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
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