Inspection Evidence and Recordkeeping: What Auditors Expect

You may be doing excellent inspection work.

But when an auditor arrives, none of that matters if your evidence and records are weak, incomplete or hard to trace.

Audits are not about “who is the smartest engineer in the room”. They are about:

• What evidence exists
• How clearly it supports your decisions
• Whether your inspection work can be reconstructed and defended months or years later

This article explains, in practical terms:

• What “inspection evidence” really means
• Which records auditors expect to see
• How long you should keep them
• Typical weak spots that generate findings
• How to build an inspection record system that is easy to audit

It is written for:

• Vendor and third-party inspectors
• QA/QC and SQS engineers
• People working in inspection bodies and test labs
• Anyone who has to survive ISO 9001, ISO/IEC 17020 or client audits

NTIA uses the same concepts in its Vendor, Valve and Raw Materials training programs.

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1. Why Inspection Evidence and Records Matter So Much in Audits

Audits are evidence-based.

Audit guidance around ISO 9001 and related standards is very clear: auditors are looking for objective evidence that your processes are followed and effective – not just opinions or assurances.

For inspection work, that means:

• If you did it but did not record it → for the auditor, you did not do it.
• If your decisions are not backed by traceable data → they are hard to defend.

For inspection bodies operating under ISO/IEC 17020, recordkeeping is not a “nice to have” – it is a formal requirement. The standard expects you to retain records of inspection activities, from request to report, in a way that supports impartial, traceable decisions.

In practice:

• Strong evidence and records = smoother audits, fewer findings, faster approvals
• Weak evidence and records = long interviews, doubts, and often nonconformities

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2. Objective Evidence 101: What Auditors Mean by “Show Me Proof”

2.1 What Is Objective Evidence?

In ISO language, objective evidence is “data supporting the existence or truth of something”. In audits, that usually means:

• records
• statements of fact
• other information that can be verified

It is not “I remember checking that valve” or “I think we did that test”. Auditors are trained to ask: “Can I see the record?”

2.2 Examples of Objective Evidence in Inspection

Good inspection evidence typically includes:

• Completed inspection checklists and forms
• Test records (e.g. pressure tests, functional tests, NDE reports)
• Instrument details and calibration status
• Material certificates with heat numbers and test results
• Photos with clear identification (tag, date, location)
• NCR forms, concessions and corrective actions
• Signed ITP witness/hold points and release notes

For practical report structure and evidence-ready formatting, see Write a Valve Inspection Report (With Sample) and the Incoming Inspection Form Template (XLSX/PDF).

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3. What Standards Say About Inspection Records

3.1 ISO 9001 – Documented Information You Must Retain

ISO 9001 requires organisations to retain documented information as evidence that processes are being carried out as planned. For inspection and testing, this includes records of:

• inspection and test results
• calibration and verification of measuring instruments
• competence of personnel
• nonconformities and corrective actions

Guidance texts on ISO 9001 highlight that these records are essential for demonstrating compliance and for analysing performance over time.

For an inspector, this means your inspection records are not just “for the client” – they are also part of your organisation’s core quality evidence.

3.2 ISO/IEC 17020 – Specific Expectations for Inspection Bodies

For inspection bodies, ISO/IEC 17020 goes further. It expects you to:

• Maintain inspection records that show:
  • What was inspected
  • Who did it
  • Which methods were used
  • What the results were
• Retain worksheets, notebooks and other notes used during inspections for a defined period
• Keep records in a way that preserves integrity, confidentiality and retrievability

Accreditation bodies and guidance documents repeatedly stress: Every inspection should leave behind an audit trail that allows a competent person to reconstruct how you reached your conclusion.

3.3 Best Practice from Industry Audits

Audit practice guides and industry examples (manufacturing, oil & gas, labs) all circle around the same core expectations:

• Records must be legible, complete, dated and traceable
• Changes must be controlled (no uncontrolled overwriting or deleting)
• Records must be available when requested – not hidden in personal inboxes or private spreadsheets

The good news: if you design your inspection evidence pack carefully, most audits become much easier.

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4. What Inspection Evidence Auditors Actually Look For

4.1 A Clear Trail from Requirement to Record

Auditors like to follow a story:

1. Requirement
   • Code, standard, client spec, drawing, ITP clause
2. Inspection activity
   • Who performed which checks, where and when
3. Result and decision
   • Measured values, observations, pass/fail, NCR raised or not
4. Follow-up
   • Retests, corrections, concessions, final acceptance

If any part of this chain is missing or very weak, it looks like a risk.

