Worksheet to justify your audit plan
1
Notes to Lead Auditor List the Key processes of your Business Operating System. Each process must be audited at least once annually. Have high levels of problems in certain processes resulted in requests to the Lead Auditor to perform additional or repeat audits? Insert column(s) for any other criteria which you feel should be factored in This Colum is a final ranking of each process. It is to be used to determine and justify the Audit Frequency and Scope. These results should be reflected in your AUDIT PLAN No. Standard Operating Procedure Special Requests Final Score Final Ranking or Other Process Classification: ▀ System-oriented ▀ Management-oriented ▀ Support-oriented ▀ Customer-oriented Status ▀ Favorable = 1 ■ Needs Imrovement = 2 ▀ Unfavorable = 3 Importance Ranking Low = 1 Med = 2 High = 3 Weighted Score Number of CARs opened against this procedure Wieghted Score Impact of customer complaints is doubled Internal audit findings External Audit Findings Weighted Score for External Audits (Xs 2) Environ'l Audits Layered Process Audits Manufacturi ng Audits? Limited Scope Audits CARs issued during process implement'n Total Audit CARs PARs issued Weighted score (x.5) Requests for additional audit activities (have Managers or process customers provided input?) Sum of XYZ[&\ 1 = Best 12 = Worst X Y Z [ \ ] Reduce Frequency x's 1,2 or 3 x's 2 x's 2 x's 0.5 Increase Frequency Increase Frequency SOP-0001 Internal Audit 1 1 1 0 0 1 0 0 0 0 0 0 1 4 2 0 4.00 4 SOP-0002 Control of Documents and Records 1 1 1 0 0 2 0 0 0 0 1 0 3 1 0.5 0 4.50 5 SOP-0003 Management Review 2 2 4 0 0 0 4 8 0 0 0 0 8 2 1 0 13.00 7 SOP-0004 Monitoring, Measurement and Analysis 1 2 2 0 0 0 0 0 0 0 0 0 0 3 1.5 0 3.50 2 SOP-0005 Corrective & Preventive Action and Continual Improvement 1 2 2 0 0 0 0 0 0 0 0 0 0 2 1 0 3.00 1 SOP-0006 Employee Competence, Empowerment and Motivation 1 2 2 0 0 0 0 0 1 0 0 0 1 2 1 0 4.00 3 SOP-0007 Control of Monitoring and Measuring Devices 1 2 2 0 0 2 0 0 0 0 0 0 2 5 2.5 0 6.50 6 SOP-0008 Purchasing & Materials Management 1 2 2 3 6 1 0 0 1 0 0 2 4 3 1.5 0 13.50 10 SOP-0009 Infrastruction, Production and Service Support 3 2 6 4 8 5 5 10 0 8 1 8 27 25 12.5 0 53.50 12 SOP-0010 Product Realization 3 3 9 2 4 2 0 0 0 0 0 6 8 6 3 0 24.00 11 SOP-0011 Change Control 2 3 6 0 0 1 3 6 0 0 0 0 7 4 2 0 15.00 9 SOP-0012 Control of Non-conforming Product 2 3 6 0 0 1 3 6 0 0 0 0 7 4 2 0 15.00 8 Totals 9 16 12 3 8 2 16 57 58 Process Performance Metrics Business Operating System - Performance Status and Audit Summary …for input to the Annual Internal Audit Plan Before you can develop and Internal Audit Plan, you must assess the performance of each Key Process, factoring in the occurrence of customer complaints, the results of audits, and any other crieteria deemed essental in helping you to rationalize and justify the frequency and scope of your internal audits. Customer complaints CAR/PAR Distribution - Database Summary CARs Issued PARs issued "Status & Importance of the Process" The performance of the process should be one of the criteria for determining the frequency and scope of your audit In example below, process performance status is rated and weighted, giving more importance to customer-oriented processes and least to system- oriented processes (Lead Auditor needs to rationalize importance ranking in their particular organization) Customer Complaints? Increase Audit Frequency Customer complaints or CARs filed against a process should be weighed into the formula for determining the frequency and scope of your audit "The Results of Previous Internal/External Audits" Analyse the results (CAR frequency, distribution, severity, etc.) of all the different audits conducted; internal, external, layered, limited scope, environmental, etc. and also any CARs/PARs issued as a result of the implementation of processes. Below, an increased weight is given to CARs identified at External Audits, since they have escaped the scrutiny of internal auditors. Management should be involved in determining the "weight" factor of the various criteria for the purposes of establishing an " Audit Plan" "...When internal / external non-conformities or customer complaints occur, the audit frequency shall be appropriately increased" Criteria for Process Performance Determination
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Transcript of Worksheet to justify your audit plan
Notes to Lead
Auditor
List the Key processes
of your Business Operating System.
