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The following is a brief Review highlighting The development and use of an Audit Checklist.

A fictitious procedure is used to demonstrate the process of developing checklists that give the auditor a strong starting point. This goes a long way to ensure a through audit.

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This skill is invaluable to an effective and comprehensive internal audit program. Mastery of this skill by the internal auditor adds greatly to the overall audit program within an organization. This skill applies to the internal audit for any of the international standards.


Audit Checklist Development

Set-up Procedure – SOP 101

5.1 The “Utility” person will do machine set-ups per the production schedule.

5.2 The “Utility” person runs 3 parts for set-up verification.

5.3 “Utility” person takes the set-up parts to the Lab for measurement.

5.4 All material produced after set-up is contained until the verification of the set-up.

5.5 After verification the normal sampling plan is followed.

Let’s Breakdown the process of developing and using a checksheet.




5.1 The “Utility” person will do machine set-ups per the production schedule.


5.3 “Utility” person takes the set-up parts to the Labfor measurement.

5.4 All material produced after set-up is containeduntil the verification of theset-up.


1. The auditor in the development of the checksheet must account for each requirement of the procedure.

2. Some items are accounted for by questions to the responsible person.

3. Other items are accounted for by direct observation of the auditor


Checklist – SOP 101

2. When are set-ups conducted? (5.1)

1. Who does the machine set-up? (5.1)


4. Where are the parts transferred to? (5.3) 4A. Transfer by Who? (5.3)

3. How many parts are run for set-up verification? (5.2)

2. When are set-ups conducted? (5.1)

1. Who does the machine set-up? (5.1)

4. Where are the parts transferred to? (5.3) 4A. Transfer by Who? (5.3)

3. How many parts are run for set-up verification? (5.2)


5.1 The “Utility” person will do machine set-ups perthe production schedule.






Checklist – SOP 101


5. How is production material handled while awaiting verification of set-up parts? (5.4)

6. How is the process controlled after part verification? (5.5)

5. How is production material handled while awaiting verification of set-up parts? (5.4)

6. How is the process controlled after part verification? (5.5)


5.1 The “Utility” person will do machine set-ups perthe production schedule.






1. Once the questions are developed, the auditor must transfer them to a checksheet

2. The format of the checksheet isn’t important and may vary by auditor.

3. Each auditor will develop a format that they are comfortable with.

4. The format development comes from auditor experience.




Check out the next slide

for a possible format!


ItemNo: REQUIREMENT Interview

ACTIVITYCOMPLIANCE COMMENTS/REMARKS

Procedure Number SOP 101 Rev A Issue Date 2/14/08

CHECKLIST FOR AUDIT REPORT NO: Page _____ of _____

Audit date May 12, 2008


Let’s go through this checksheet format

item by item to see just how helpful this

tool becomes to the auditor!








1. The Procedure number, Procedure issue date and

the audit date links this document to the

procedure at the time/date of the audit.

2. The completed checksheet becomes objective

evidence for future audits.

3. Verification as to the proper completion of the

internal audit process.








1. The “item No.”, “Requirement”, and “Interview” field give the auditor a place to itemize the questions to be ask and the person to be interviewed.

2. In most cases the interviewee is identified by job title.

3. There may be some exceptions where a proper name is utilized.








The “Activity Compliance.” and “Comments/Remarks” fields give the auditor a place to document compliance and to record information about the answers given the auditor, or observation of the auditor.





1 Who does the machine set-up? (5.1)

Set-up Tech

2 When are set-ups conducted? (5.1) Set-up Tech

3 How many parts are run for set-up verification? (5.2)

Set-up Tech

4 Where are the parts transferred to? (5.3) 4A. Transfer by Who? (5.3)

Set-up Tech

5 How is production material handled while awaiting verification of set-up parts? (5.4)

Supervisor

6 How is the process controlled after part verification? (5.5)

Machine Operator




1. Here we have the

questions that become our

starting point for our

audit process.

2. The number in

parentheses indicates the

procedure element being

investigated.

1. In the “Interview”

column is the person to

be interviewed.


Audit Checklist Use




Set-up Tech



Set-up Tech


Set-up Tech


Supervisor


Machine Operator




Yes Check training records for set-up man “John Allen”

1. The first question is confirmed as OK and the name of the person being interviewed is noted.

2. This allows the auditor to confirm training at a later interview, perhaps in the HR department.


Audit Checklist Use




Set-up Tech



Set-up Tech


Set-up Tech


Supervisor


Machine Operator




Yes

Yes

Check training records for set-up man “John Allen”

Confirmed by lab inspection records and the production schedule for the past 4 set-ups

1. The second question is confirmed by the set-up person.

2. Note the follow-up comment to confirm this important set-up step.


Audit Checklist Use




Set-up Tech



Set-up Tech


Set-up Tech


Supervisor


Machine Operator




Yes

Yes

No Per the set-up person only two (2) parts are being taken to the lab to verify set-up. Inspection records in the lab confirm this statement



1. The third question is confirmed by the set-up person.

2. Note the noncompliance is also confirmed by lab records.


Audit Checklist Use




Set-up Tech



Set-up Tech


Set-up Tech


Supervisor


Machine Operator




Yes

Yes

No

4, Yes/4A Yes

Per the set-up person only two (2) parts are being taken to the lab to verify set-up. Inspection records in the lab confirm this statement



1. The fourth question is confirmed by the set-up person, as well as observation of the auditor.


Audit Checklist Use




Set-up Tech



Set-up Tech


Set-up Tech


Supervisor


Machine Operator




Yes

Yes

No

Yes

4, Yes/4A Yes



Check training records for supervisor “Kathy Connor”


1. The fifth question is confirmed by the supervisor.

2. The auditor records the supervisors name to confirm proper training.

3. This training is confirmed later in HR.


Audit Checklist Use




Set-up Tech



Set-up Tech


Set-up Tech


Supervisor


Machine Operator




Yes

Yes

No

Yes

4, Yes/4A Yes





1. The last question is confirmed by the line operator.

2. The auditor confirms proper process control by verifying inspection records correspond to job instructions for the operator.

Yes Confirmed by Job instructions and corresponding inspection records


Audit Checklist Use




Set-up Tech



Set-up Tech


Set-up Tech


Supervisor


Machine Operator




Yes

Yes

No

Yes

4, Yes/4A Yes





Yes Confirmed by Job instructions and corresponding inspection records

1. This completed checksheet now

becomes part of the audit record.

2. This is valuable objective evidence

for surveillance audits and future

internal audits.3. Giving objective evidence that the

procedure in question was

thoroughly audited.


Thank you

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web site int audit checklist intent

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utility person setup

audit date

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