Section 5: Audit programming

Key considerations

• The structure and complexity of the management system
• The structure, size and complexity of the organisation and its processes
• Geography of areas to be audited
• Historic information
• Customer (contract specific) or regulatory requirements
• Internal requirements
• Available resources

Methodology of audits

• Structure of individual audits, i.e.:
  • By department
  • By product
  • By process
• Audit trails
  • Carried out by following natural paths of information, products or processes
  • Forward audits: real-time based on current activities
  • Backward audits: historical based on completed activities (particularly good to test traceability)

Auditing in ‘processes’ (process approach)

The following illustration shows a typical series of interrelated processes within an example organisation. In this example the ‘inspection and delivery’ process is selected and a typical checklist of audit criteria to determine if the process is effectively performing.

Course Content Navigation

Section 1: Understanding Annex SL and Management System Standards
Section 2: Audit requirements
Section 3: Audit objectives
Section 4: Auditor responsibilities
Section 5: Audit programming
Section 6: Pre-audit activities
Section 7: During the audit
Section 8: Audit reporting
Back to main menu