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Quality

Audit
Planning
By
Ishamuddin
Mustapha

REPORT TO
MGMNT REVIEW

Planning

Audit Execution

Follow - up

Reporting

Audit program will be influenced by the


following criteria :

The scope, objective and duration of each audit


to be conducted
The number, importance, complexity, similarity,
and location of the activities to be audited
Standards, statutory, regulatory and contractual
requirements and other audit criteria
Results of previous audit
Significant changes to an organization or its
operation

Initial activities in this steps involved :


1.
2.
3.
4.
5.
6.
7.
8.

The decision to conduct an audit


The type
Scope
Client
Objectives
Requirements
Lead auditor
The audit team assign

The early planning activities of the


lead auditor include :
1. Document review of the organization

The vision and mission statement


The quality policy
The quality manual
System and operation procedures
Work instruction
An organization chart
Specific functional responsibilities of the quality assurance program
The contract existing between the client and purchaser
Any internal and /or external regulatory requirements

2. The intended audit scope


** this is important as to developing a detailed checklist

Upon selection of audit teams:


1. The audits team will conduct a planning
meeting to :

Select and assign audit activities


Further developed and evaluates the checklist
Review documentation
Schedule the actual assessment audit

2. Communication with client

Lead auditor will contact client to obtained agreement on


schedule and audit planned and inform the audit team
members

Re-confirm of below :
1. Establish correct audit type and scope
2. Establish correct audit basis it is the
standard, manual, procedures or
combination thereof?
3. Suitable audit personnel size is
dependent on the type, purpose and scope
of audit. Audit team may include
specialists, trainee auditors, observers
acceptable to auditee and audit team.

Re-confirm of below :
4. Readiness

Read basis documentation as well as previous


audit reports and determine what records
shall be pulled in advance

Prepare process model identifying the


expected results of the process to be audited
5. The auditee has been informed in advance of:
time, date, the scope, the basis, timetable of the
audit
6. The preparation of audit checklists use open
ended questions what? Why? Who? How? Which?

Audit plan contents :


1. Objective of audit and scope
2. Identification of key individuals
3. Identification of reference documents
4. Audit team members
5. Language of the audits
6. Data and place of audit
7. Units to be audited
8. Time and duration
9. Schedule of meetings
10.Confidentiality requirements
11.Report distribution and issue date

UniKL MITEC
Internal Audit Plan
Audit reference No :
File No :
Purpose of audit :
Scope of audit :
Lead auditor assigned :
Location (s) of audits :
Unit or area to be audited :
Reference documents :
Team members :
Date of audits ;
Anticipated duration
of audit :
Time of opening
Anticipated time of
meeting :
closing meeting :
Facilities requested

Audit plan advantages are :


1.
2.
3.
4.
5.
6.
7.

Clarifies purpose of audit


Use time more effectively
Ensures everything covered
Shows open approach
Gives structure to audit
Gives professional impression
Provides record of scope

Purpose of check-list :
1. To provide a framework for the audits
2. To ensure all aspect are addresses
3. To act as a prompt for the auditor

Sources for check-list items


1. Reference standard e.g. ISO9001;2008
2.
3.
4.
5.
6.

Company DQS
Known or classic problems
Ideas from others
Knowledge of industry
Previous check-lists

Tips on check-list :
1. Keep it simple one page per
check-list
2. Follow a logical sequence
3. Use bullet points, if relevant
4. Remember the 5W & 1H question
5. Try to avoid making assumptions

UniKL MITEC
Audit Checklist
Audit
checklist

Function / Process Audited :


________________
Document references :
_________________

Item
No :

Audit
Referenc
questions e

Prepared by :
_________________________

Audit No
:________________
Audit date :
__________________

Result Notes / Observation


s

Page
of :

Date prepared :
_____________________

1.

You are a quality manager in company ABC. You found out that
there are a significant problems in production department
where they produce a lot of reject parts. You think it is
important for you to understand the real problems in
production department. What will you do than.

2.

In group :
Identify any function in a manufacturing company
Identify suitable reference standard, audit scope
and suitable clauses / section ( at least 3 clause)
Prepare suitable audit questions for each
section/clauses