Organisations particularly those who have a need to maintain compliance with the requirements of EASA regulations have to show an annual audit program which covers annually the entire spectrum of activities.
A quality audit checklist is a quality record that demonstrates the criteria which has been evaluated and is a tool which supports and provides a means to tracks the questions and responses during a quality audit.
The use of checklists and forms should not restrict the extent of audit activities, which can change as a result of information collected during the audit. However, the audit checklist shall be appropriate for and shall not exceed the contractual requirements.
From the following it can be seen there are advantages as well as disadvantages in using a checklist, ultimately the responsibility lies with the auditor to make appropriate use of the check lists in support of audit activities.
Caution – Avoid checklist “Vision” where the checklist predominates and serves to remove from the auditor the need to invest appropriate oversight to determine if there are any findings.
This can be the case particularly in respect of Safety Auditing where the auditor needs to have a measured depth of vision due to the subjectivity of the evidences
Advantages of using audit checklists:
Checklists if developed for a specific audit and used correctly:
a) Promote the effective planning for the audit
b) Ensure a consistent audit approach regardless of who is performing the audit
c) Allow the implementation of a sampling plan
d) Supports effective time management.
e) Serve as a memory aid, to ensure we do not forget important points
f) Provide a useful place in which we can make notes
g) Checklists promote a systematic behaviour which provides a consistency of delivery
h) Checklists contribute to the audit evidences and can be a source of reference in the future
i) Checklist promote an easy and effective oversight system which demonstrate ongoing and continuous compliance.
j) Checklists support the forward planning for subsequent audits
k) Checklist may also be provided to the auditee in advance to permit preparation
Disadvantages of using audit checklists
a) The checklist may be seen as intimidating to the auditee.
b) The focus of the checklist may be too narrow in scope, as a result it may fail to encourage the auditor to identify specific problem areas, auditor competence plays a major role in this aspect. Over dependence on a checklist can have a detrimental effect on the audit.
c) Checklists are a tool to aid the auditor, but may be restricting to the audit if used as the auditor’s primary tool.
d) Checklists should not be a substitute for audit planning, the checklist should be used as a support and not a primary delivery element.
e) Checklists which do not do the job correctly or are poorly prepared can damage the effectiveness of the audit.
Requirements to support the checklist process:
a) Audit checklists need to be developed and managed to ensure they remain current.
b) Auditors should be trained in the use of a particular checklist so that they have full knowledge of the underlying issues.
c) Checklists should assist an auditor to perform better during the audit process, (If this is not the case the checklist should be reviewed).
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