Is an annual "audit schedule" the same thing as an audit scope/ audit plan?

kylerf

Involved In Discussions
#1
Just as the title says, we have an annual audit schedule ever year that shows what processes will be audited every month. Will this satisfy the "audit plan/scope" requirements?

The standards that we are currently certified to are ISO9001:2008 and TS 16949. We are working on getting our AS9100D and IATF16949 certification this year.

ISO 9001:2015 9.2.2 B.- "The organization shall define the audit criteria and scope for each audit"
 
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normzone

Trusted Information Resource
#2
The criteria is the standards you are auditing to, and the scope is your organization's QMS. Reference those things in the appropriate document of your choice.
 

Marc

Hunkered Down for the Duration
Staff member
Admin
#3
Schedule = Planned dates for audits.
Plan = Element/department/<whatever> to be audited. Typically your audit plan will be directly linked to your Audit Schedule.

NOTE: An Audit Plan will include EVERYTHING you have to audit. Because different "things" (e.g.: various processes vs. compliance to a standard) will be audited at different frequencies, a yearly audit plan may not include everything you have to audit. Remember this phrase: "At planned intervals".

Audit Schedule Example
 

kylerf

Involved In Discussions
#4
Thank you for the response.

Our schedule is similar to the one you sent me.
However, am i going to have to include in my audit plan what clauses are going to be audited under each process?

example: "Purchasing"- IATF clause(s): 7.5, 8.4, 8.5, 8.6, 8.7
 
#5
The criteria is the standards you are auditing to, and the scope is your organization's QMS. Reference those things in the appropriate document of your choice.
I'd offer a different explanation:

The criteria are the requirements which you audit against and MAY include standards. You can audit to all manner of things, contract requirements, regulatory requirements and so on. They may NOT be "standards".

The scope of an audit is ANYTHING you want it to be an not just the QMS. It can be a contract, a regulation, a process, an area, all kinds of "things"...
 
#6
Just as the title says, we have an annual audit schedule ever year that shows what processes will be audited every month. Will this satisfy the "audit plan/scope" requirements?

The standards that we are currently certified to are ISO9001:2008 and TS 16949. We are working on getting our AS9100D and IATF16949 certification this year.

ISO 9001:2015 9.2.2 B.- "The organization shall define the audit criteria and scope for each audit"
I set up a calendar of audits, but don't indicate WHAT I'm going to audit when the calendar is created. I do add some detail, like what is audited before the CB arrives etc. But other than that, I decide on a rolling window what the scope and criteria are going to be. I consider process and product performance, customer feedback, changes (and yes, past audit findings) - this gives flexibility and means I'm not always re-issuing the calendar and having people wonder what the h*ck is going on...
 
#7
Andy -

You mention follow-up on past audit findings. Do you allocate auditing hours to the follow-up only or is that just a step within the new audit? Same question with regard to reporting, do you do a separate document for the follow-up only or include it in the new audit report?

Thank you for clarifying. I enjoy reading your posts and have learned quite a bit from your responses.
 
#8
Andy -

You mention follow-up on past audit findings. Do you allocate auditing hours to the follow-up only or is that just a step within the new audit? Same question with regard to reporting, do you do a separate document for the follow-up only or include it in the new audit report?

Thank you for clarifying. I enjoy reading your posts and have learned quite a bit from your responses.
Depends on what the follow up entails and the significance of what was found originally. The bigger the deal, the more time. Any follow up would be an item in the audit report.
 
#9
no its not. schedule can be a part of audit plan as well es scope. In well developed IA units the tasks can be broken down to exact amount of hours internal auditor is supposed to spent on given task. However where IA function is new most of the time schedule is not used or a very general simple one.
 
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