To see how defects turn into traceable NCR decisions in practice, use Common Vendor Nonconformities & How To Fix Them as your reference model.

4.2 Completeness and Consistency

Auditors often ask:

• Are all ITP points covered by some form of evidence?
• Are checklists fully filled in, with signatures and dates?
• Do test records show actual measured values, not just “OK”?
• Do photos, certificates and checklists tell the same story?

If your inspection report says “visual inspection OK”, but photos show obvious coating holidays or damaged nameplates, that inconsistency is a red flag.

4.3 Traceability and Identification

Traceability is one of the most common weak points.

Auditors will check whether they can match items in the field or at the vendor to:

• tag or serial numbers
• heat numbers and material certificates
• inspection and test records

If the heat number on a plate or valve does not appear in the MTR, or if your report does not clearly identify which certificate applies to which item, you have a gap.

For practical traceability rules and cross-check methods, see Heat Numbers, Traceability & Certificate Matching and Valve Nameplates, MTRs & Material Identification.

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5. Building a Practical Inspection Evidence Pack

A good way to make audits easier is to define a standard “evidence pack” for each type of inspection you perform.

5.1 Core Documents Every Inspection File Should Include

For most vendor / valve / raw material inspections, a robust file will contain:

• Relevant section of the approved ITP
• Completed inspection checklists (visual, dimensional, testing)
• Test records with equipment ID and calibration status
• Material certificates (MTRs, CoAs) and traceability cross-reference
• NCRs, concessions and final dispositions (if any)
• Photos of key observations and conditions
• Final inspection report, signed and dated

If you want a ready-to-use structure for incoming checks (including how to capture identification and evidence cleanly), use the Incoming Inspection Form Template (XLSX/PDF) and the Receiving Photo & Documentation SOP for Incoming Goods.

5.2 Digital vs Paper – What Auditors Actually Want

Auditors generally do not care whether your records are on paper or digital – they care about:

• Accessibility – can you find them quickly during an audit?
• Control – are they protected from accidental changes or deletion?
• Integrity – can you show who created them and when?

Digital systems (QMS, DMS, cloud storage) are fine if:

• Folder structures and naming conventions are clear (e.g. by tag, PO, vendor)
• Access is controlled and backed up
• You can retrieve a complete inspection file during an audit without drama

Paper systems are fine if:

• Files are organised, indexed and protected
• Simple copies can be made for auditors without losing originals

Whatever you choose, design it so someone else can find the records without your personal guidance.

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6. Record Retention: How Long Should You Keep Inspection Records?

6.1 What Drives Retention Periods?

There is no single global rule. Your retention periods will depend on:

• Legal and regulatory requirements in your industry and country
• Contractual requirements from clients
• Internal risk assessment (e.g. safety-critical vs low-risk equipment)
• Company policy on quality records and audit trails

Guidance on ISO 9001 and similar standards emphasises that retention times should be defined, justified and consistently applied – not arbitrary.

For safety-critical equipment and raw materials, many organisations choose longer retention times than for low-impact items.

6.2 Typical Practices

While exact numbers vary, typical practices include:

• Several years (often 5–10) for inspection and test records relating to:
  • pressure equipment
  • safety systems
  • critical rotating or static equipment
• Longer for sectors like nuclear, aviation, or where long product lifetimes and liability periods apply

The key point: whatever retention periods you choose, document them in a record retention policy and apply them consistently.

For inspection bodies under ISO/IEC 17020, check the specific requirements from your accreditation body: some give explicit guidance on minimum retention times for inspection records and notes.

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7. Common Weak Spots Auditors Find in Inspection Evidence

7.1 “OK Everywhere” Checklists

A classic problem:

• Every field in the checklist says “OK”
• No measurements, no comments, no references to clauses

For auditors, this suggests paper compliance: it is impossible to distinguish a real inspection from a quick “tick-the-box” exercise.

To fix this:

• Record key values (dimensions, pressures, torque, temperatures)
• Reference relevant spec or code clauses where appropriate
• Use comments for unusual situations or borderline cases

7.2 Missing Links in Traceability

Typical findings:

• Heat numbers on MTRs do not match markings on the items
• Tag numbers in the inspection report do not match the actual nameplates
• Certificates from vendors are present, but there is no explicit statement that the inspector cross-checked them

For traceability discipline, see Heat Numbers, Traceability & Certificate Matching. For material equivalency checks that reduce “wrong spec” risks, use EN vs ASTM: Common Material Specs Mapped.

7.3 Lost or Uncontrolled Rough Notes

Inspectors often use personal notebooks, worksheets or unstructured spreadsheets during inspections.

