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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.

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.
wwwMBCIncorp.com - Martin Business Consulting, Inc. 1

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. Let’s Breakdown
5.3 “Utility” person takes the set-up parts to the the process of
Lab for measurement. developing and
5.4 All material produced after set-up is contained
until the verification of the set-up. using a checksheet.
5.5 After verification the normal sampling plan is
followed.


Set-up Procedure – SOP 101
1. The auditor in the development of
5.1 The “Utility” person will do
machine set-ups per the checksheet must account for
the production schedule. each requirement of the
5.2 The “Utility” person runs 3 procedure.
parts for set-up verification.
5.3 “Utility” person takes the set- 2. Some items are accounted for by
up parts to the Lab questions to the responsible
for measurement.
5.4 All material produced after set-
person.
up is contained
until the verification of the 3. Other items are accounted for by
set-up. direct observation of the auditor
5.5 After verification the normal
sampling plan is followed.


Set-up Procedure – SOP 101 Checklist – SOP 101

1. Who does the machine
machine set-ups per
the production schedule. 1. Who does the machine
set-up? (5.1)
5.2 When are set-ups runs 3
2. The “Utility” person set-up? (5.1)
parts for set-up verification. 2. When are set-ups
conducted? (5.1)
5.3 “Utility” person takes the set- conducted? (5.1)
3. How manythe Labare run
up parts to parts 3. How many parts are run
for set-up verification? (5.2)
for measurement. for set-up verification? (5.2)
5.4 All material produced after set-
up is contained
4. Where are the parts the
until the verification of
set-up. 4. Where are the parts
transferred to? (5.3)
5.5 After verification the normal transferred to? (5.3)
4A. Transfer by Who? (5.3)
sampling plan is followed. 4A. Transfer by Who? (5.3)


Set-up Procedure – SOP 101 Checklist – SOP 101

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-
5. How is production material
up parts to the Lab 5. How is production material
handled while awaiting
for measurement. handled while awaiting
5.4verification of set-up parts?
All material produced after set- verification of set-up parts?
(5.4) contained
up is
(5.4)
6. How is the process of the
until the verification
set-up. 6. How is the process
controlled after part normal
5.5 After verification the controlled after part
verification? (5.5)
sampling plan is followed. verification? (5.5)



• Once the questions are developed, the
auditor must transfer them to a checksheet
• The format of the checksheet isn’t
important and may vary by auditor.
• Each auditor will develop a format that they
are comfortable with.
• The format development comes from
auditor experience.


lide
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ex t!
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e rma
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Procedure Number SOP 101 Rev A Issue Date 2/14/08

Audit date May 12, 2008

CHECKLIST FOR AUDIT REPORT NO: Page _____ of _____
Item ACTIVITY
No: REQUIREMENT Interview COMPLIANCE COMMENTS/REMARKS

t
fo rm a
s heet ul this
c heck helpf
gh this t how
throu see jus itor!
’s go tem to he aud
Let by i t
item ecome s to
b
tool



a nd
s ue date
is
ce dure the
Item , Pro ment to
ACTIVITY
er
No: REQUIREMENT Interview numb o cu
COMPLIANCE dit.
COMMENTS/REMARKS
u
e dure ks this d of the a ve
e Proc ate lin da te ob jecti
1 . Th audit d et ime/ o m es
the e at t h ee t bec
ed u r cksh s. of th
e
proc d ch e it on
m plete ture aud m pleti
h e co e fo r f u p er co
2. T idenc th e p ro
ev n as to ess.
fi catio it proc
3. Veri al aud
n
inter




Item ACTIVITY

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.





Item ACTIVITY

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.



”
rview on to

Issue Date 2/14/08 e “In
te rs
n th he pe
Procedure Number SOP 101 Rev A
Item 1. I umn is t d.
ACTIVITY
COMPLIANCE lco COMMENTS/REMARKSe
rview
No: REQUIREMENT Interview
te
1 Who does the machine set-up?
(5.1)
Set-up Tech
be in
e
ve th ome our
2 When are set-ups conducted? (5.1) Set-up Tech
ha
r e we that bec r
3 How many parts are run for set-up Set-up Tech
1 . He stions fo r o
u
que g point
verification? (5.2)
4 Where are the parts transferred to? Set-up Tech in
(5.3) 4A. Transfer by Who? (5.3) start process.
t
audi n
5 How is production material Supervisor m ber i cates the
handled while awaiting T he nu ses indi being
2. e nt
verification of set-up parts? (5.4)
pa renth re eleme
du
6 How is the process controlled after Machine p roce ated.
tig
part verification? (5.5) Operator
i nves

Audit Checklist Use


Item ACTIVITY
1 Who does the machine set-up? Set-up Tech Check training records for
(5.1)
Yes set-up man “John Allen”
2 When are set-ups conducted? (5.1) Set-up Tech
1. The first question is confirmed
verification? (5.2)
as OK and the name of the
4 Where are the parts transferred to? Set-up Tech person being interviewed is
(5.3) 4A. Transfer by Who? (5.3)
noted.
5 How is production material Supervisor
handled while awaiting 2. This allows the auditor to
verification of set-up parts? (5.4) confirm training at a later
6 How is the process controlled after Machine
interview, perhaps in the HR
part verification? (5.5) Operator department.

