Quality Auditing Training – How to Create an Audit Plan

Creating the Quality Audit Plan

When you enroll in the Diploma in Quality Auditing with Line Management Institute of Training and start your training in quality auditing you’ll be asked to create a QA plan – this article describes what this document might look like in a general sense.

In order to provide an auditee with clear details of the plan for the audit, Lead auditors are required to provide an auditee with a documented quality audit plan. This plan should include a schedule of future planned audits and also consist of documented details of the list of items listed in Pre audit discussion.

The Audit plan may vary after each audit is conducted due to new findings resulting in changed priorities for audit requirements. An audit report will require a note of further audit requirements, which in turn advises the auditee of the forthcoming change to the audit plan. 

The Document Review will provide a clearer picture of audit requirements and is beneficial to prepare and submit to the auditee with the audit plan after the Document Review has been completed.

Document review

The auditor will need to review any documents pertaining to the scope of the audit. The lead auditor will need to obtain them from either the auditee or the audit coordinator.

These documents may include the following documents:

  • Procedures
  • Policies
  • Standard Operating Procedures
  • Details of previous corrective actions
  • Details of previous audits results.

So how do we review the documentation?

The aim of the review is:

To obtain an understanding of the activities or process you’re about to audit and determining which parts of the documentation applies to the audit.

To ascertain whether the documented system meets the requirements of the standard to determine when to plan the initial audit.


Examples of what to look for during an document review:

  1. We can go through these documents and identify with highlighter which parts indicate a requirement, e.g. if our targeted area for audit was calibration of scales,  there might be a requirement for a check every 6 months.
  2. There might also be a requirement to record these results into a log book. The existing procedure states that the results should have been within 5 grams of the target. Immediately we have a query about what the results have been at the last couple of checks and what was done if they failed.
  3. Further examination may reveal that the tolerance is tighter than is needed for this type of product but the same tolerance was used everywhere for simplicity, making it difficult to meet the requirements. We as auditors can at least assist our business by reporting this for consideration by the author of the procedure.
  4. In the case of a system audit, the auditor is required to check whether the documented requirements, as described in the Management System Standard, are complied with in the organisation’s documented system.

LMIT provides online training and certification courses on the Diploma of Quality AuditingDiploma in Quality Management and the Quality Auditing qualification.

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Published by: Line Management Institute of Training

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