An essential element of effective aviation maintenance auditing is the development of Audit Checklists, for example to quote as a reference ISO standards – ISO 19011:2011 provides guidance on auditing management systems, including the principles of auditing, managing an audit programme and conducting management system audits, as well as guidance on the evaluation of competence of individuals involved in the audit process, including the person managing the audit programme, auditors and audit teams.
Clause 6.4.3. states that – “The audit team members should review information relevant to their audit assignment and prepare work documents as necessary for reference and for recording audit proceedings. Such documents may include checklists and audit sampling plans, and Forms for recording information, such as supporting evidence, audit findings and records of meetings.”
Important Note – Not to let Check Lists “Rule” the 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”
Whilst not always required in management system standards, audit checklists are just one tool available from the “auditor’s toolbox”. Many organizations will use them to ensure that the audit at a minimum will address the requirements as defined by the scope of the audit.
A checklist provides for a standardised delivery and to enable standards to be benchmarked may be used to ensure that all relevant ISO 9001 requirements addressed.
Consider the advantages of using audit checklists:
a) Enable and support effective planning of the audit and ensure a consistent approach
b) Promote Time management and serve as an “aide memoire”
c) Provide a “safe” location for the recording of information – convenient for future reference
d) Dedicated Checklists required for each audit
e) Auditors need to have the competence to use the checklist effectively – may require training
f) Supports structure and continuity
g) Objective evidence that the audit was performed
h) Visibility of the audit criteria for the auditee
Consider the disadvantages of using audit checklists:
a) May be too narrow in focus and inhibit an effective audit
b) Should be a tool not a crutch for the Auditor (Inexperienced auditors may rely too much on the checklist and inhibit effective questioning)
c) Must be a support rather than a substitute for audit planning
d) Generic or poorly executed checklists may impede the effectiveness of the audit
In general it is the responsibility of the auditors to develop appropriate checklists in support of the audit moreover to assess the value of the checklist as an aid in audit process and consider its use as a supporting tool only.
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