Quality Management System

Internal Audit Planning & Scheduling

Sample worksheet

ABC Fabricators and Erectors

Enterprise Drive Anytown, USA

Audit Charter
Include a state#ent fro# #ana"e#ent clearly co##unicatin" support for the internal audit pro"ra# and the relevance and i#portance of internal auditin" to the or"anization& !his state#ent should describe how the internal audit pro"ra# supports the 'uality policy and or"anizational ob>ectives&

Authorized by: Internal Audit Facilitator:

Date: Date:

Audit Planning
Identify and prepare internal auditors:
$oo4 for these characteristics when evaluatin" and selectin" internal auditors: in'uisitive nature, oral co##unication s4ills, listenin" s4ills, ti#e #ana"e#ent s4ills, affability, writin" s4ills, or"anizational s4ills, and co"nitive fle?ibility&

Responsibilities Audit !ea# $eaders% (& )& *& Audit !ea# +e#bers (&
!ea# (
lannin"& or"anizin", and directin" the audit $ead the tea# in reachin" audit conclusions revent and resolve conflicts repare and co#plete the audit report repare for individual assi"n#ents ,ather data and for# conclusions -ontribute to the audit report Assist in the analysis of data

reparation and !rainin"

!rainin" in audit #ethods and practice Audit observation Audit under supervision !rainin" and updates in custo#er, re"ulatory, and 'uality certification re'uire#ents !rainin" and updates in or"anization re'uire#ents Review of previous internal audits !rainin" in effective report writin" and interviewin"

)& *& .& /& 0& 1& 2&

3& %It is not re'uired to have audit tea#s, but or"anizin" the auditors this way #ay reduce the ti#e needed to co#plete the internal audit and i#prove the overall value "ained fro# the audits&

Additional Resources
(& !ho#ashefs4y, & A&, 5Internal Audits: +a4in" !he# 6appen,7 Modern Steel Construction, Dece#ber )880& )& Arter, -ianfrani, and 9est, 6ow to Audit the rocess:;ased <+S, AS< <uality ress, )88*, IS;= 8:21*23:/11:8

!ea# *

!ea# )

Quality Management System

Internal Audit Planning & Scheduling

Sample worksheet

ABC Fabricators and Erectors

Enterprise Drive Anytown, USA

Overall Internal Audit Schedule and Assignments

1st Quarter 2nd Quarter Auditor @0 Audit !ea# @( 3rd Quarter 4th Quarter

Audit Areas
* / /&( /&) /&* /&. /&/ /&0 0 1& 1&( 1&) 2 2&( 2&) 2&* 2&. 2&/ 3 References +ana"e#ent Responsibility -o##it#entA olicyB Direction and $eadership +ana"e#ent Representative Resources Internal -o##unication Docu#entation Re'uire#ents -ontract C ro>ect Spec& Review and -o##& Detailin" Detailin" rocedures Detailin" Function Resources Docu#ent and Data -ontrol Review and Approval -usto#er Re'uire#ents Revision -ontrol Access Dbsolescence and !rans#ittal -ontrol of <uality Records

Auditor @) Audit !ea# @) Audit !ea# @(

AISC Certi ication Standard

Auditor @( Audit !ea# @(

(8 urchasin" (8&( urchasin" Data (8&) Selection of Subcontractors (8&* Eerification of urchased rod&, +atls and Services (8&. -usto#er Eerification of Fabricated roduct (8&/ -ontrol of -usto#er:Supplied +aterial (( +aterial Identification () Fabrication rocess -ontrol ()&( 9eldin" ()&) ;olt installation ()&* +aterial reparation for Application of -oatin"s ()&. -oatin" Application ()&/ E'uip#ent +aintenance (* Inspection and !estin" (*&( Assi"n#ent of <- Inspections and +onitorin" (*&) Inspection rocedure (. -alibration of Insp&, +eas& and !est E'uip& (/ (0 (1 (2 (3 -ontrol of =onconfor#anceFs -orrective Action 6andlin", Stora"e C Delivery of rod& C +atls !rainin" Internal Audit Auditor @1

Auditor @3 Audit !ea# @*

Audit !ea# @* Auditor @2 Auditor @. Auditor @/ Auditor @( Auditor @*

Additional Processes Additional !unctions

-usto#er focus and satisfaction Sales and order boo4in" 6u#an resource develop#ent -o##on co##unication issues -o##on docu#entation issues -o##on personnel issues

Internal Audit Planning & Scheduling

Sample worksheet

Define criteria criteria to beto used in Define the the perfor#ance docu#ents which and the audit& source of the criteria& deter#inin" the e?tent of ris4& you will As e?a#ples, Quality Management System A9S D(&(, R-S- ;olt Spec&, co#pany procedures, DS6A, E A, etc&

ABC Fabricators and Erectors

Enterprise Drive Anytown, USA

Audit O"#ectives and Criteria

Use one sheet to plan each audit area& Audit area: Audit area point of contact: Re'uired audit attendees: ossible ob>ectives
In depth focus Eerify

Audit tea# or auditor: lanned audit dateGti#e: Audit plan distribution date: Audit E#phasis
Do not cover

Audit -riteria

Re$uirements related o"#ectives ( ) *

Process im%rovement o"#ectives ( ) *

Ris& inding o"#ectives ( ) *

%Use these or your own custo#ized cate"ories to plan and control the ti#e and resources e?pended in the audit