspection body has implemented an
effective preventive action system?

Check of contents of Inspection reports and certificates
ID of report/certificate reviewed ________________________________________________________
Inspection report/certificate shall include all of the following:
a) identification of the issuing body;

b) unique identification and date of issue;
c) date(s) of inspection;
d) identification of the item(s) inspected;
e) signature or other indication of approval, by authorized personnel;
f) a statement of conformity where applicable;
g) the inspection results, except where detailed in accordance with 7.4.3.
The following optional elements can, but need not, be included in inspection reports and certificates:
a) designation of the document, i.e. as an inspection report or an inspection certificate, as appropriate;

b) identification of the client;
Note: The owner of the inspected item can be mentioned in the report or certificate if the owner is not the
client.
c) description of the inspection work ordered;
d) information on what has been omitted from the original scope of work;
e) identification or brief description of the inspection method(s) and procedure(s) used, mentioning the
deviations from, additions to or exclusions from the agreed methods and procedures;
f) identification of equipment used for measuring/testing;
g) where applicable, and if not specified in the inspection method or procedure, reference to or description
of the sampling method and information on where, when, how and by whom the samples were taken;
h) information on where the inspection was carried out;
i) information on environmental conditions during the inspection, if relevant;
j) a statement that the inspection results relate exclusively to the work ordered or the item(s) or the lot
inspected;
k) a statement that the inspection report should not be reproduced, except in full;
l) the inspector's mark or seal;
m) names (or unique identification) of the personnel members who have performed the inspection and, in
cases when secure electronic authentication is not undertaken, their signature (see also 7.4.2).
Was the reviewed report/certificate satisfactory? _________________________
If not detail here

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INSPECTION BODY

Inspection Body Name:

ISO/IEC 17020:2012 (without internationally agreed interpretations)

4.1.2 Does the documented statement explicitly not

5.2.1 Is the inspection body structured and

Is there any evidence that reporting lines or

4.1.3 What evidence is there that the inspection

6.1.11 How are personnel, involved in inspection

4.1.4 What evidence is there that the inspection

What evidence is there that identified conflicts

4.1.2 Is there sufficient evidence to conclude that

IANZ: AssessmentChecklistIB2012, ????? 2012 Page 2 of 34

Have the worksheets been reviewed to

4.1.6 Are all of the accredited activities of the

IANZ: AssessmentChecklistIB2012, ????? 2012 Page 3 of 34

4.2.1 Does the inspection body have legally

E.g. in contract documents.

Does the inspection body have a procedure to

4.2.2 If the inspection body is required, by

Note: If notification is prohibited by law, the

Is there sufficient evidence to conclude that

5.1.2 If the inspection body is part of a legal entity,

5.1.3 What documentation does the inspection body

IANZ: AssessmentChecklistIB2012, ????? 2012 Page 4 of 34

NOTE The liability can be assumed by the

5.1.5 What documentation does the inspection body

This requirement does not apply when an

IANZ: AssessmentChecklistIB2012, ????? 2012 Page 5 of 34

5.2.3 How has the inspection body defined and

5.2.7 Does the inspection body have a job

6.1.4 How does the inspection body make clear to

5.2.5 What is/are the name(s) of the person(s)

5.2.5 What evidence is there that each named

5.2.5 If the inspection body has more than one

5.2.6 Does the inspection body have one or more

Record the name(s) or comment on the

6.1.2 What evidence is there that the inspection

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IANZ: AssessmentChecklistIB2012, ????? 2012 Page 7 of 34

Is there sufficient evidence to conclude that

IANZ: AssessmentChecklistIB2012, ????? 2012 Page 8 of 34

What evidence is there that personnel

 the significance of deviations found with

This clause applies to both inspectors and

Is there sufficient evidence to conclude that all

IANZ: AssessmentChecklistIB2012, ????? 2012 Page 9 of 34

of inspectors and other personnel involved in

6.1.6 Does the documented training system address

6.1.7 Is the training required appropriate to the

[NEW] What evidence is there that training is linked to

6.1.10 What evidence is there to demonstrate that

for each member of its personnel involved in

Is there sufficient evidence to conclude that

IANZ: AssessmentChecklistIB2012, ????? 2012 Page 10 of 34

What evidence is there that monitoring is

[NEW] What evidence is there that the results of

NOTE Monitoring can include a combination of

6.1.9 Is each inspector observed [regularly] on-