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Stage 3 - Preparing for the
on-site audit activities:
The audit team leader should prepare an audit plan agreement among
audit client, audit team and the auditee. The plan should cover the
scheduling and coordination of the audit activities. The detail
provided in the audit plan should reflect the audit scope and
complexity of the audit.
The details may differ, for example, between
the initial and subsequent audits and also between internal and
external audits. The audit plan should be sufficiently flexible to
permit changes in the audit scope, which can happen as the on-site
activities progress.
The plan should be reviewed and accepted by the audit client, and
presented to the auditee, before the on-site audit activities begin.
Any objections by the auditee should be resolved between the audit
team leader, the auditee and the audit client. Any revised audit
plan should be agreed to before continuing the audit.
Process Approach to Auditing
Management systems have to be audited using the process approach
to auditing. Processes do not normally recognize departmental or
functional boundaries. Each identified process to be audited has
inputs, outputs, interactions and objectives with both qualitative
and quantative measures of its outputs, So the audits have to be
conducted in terms of inputs, outputs and ability to achieve
objectives. The understanding of the interaction of the processes of
an organization is a key to a successful process audit.
Audit Team Leader
The audit team leader, in consultation with the audit team, should
assign to each team member responsibility for auditing specific
processes, functions, sites, areas or activities.
The audit team members should review the information relevant to
their audit assignments and prepare auditing work documents as
necessary for reference and for recording audit proceedings. Such
working documents may include:
- checklists and audit samplings plans, and
- forms for recording information, such as supporting
evidence, audit findings and records of meetings.
The links below are excerpts from the our e-book
"Explanations and Definitions for ISO
19011:2002"
Section 1. ISO 19011 Scope reference and definitions
Section 2. ISO 19011 Principles of auditing
Section 3. ISO 19011 Managing an audit program
Section 4. ISO 19011 Audit program implementation
Section 5. ISO 19011 Audit activities
Section 7. ISO 19011 Conducting onsite activities
Section 8. ISO 19011 What the auditor is looking for
Section 9 ISO 19011 Audit reporting
Section 10. ISO 19011 Audit techniques
Section 11. ISO 19011 Audit path
Section 12. ISO 19011 Effective communications
Section 13. ISO 19011 Sampling
Section 14. ISO 19011 Audit completion and follow-up
Section 15. ISO 19011 Competence and evaluation of auditors
EBook
"Explanations and Definitions for ISO 19011:2002"
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