The risk:

• These notes get lost, or
• They contain critical details that never make it into formal records

ISO/IEC 17020 guidance explicitly mentions that worksheets and notebooks used for recording inspection observations and results should be retained for a defined period, not simply thrown away.

A better approach:

• Capture essential observations in structured forms and checklists
• Treat notebooks as temporary tools, not the only place where information lives
• If notebooks are used heavily, include them in your record retention policy

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8. How to Upgrade Your Inspection Recordkeeping in 5 Steps

You do not need a giant project to improve your evidence and records. Start with these five steps.

Step 1 – Define a Standard “Inspection Evidence Pack”

For each type of inspection (vendor, valve, raw material, incoming, final):

• Define a short list of documents that must be present every time
• Use the lists in this article as a starting point

Step 2 – Use Structured Forms and Checklists

Free-text reports are harder to audit and compare.

Use structured forms (tables, sections) for:

• visual checks
• dimensions and tolerances
• test parameters and results

Step 3 – Make Objective Evidence Visible

In every inspection file, auditors should quickly see:

• What was measured (numbers, not just “OK”)
• What was observed (photos with labels)
• Which clause or specification requirement was applied

For critical decisions (accept/reject, NCRs), link your reasoning to evidence in the file, and to thresholds defined in your procedures.

Step 4 – Build a Simple Retention and Indexing Policy

Decide and document:

• Which inspection records you retain
• For how long
• Where they are stored (system, folders, archives)
• How they are indexed (e.g. by tag, project, vendor, heat number)

Make sure this policy is:

• Known to inspectors and QA/QC staff
• Applied consistently across the organisation

Step 5 – Audit Your Own Records Before Auditors Do

Internal audits and self-checks are powerful.

• Sample a few completed inspection files each quarter
• Ask:
  • Can I follow the trail from requirement to decision?
  • Is evidence complete, legible and traceable?
  • Would I be comfortable defending this file in front of a client?

Use the findings to fine-tune your forms, checklists and training.

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9. FAQ – Inspection Evidence and Recordkeeping

Q1. What is inspection evidence in a quality audit?
Inspection evidence is objective evidence that an inspection was performed as required and that the results support your decisions. It includes completed forms, test records, photos, certificates, NCRs and final reports – anything that a third party can verify.

Q2. Which inspection records are auditors most interested in?
Auditors focus on records that show how you meet requirements: ITP evidence, inspection checklists, test and calibration records, material and traceability documents, NCRs and corrective actions, and final inspection reports.

Q3. How long should we keep inspection records?
Retention time depends on legal, contractual and risk factors. Many organisations keep inspection records for several years (often 5–10) for critical equipment and materials, and sometimes longer in high-liability sectors. Your retention times should be defined in a policy and applied consistently.

Q4. What is the difference between opinion and objective evidence?
Opinion is what someone thinks or remembers. Objective evidence is fact: numbers, observations, documents, photos, test results. Auditors base their findings on evidence, not on personal opinion.

Q5. Do we really need to keep notebooks and rough notes?
If notebooks and worksheets are used to record inspection observations and results, standards and accreditation guidance expect them to be retained for a defined period – or their content must be transferred into controlled records. Throwing them away immediately after use can create gaps in your audit trail.

Q6. Can we rely only on vendor certificates and reports as evidence?
No. Vendor documents are part of the evidence, but auditors also expect records showing your own inspection: what you checked, what you accepted or rejected, and how you handled nonconformities. For common vendor failure patterns (and how to record them properly), see Common Vendor Nonconformities & How To Fix Them.

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10. If You Want Audit-Proof Inspection Work, Evidence and Records Are Your Safety Net

If you:

• Spend time at vendor shops or on site
• Sign inspection reports and release notes
• Deal with NCRs, concessions and client comments
• Live under ISO 9001, ISO/IEC 17020 or client audits

…then inspection evidence and recordkeeping are not bureaucratic extras. They are:

• Your protection in disputes and audits
• Your proof that you did your job properly
• Your ticket to trust from clients, managers and regulators

NTIA’s online training programs for
Vendor Inspection,
Valve Inspection
and
Raw Materials & Supplier Qualification
are built around exactly these realities:

• How to plan inspections and SQS so that evidence is built-in
• How to use standards, ITPs and checklists in a way that is traceable and defensible
• How to write inspection reports that auditors and clients can understand and approve

If this article feels very close to your daily work, those courses are likely your next logical step – so that the next time an auditor says “Show me your inspection records”, you are ready, calm and confident.