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Workbook · AQL-A06

Internal Audit Program and Audit Plan Workbook

Plan the year's internal audits from your process list and its risks, keep every audit on schedule, know who is qualified to audit what, and issue a plan for each audit before it starts.

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Page 1 of the Internal Audit Program and Audit Plan Workbook

Page 1 of the PDF. Every resource includes a fully worked example.

Part of the Internal Audit Execution Kit5 of 11← Clause-by-Clause Internal Audit ChecklistProcess Audit Checklist →

The problem it solves

Many internal audit programs are a spreadsheet of months and department names, rolled over each year. Processes with the most problems get the same attention as the stable ones, audits slip without a new date, auditors end up checking their own work, and the program owner can't say on audit day whether every process was covered in the cycle. This workbook builds the program from your process list: each process rated on four plain factors you control, an interval you set, and a next-due date that fills itself in. The schedule tracks every audit from plan to report, the auditor list records qualification and independence, and the audit plan form agrees scope, criteria and samples with the process owner before the audit starts.

Who uses it

The internal audit program owner (usually the quality manager), lead auditors, and the process owners whose processes are audited.

When

Build the program each December or January, review it monthly, and change it when risk changes: after an escape, a major finding, a new customer or a process change. Fill an audit plan a week or two before each audit.

Free to use, change and copy, in your own organization or with your clients; add your own logo, keep the Aegis credit. Part of: Internal Audit Execution Kit. Clause references: 9.2.1, 9.2.2 (with 4.4, 7.2, 7.5.3) (numbers only; use your own licensed copy of the standard).

Aegis Insights inside. Wherever this resource gives our own guidance, it is labeled Aegis Insights, so you always know what is our experience and what a standard or your customer requires.

A management aid, not certification or a registrar audit. Using it does not by itself show conformity to AS9100D or any other standard.

How to put it to work

Chapters of our free guides that use this tool.

  1. The Internal Audit Execution workflowThe Internal Audit Execution Kit Handbook, chapter 2
  2. Building the programThe Internal Audit Execution Kit Handbook, chapter 4
  3. Auditors: competence and independenceThe Internal Audit Execution Kit Handbook, chapter 5
  4. Planning an auditThe Internal Audit Execution Kit Handbook, chapter 6
  5. The reportThe Internal Audit Execution Kit Handbook, chapter 9
  6. Responses, effectiveness and follow-upThe Internal Audit Execution Kit Handbook, chapter 10

Related resources

  • Workbook

    Audit Readiness Self-Assessment

    Check, area by area, whether the evidence an auditor will ask for is there and holds up, how long it takes to find, and which gaps need an owner and a date: with a plain readiness indicator you can check by hand.

    Excel · PDFFree by email
  • Workbook

    Audit Evidence Collection Register

    Map where every record an auditor asks for lives and who fetches it, check that each holds up before the audit, then log every request on audit day: what was provided, how fast, and how it landed.

    Excel · PDFFree download
  • Checklist

    Clause-by-Clause Internal Audit Checklist

    An audit question and a practical test for every AS9100D clause, from 4.1 to 10.3, with space for the evidence you examined, a plain result, the finding type and its reference.

    Excel · PDFFree download
  • Checklist

    Process Audit Checklist

    Audit one process the way it actually runs: its inputs, outputs, equipment, people, methods, measures and risks, a real job followed through it, and a finished part checked again.

    Excel · PDFFree download
  • Guide

    Audit Finding Classification Guide

    How to decide whether what you found is a major nonconformity, a minor one, an opportunity for improvement or an observation, and how to write each finding so the process owner can act on it.

    Word · PDFFree download
  • Template

    Internal Audit Report Template

    A report that a process owner can act on and a registrar can follow: scope and criteria, a plain conclusion on the process, each finding with its evidence, what works well, what was sampled, and the follow-up of earlier findings.

    Word · PDFFree download

Need more than one resource, or not sure where to start? Book a complimentary 30-minute Aegis Quality Guidance Call. We'll find the tools that fit your situation and a sensible place to start. No sales pressure, no obligation.

These tools help you run the work by hand. When you want the whole picture of your quality system from the records you already keep, that's what the AeroAssure Audit Defense Pack and the IA9100 Transition Gap Analysis do.