Audit Planning Resource

Please complete each section below, and upload the completed form into RMS. For your convenience, and to ensure that your auditor receives the information necessary to plan your audit appropriately, a row of sample data has been provided for each table; the sample data is shaded gray, with bolded and italicized text. Please enter your own organization information in the lines below.If questions arise, please contact your client manager or auditor.

The information requested in this form is required for all Stage 1 audits, and for planning of all subsequent audits. Once the form has been completed, it may simply be updated as necessary for future audits.

Site Information: Please complete this table indicating sites and pertinent information. Add rows as needed.
Site / Address / Total Site Employees Count / # of Shifts / Shift Time(s)
Main Office / 123 Main St, Pittsburgh, PA 15026 / 100 / 2 / 8:00am – 4:30pm
12:00pm – 8:30pm
Main Office / Central Office
Additional Site
Additional Site
Revenue / Personnel Breakout:
  • Enter information regarding the organization’s percentage of revenue relating to aviation, space, and defense business; and percentage of revenue relating to other industries.
  • Enter information on the number of full time, part time, and temporary employees associated to aviation, space, defense; and other industries business.
  • If applicable, include total percentage of aviation, space, and defense employees; and the percentage of employees supporting other industries
  • Enter the information on the number of shifts and associated shift patterns relating to aviation, space, and defense; and associated information regarding other industries business.

Business / Organization
Revenue / Personnel
Numbers / Organization Shift
Patterns
% of Total Revenue / F/P/T* / % of Total Workforce / Number of Employees
E/D/L/N**
A, S & D / 60% / 54 / 3 / 3 / 60% / 0 / 30 / 30 / 0
Other / 40% / 40 / 0 / 0 / 40% / 0 / 20 / 20 / 0
Aviation, Space,
and Defense
Other
*F=Full Time, P=Part Time, T= Temporary **E= Early Shift, D=Day Shift, L=Late Shift, N=Night Shift
Customer Breakdown: Please complete these tables so that the auditor may understand and react to shifts in your customer load model and plan a biased audit sampling plan.
List of Major Current(C)/Potential(P) Aviation, Space, and Defense Major Customers
Customer / Address / Contact / % of Business
Boeing / 456 1st Ave, Seattle, WA 98101 / John Doe / 6.23%
Quality and Delivery Performance: Please complete this table so that the auditor may understand and react to shifts in your performance over the last rolling twelve months. In addition, please scan and attach the last customer report cards with this form for the customers listed here. Additionally, please list any airworthiness or safety related issues that required reporting to the customer and/or the regulatory authorities in the previous twelve months, or since your last audit.
Customer
(Same as Customer Breakdown above) / Quality Rating / On Time Delivery
(Current) / # of Complaints / # of Field Returns
Boeing / Silver / 97% / 1 / 0
Customer Feedback Requests: Please indicate any feedback requests received from customers in the previous twelve months, or since your last audit, including those received through the OASIS database.
Customer / Source
(OASIS/Other) / Date
Received / Nature of Request / Resolution
(Open / Closed)
Boeing / OASIS / 01/01/01 / Investigate issue with part # 111111 / Open
Additional Requirements: Please complete this table so as to alert the auditor to any additional management system requirements, including their description as well as a document reference. Examples might include requirements for First Article Inspection, approval of design changes, flow down to sub-tiers, etc.
Additional Aviation, Space, and Defense Customer Quality Management System Requirements:
Customer: / Description of Additional Requirement: / Document Reference:
Lockheed / General quality flow down including right of access and FOD / Appendix QR
Pratt & Whitney / Laboratory Control Source / LCS Manual
Organization Approvals: Please enter information regarding any customer / regulatory approvals granted to the organization.
Customer / Regulatory / Approval
FAA / Repair Station #44444
Process Performance and Effectiveness Measures:PEARs are required for all processes related to Section 8 of the Standard (Operation). So that your auditor can create the necessary PEARs, please complete the table below listing effectiveness measures for allcurrent PEARs, as well as any other measured processes that are defined in your Sequence and Interaction of Processes Diagram. Add rows as necessary.
NOTE: A copy of your current Interaction of Process Diagram must be uploaded into RMS, along with this form. Both documents are vital to the audit planning process that your auditor must use in both verifying your Processes as well as the creating the audit plan. It is critical that all process names match from the interaction diagram, to the Section 8 Process Performance Metrics to the audit plan.

Example:

Process Name: / Production
Process Owner: / John Smith, Superintendent
Key Performance Indicator / Target for audited period / Value measured for audited period / Action if not target not met
1 / Scrap / >/= 60% / 51.8% / Target not met; internal nonconformance issued
2 / Rework / </= 4% / 3.6% / Target met

** Copy and paste process tables as necessary to document all processes related to Section 8 (Operation).**

Process Name:
Process Owner:
Key Performance Indicator / Target for audited period / Value measured for audited period / Action if not target not met
1
2
3
Process Name:
Process Owner:
Key Performance Indicator / Target for audited period / Value measured for audited period / Action if not target not met
1
2
3
Organizational Changes Since Last Audit: If this is a Re-Assessment or Surveillance audit, please complete this table so that the auditor may become aware of any personnel, management, and scope of registration or facility changes.
Changes to Organization/Facilities/Quality Management System/Scope (since last visit):
Ref. No.: / Brief Description: / (as applicable)
Organization Document Ref. / 9100/9110/9120 Clause Ref.
Ex1 / Hired new management representative / HR 123 / 7.1.2
Management Review Update: Complete this table highlighting the dates of each management review in the previous twelve months, or since your last audit, as well as significant outcomes and/or action items.
Management Review Dates / Significant Outcomes and/or Action Items and Status
Add rows as necessary
06/15/01 / Increased internal audit frequency due to poor performance.
Breakdown of Internal Audits: Please list internal audits in the previous twelve months, or since your last audit, and any significant outcomes.
Internal Audit / Audit Dates / Significant Outcomes (Area, Number of Findings, Finding Status)
Add rows as needed.
05/01/01 – 05/31/01 / Full system audit; 15 nonconformances (2 mi, 13 ma); 6 nonconformances fully closed, 9 nonconformance still pending closure
Breakdown of External Audits: Please list any external audits (e.g., Nadcap, Customer, and Regulatory Authority) in the previous twelve months, or since your last audit, and any significant outcomes.
External Auditing Agency / Audit Dates / Significant Outcomes (Commodity, Number of Findings, Finding Status, and Supplier Advisories)
Add rows as needed.
Nadcap /
02/02/01 – 02/04/01 / Nadcap audit of heat treat; 2 nonconformances issued; both findings fully closed; no supplier advisory issued.
Consultants used since last audit:
Processes currently being outsourced:
Name(s) and Purpose(s) for any observers during upcoming audit:
Is internet access available in location(s) to be audited?
Submitted by: / Company: / Date:

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