Each process must be audited at least once annually.
Have high levels of problems in
certain processes resulted in
requests to the Lead Auditor to
perform additional or
repeat audits?
Insert column(s) for any other criteria
which you feel should be factored in
This Colum is a final ranking of each process.
It is to be used to determine and justify the
Audit Frequency and Scope. These results
should be reflected in your AUDIT PLAN
No. Standard Operating Procedure
Special Requests
Final Score Final Ranking
or Other
Process Classification: ▀ System-oriented ▀ Management-oriented ▀ Support-oriented ▀ Customer-oriented
Status
▀ Favorable = 1
■ Needs Imrovement = 2
▀ Unfavorable = 3
ImportanceRanking
Low = 1Med = 2High = 3
Weighted Score
Number of CARs opened against this
procedure
Wieghted Score
Impact of customer complaints is doubled
Internal audit
findings
External Audit
Findings
Weighted Score for External Audits (Xs 2)
Environ'lAudits
Layered Process Audits
Manufacturing Audits?
Limited Scope Audits
CARs issuedduring process
implement'n
TotalAuditCARs
PARs issued
Weighted score
(x.5)
Requests for additional audit activities
(have Managers or process customers
provided input?)
Sum of&
1 = Best12 = Worst
Reduce Frequency
x's 1,2 or 3 x's 2 x's 2 x's 0.5 Increase Frequency
Increase Frequency
SOP-0001 Internal Audit 1 1 1 0 0 1 0 0 0 0 0 0 1 4 2 0 4.00 4
SOP-0002 Control of Documents and Records 1 1 1 0 0 2 0 0 0 0 1 0 3 1 0.5 0 4.50 5
SOP-0003 Management Review 2 2 4 0 0 0 4 8 0 0 0 0 8 2 1 0 13.00 7
SOP-0004 Monitoring, Measurement and Analysis 1 2 2 0 0 0 0 0 0 0 0 0 0 3 1.5 0 3.50 2
SOP-0005Corrective & Preventive Action and Continual Improvement 1 2 2 0 0 0 0 0 0 0 0 0 0 2 1 0 3.00 1
SOP-0006 Employee Competence, Empowerment and Motivation 1 2 2 0 0 0 0 0 1 0 0 0 1 2 1 0 4.00 3
SOP-0007 Control of Monitoring and Measuring Devices 1 2 2 0 0 2 0 0 0 0 0 0 2 5 2.5 0 6.50 6
SOP-0008 Purchasing & Materials Management 1 2 2 3 6 1 0 0 1 0 0 2 4 3 1.5 0 13.50 10
SOP-0009 Infrastruction, Production and Service Support 3 2 6 4 8 5 5 10 0 8 1 8 27 25 12.5 0 53.50 12
SOP-0010 Product Realization 3 3 9 2 4 2 0 0 0 0 0 6 8 6 3 0 24.00 11
SOP-0011 Change Control 2 3 6 0 0 1 3 6 0 0 0 0 7 4 2 0 15.00 9
SOP-0012 Control of Non-conforming Product 2 3 6 0 0 1 3 6 0 0 0 0 7 4 2 0 15.00 8
Totals 9 16 12 3 8 2 16 57 58
Process PerformanceMetrics
Business Operating System - Performance Status and Audit Summary …for input to the Annual Internal Audit Plan
Before you can develop and Internal Audit Plan, you must assess the performance of each Key Process, factoring in the occurrence of customer complaints, the results of audits, and any other crieteria deemed essental in helping you to rationalize and justify the frequency and scope of your internal audits.
Customer complaints CAR/PAR Distribution - Database Summary
CARs Issued PARs issued
"Status & Importance of the Process"
The performance of the process should be one of the criteria for determining the frequency and
scope of your audit
In example below, process performance status is rated and weighted, giving more importance to
customer-oriented processes and least to system-oriented processes (Lead Auditor needs to
rationalize importance ranking in their particular organization)
Customer Complaints? Increase Audit Frequency
Customer complaints or CARs filed against a process should be weighed into the formula for determining the frequency and scope of your audit
"The Results of Previous Internal/External Audits"
Analyse the results (CAR frequency, distribution, severity, etc.) of all the different audits conducted; internal, external, layered, limited scope, environmental, etc. and also any CARs/PARs issued as a result of the implementation of processes. Below, an increased weight is given to CARs identified at External Audits, since they have escaped the scrutiny of internal
auditors. Management should be involved in determining the "weight" factor of the various criteria for the purposes of establishing an "Audit Plan"
"...When internal / external non-conformities or customer complaints occur, the audit frequency shall be appropriately increased"
Criteria for Process Performance Determination
