AS9100D - Good ways to document an internal audit plan / schedule

Joeem

Involved In Discussions
#1
Help. Any good ideas for a good way to document a internal audit plan / schedule? I have 16 processes to audit. What program should I use to create something to show what is audited and when and by who?

Sent from my Pixel 2 using Tapatalk
 

Golfman25

Trusted Information Resource
Trusted
#2
We just use a spreadsheet. Processes down the left column. Months on top. Then we just fill in the boxes when we want something audited. Pretty simple.
 

Cari Spears

Super Moderator
Super Moderator
#3
We just use a spreadsheet. Processes down the left column. Months on top. Then we just fill in the boxes when we want something audited. Pretty simple.
Same here. Once the audit has been conducted, I put the internal audit report number in the space. When I schedule follow up, I put the corrective action request number in the space. (I started working here in May 2017 :))

When an internal audit is only one department or function, I just let them know what day and time I'll be there and about how long it will take. But, when an internal audit spans multiple departments/functions, then I create an audit plan and distribute and post it - I've attached the DPD audit plan I'm preparing now.
 

Attachments

Last edited:

AndyN

A problem shared...
Staff member
Super Moderator
#4
Help. Any good ideas for a good way to document a internal audit plan / schedule? I have 16 processes to audit. What program should I use to create something to show what is audited and when and by who?

Sent from my Pixel 2 using Tapatalk
An audit plan or schedule? An audit plan is for a specific audit. A schedule is NOT a requirement. Anyone trying to fill a calendar of audits over 12 months needs a crystal ball. It simply says they should be planned and a frequency determined. That doesn't mean a calendar. Unless you say you'll do an audit a month and NOT define scope and criteria until you decide WHAT to audit.
 

dsanabria

Quite Involved in Discussions
#5
Help. Any good ideas for a good way to document a internal audit plan / schedule? I have 16 processes to audit. What program should I use to create something to show what is audited and when and by who?

Sent from my Pixel 2 using Tapatalk
The requirements of the standards are that:

"a) plan, establish, implement and maintain an audit programme(s) including the frequency, methods, responsibilities, planning requirements and reporting, which shall take into consideration the importance of the processes concerned, changes affecting the organization, and the results of
previous audits"

Auditors will be looking for agenda, what ws covered and how often.
Therefore, you need a plan which includes how often, what are you goin
 

Joeem

Involved In Discussions
#6
The requirements of the standards are that:

"a) plan, establish, implement and maintain an audit programme(s) including the frequency, methods, responsibilities, planning requirements and reporting, which shall take into consideration the importance of the processes concerned, changes affecting the organization, and the results of
previous audits"

Auditors will be looking for agenda, what ws covered and how often.
Therefore, you need a plan which includes how often, what are you goin
Yes, but for those with customers of utc you need to audit your system within 12 months

Sent from my Pixel 2 using Tapatalk
 

AndyN

A problem shared...
Staff member
Super Moderator
#8
The requirements of the standards are that:

"a) plan, establish, implement and maintain an audit programme(s) including the frequency, methods, responsibilities, planning requirements and reporting, which shall take into consideration the importance of the processes concerned, changes affecting the organization, and the results of
previous audits"

Auditors will be looking for agenda, what ws covered and how often.
Therefore, you need a plan which includes how often, what are you goin
I don't give two hoots for what auditors "look for". That's NOT their job. Where is an agenda REQUIRED? A PLAN is NOT a calendar, PERIOD. This is where people frequently conflate what CB auditors THINK should happen, rather than WHAT is REQUIRED. If you got your Lead Auditor/Auditor training from a CB or someone who only knows the third party process: Voila! Believe me when I tell you, I've yet to encounter a CB auditor who could even explain what "Status and importance" from 8.2.2 of 2008 means, practically speaking! I know this because I see, weekly, organizations doing one or two audits a year. And they aren't all certified by the same CB or the same (contracted) auditor!
 

Mike S.

An Early 'Cover'
#9
The OP didn't ask what was required by the standard or auditors.

I use a spreadsheet as well. I set date goals for certain audits, and am flexible as to the realities that sometimes require those planned dates to move around.

Create a plan/schedule and adjust as necessary. Kinda how you run much of a business, huh?
 

AndyN

A problem shared...
Staff member
Super Moderator
#10
The OP didn't ask what was required by the standard or auditors.

I use a spreadsheet as well. I set date goals for certain audits, and am flexible as to the realities that sometimes require those planned dates to move around.

Create a plan/schedule and adjust as necessary. Kinda how you run much of a business, huh?
And I'd suggest that, to set a calendar and then be adjusting dates etc isn't what is, as the OP requests, a "good way to document an internal audit plan/schedule"...

Doing internal audits isn't a time based thing - CB audits are. Internal audits need to go where the "squeaky wheels are" and those do not happen to a 12 month schedule. I recall, a couple of versions ago, ISO 9004 had a very good guideline which stated something along the lines of "scheduling should be flexible to all for things uncovered at each audit". If you plan something and the plan keeps changing, all we know is, the plan isn't a good one.
 

Top