Audit Checklist Use


Item ACTIVITY
(5.1)
2 When are set-ups conducted? (5.1) Set-up Tech Yes Confirmed by lab inspection records and the
production schedule for the past 4 set-ups
verification? (5.2)
4 Where are the parts transferred to? Set-up Tech 1. The second question is
confirmed by the set-up
5 How is production material Supervisor person.
verification of set-up parts? (5.4) 2. Note the follow-up comment
to confirm this important set-
part verification? (5.5) Operator up step.

Audit Checklist Use


Item ACTIVITY
(5.1)
2 When are set-ups conducted? (5.1) Set-up Tech Yes Confirmed by lab inspection records and the
No Per the set-up person only two (2)
verification? (5.2) parts are being taken to the lab to
4 Where are the parts transferred to? Set-up Tech verify set-up. Inspection records in
(5.3) 4A. Transfer by Who? (5.3) the lab confirm this statement

5 How is production material Supervisor 1. The third question is confirmed by
verification of set-up parts? (5.4) the set-up person.
6 How is the process controlled after Machine 2. Note the noncompliance is also
confirmed by lab records.

Audit Checklist Use


Item ACTIVITY
1 Who does the machine set-up?
(5.1)
Set-up Tech
Yes The
1. fourth question isfor
Check training records
set-up man “John Allen”
2 When are set-ups conducted? (5.1) Set-up Tech confirmed by lab inspection records and the
Yes Confirmed by
the set-up
person, as well asfor the past 4 set-ups
production schedule observation

of the auditor. beingperson to thetwo (2)
Per the set-up only
verification? (5.2)
No
parts are taken lab to
4 Where are the parts transferred to? Set-up Tech verify set-up. Inspection records in
(5.3) 4A. Transfer by Who? (5.3) the lab confirm this statement
4, Yes/4A Yes
verification of set-up parts? (5.4)



Audit Checklist Use


Procedure Number SOP 101 Rev A Issue Date The fifth question is confirmed
1. 2/14/08
Item ACTIVITY
No: REQUIREMENT Interview
by the supervisor.
COMPLIANCE COMMENTS/REMARKS
(5.1)
Yes The auditor records the
2. set-up man “John Allen”
2 When are set-ups conducted? (5.1) Set-up Tech supervisors name to confirm
Yes Confirmed by lab inspection records and the
properproduction schedule for the past 4 set-ups
training.
No Per the set-up person only two (2)
verification? (5.2)
4 Where are the parts transferred to? Set-up Tech 3. This trainingare beingInspection records in
parts taken to the lab to
is confirmed later
verify set-up.
(5.3) 4A. Transfer by Who? (5.3) in HR. the lab confirm this statement
4, Yes/4A Yes
verification of set-up parts? (5.4) Yes Check training records for
supervisor “Kathy Connor”


Audit Checklist Use


Item ACTIVITY
(5.1)
Yes
1. The last question is confirmed
set-up man “John Allen”
2 When are set-ups conducted? (5.1) Set-up Tech Yes the Confirmed by lab inspection records and the
by line operator.
No The auditorthe set-up person only two (2)
2.
Per
verification? (5.2) partsconfirms proper to
are being taken to the lab
4 Where are the parts transferred to? Set-up Tech
process control by Inspection records in
verify set-up. verifying
the lab confirm this statement
inspection records correspond
4, Yes/4A Yes
5 How is production material Supervisor to job instructions for the
verification of set-up parts? (5.4) Yesoperator. training records for
Check
6 How is the process controlled after Machine Confirmed by Job instructions and
part verification? (5.5) Operator Yes corresponding inspection records


Audit Checklist Use

1
Audit date
. T May 12, 2008
hi
Procedure Numbers c SOP 101 Rev A Issue Date 2/14/08
bec omp
Item o me le ACTIVITY
2.
No: s pa ted ch
REQUIREMENT Interview
Thi does the machine set-up? ck Set-up Tech
COMPLIANCE COMMENTS/REMARKS
s rt o e
1 Who
f th s Check training records for
for(5.1) is val
u
sur are set-ups e au h eet n o Yes set-up man “John Allen”
2inte Whenveill abconducted? (5.1) iSet-up Tech
le o dt
reco w Yes Confirmed by lab inspection records and the
rn a an c b
e u je set-up
3. 3 Howl many parts arearun for ctive Set-up Tech.
au d rd production schedule for the past 4 set-ups
Giv i s. dits e No Per the set-up person only two (2)
ingverification?t(5.2) and videnc parts are being taken to the lab to
pro Wherej are the parts transferred to? fu Teche
o e
thor
4c
edu b4A.cTransfer by Who? (5.3) Set-up e
tive tur verify set-up. Inspection records in
oug re in q
(5.3) the lab confirm this statement
e
hly ues videnc 4, Yes/4A Yes
5 is tion
Howauproduction material e th Supervisor
dite awaiting a
handled while d . w s at t h e Yes
verification of set-up parts? (5.4) Check training records for
6 How is the process controlled after Machine Confirmed by Job instructions and
part verification? (5.5) Operator Yes corresponding inspection records


Thank you
• If you need additional information, training or direction
about “Internal Audit”. Visit our web-site
www.MBCIncorp.com
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Seminars”
• Or just contact National Quality Services,
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– Phone – 931-637-1446
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