3.1 Pre-Audit and Objectives: 3. Preparation For Auditing

3.
Preparation for Auditing
3.1 Pre-Audit and Objectives
Pre-Audit
What are the pre-audit activities?
Pre-audit activities are performed before the commencement of an audit. These activities
involve the following steps:
• Establish and implement systems as per the standards (verified by the auditee)
• Develop and establish an audit system and protocols (procedure, methodology)
• Develop a clear understanding of the audit requirements
• Define the audit's scope and objectives
Audit Objectives
What are the audit objectives?
A Management System audit should have defined objectives. Examples of typical objectives
are the following:
1. Determine conformance of an auditee’s management system with the audit criteria.

2. Determine whether the auditee’s management system has been properly implemented and
maintained.
3. Identify areas of potential improvement in the auditee’s management system.
4. Verify that the management system conforms to all elements of the standard.
5. Verify if the management system is developed to achieve and attain performance
improvement and regulatory compliance.
6. Determine that the organization complies with its own policies and procedures.
3.2 Audit Plan, Scope and Team
Audit Scope
What is the audit scope?
The audit scope is defined as the extent and boundaries of the audit. The audit scope generally
includes the following:
1. The physical location

2. Organizational units
3. Activities and processes
4. Time period and duration
Example of an audit scope statement: "To verify the conformance of operations and
manufacturing activities of ABC steel company, at Plant-1, according to ISO 9001:2015 audit
criteria, on 20th Feb 2018, from 9am to 5pm."
Audit Plan
WHAT IS AN AUDIT PLAN?
An audit plan includes the activities and arrangements of an audit. Audit plans include:
• Audit team leader and members

• A methodology; review of documentation and records; interviews; cross-verification; site
inspections
• Working documents
• An audit schedule - allocation of proportionate time
• Communications procedures
Audit Team
How is an audit team selected for an audit?
An audit team is selected on the basis of their auditing skills, experience, sector relevancy and
availability.
Usually an audit team is composed of a lead auditor and his/her audit team members. A lead
auditor is a senior person, with experience of auditing and the necessary knowledge and
competence. Audit members have less experience and competence. They assist the lead
auditor in the completion of an audit.
For quality management systems like ISO 9001:2015, a lead auditor should be trained and
certified from an accredited body such as: IRCA or RABQSA. They must have prior auditing
experience in the relevant sector.
3.3 Audit Lead and Methodology
Lead Auditors Characteristics

WHO IS A LEAD AUDITOR?
A lead auditor is the captain of the audit team and steers the audit in the right direction, without
being misled by distractions. The following are characteristics of a lead auditor:
• Experienced
• Has an understanding of the audit and operating processes
• Good communicator
The following are responsibilities of a lead auditor:
• Leadership
• Plan and schedule all stages of the audit
• Distribute tasks and responsibilities
• Control the audit scope
• Communicate with the team, client and auditee
• Report critical non-conformities on the spot
Audit Methodology
What is the audit methodology?
The audit methodology is the preparation of the audit team itself and the determination of the
involvement between the auditor and the auditee.
The audit methodology relies on the audit objectives of: scope, criteria, duration and location.
3.4 Audit Preparation and Team
Preparation
What are the preparations for organizing an audit team?
Audit team preparation includes:
• Team meetings/interaction
• Role clarity and work allocation
• Individual and collective review of criteria and documentation
• Prepare and select standard checklists
• Confirm logistics
• Briefings by the lead auditor to first-time auditors
Team Work
How are auditors and auditees involved in an audit?
Auditors and auditees are involved in the following ways:
• Interviews
• Document reviews
• Onsite observations
• Sampling of products
3.5 Systems and Documentation
Documentation
How are working documents prepared?
Working documents facilitate the auditor’s investigation. These can include:
• Audit checklists and procedures used for evaluating management system elements
• Forms for documenting supporting audit evidence and audit findings
• Meeting and interview recording forms
• Memory aids
Audit Checklists
WHAT ARE AUDIT CHECKLISTS?
Audit checklists are the guiding documents for an auditor, to help keep the audit on track and
review and verify all checkpoints during an audit. They also help the auditor to foresee whether
the audit is going according to schedule or not.
However, audit checklists should not distract the auditor from following audit trails, before
completing all checkpoints.
Audit checklists are helpful for provisional and junior auditors. Senior auditors, due to their
experience, may not require a specific set of checkpoints. Experienced auditors will follow
trails, to verify all checkpoints.
Review
What is a preliminary document review?
A preliminary document review is an initial process review, before verifying actual systems. In
these cases, the auditor needs to decide which documents will be reviewed. Examples
of document reviews are:
• System manuals, procedures, programs

• Policy objectives and targets
• Complaints
• Previous audit reports
• Operations records
The preliminary document review can be done off-site, before the commencement of an audit.
Systems
Which management system information which can be reviewed in a preliminary document
review?
Management system information that can be reviewed:
• Policies
• Manuals
• Management organograms/responsibilities
• Management system budgets
• Improvement plans
• Operating process flows
• Complaints regarding management systems
4. Conducting an Audit

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3.

Preparation for Auditing

3.1 Pre-Audit and Objectives

• Develop and establish an audit system and protocols (procedure, methodology)

• Develop a clear understanding of the audit requirements

• Define the audit's scope and objectives

1. Determine conformance of an auditee’s management system with the audit criteria.

3.2 Audit Plan, Scope and Team

1. The physical location

• Audit team leader and members

3.3 Audit Lead and Methodology

Lead Auditors Characteristics

The following are responsibilities of a lead auditor:

3.4 Audit Preparation and Team

Audit team preparation includes:

Auditors and auditees are involved in the following ways:

3.5 Systems and Documentation

Working documents facilitate the auditor’s investigation. These can include:

• System manuals, procedures, programs

Management system information that can be reviewed:

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