ISO 9001 Lead Auditor Training

MODULE 5   Audit Activities
5.3.2 Preparing the Audit Plan
After having been in contact with the organization to be audited, and perhaps made a preliminary visit, the audit team leader will prepare an audit plan, which provides the basis for the agreement among the audit client, audit team and the auditee regarding the conduct of the audit. The plan should facilitate scheduling and coordination of audit activities.

ISO 9000 Lead Auditor Training - The amount of detail in the audit plan should reflect the scope and complexity of the audit. The details may differ, for example, between initial and subsequent audits and also between internal and external audits. The plan should be sufficiently flexible to permit changes in the audit scope, which can become necessary as the on-site audit activities progress. It is up to the team leader to determine how much flexibility to allow so the achievement of the audit objective and scope within the agreed time is not compromised.

See Figure 5.3.2.1

The audit plan should cover the following:
• Audit objectives, criteria and reference documents
• Audit scope, including organizational and functional units and processes to be audited
• Dates and places where the on-site activities are to be conducted
• Expected time and duration of on-site activities, including all meetings with auditee or audit team
• The roles and responsibility of audit team members and accompanying persons
• Allocation of appropriate resources to critical areas of the audit
The audit plan should also cover, as appropriate:
• Identification of the auditee’s representative for the audit
• Working and reporting language of the audit
• Audit report topics
• Logistics arrangements
• Matters relating to confidentiality
• Any audit follow-up actions
• Confidentiality requirements
• Audit report distribution and issue date

The ISO 9000 Lead Auditor prepares the Audit Plan as the output of the planning activities. It should be reviewed and accepted by the audit client, and presented to the auditee and communicated to the audit team members, before the on-site the on-site 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 among the parties before continuing the audit.

A typical plan might look like the one below based on a two-day audit with two groups. Some of the information above may be included in a cover letter with the audit plan.

See Figure 5.3.2.1

5.3.2.2   Auditee’s  Responsibility
The auditee has a responsibility to:
• Agree with or clarify the planned arrangements
• Communicate the plans to all departments
• Request top management to attend meetings
• Arrange for personnel to be available
• Request full cooperation from all personnel
• Arrange for guides as escorts
• Arrange office facilities for auditors
• Arrange for any safety equipment

ISO 9000 Training - The auditee, usually the Management Representative, is in regular contact with the Registrar from the time the Registrar is contracted. As the date of the audit approaches, the auditee has a responsibility to communicate the audit plans within the organization.

If all relevant information is communicated, it should prevent surprises and delays. Internal preparation for the audit also eases employee stress and facilitates cooperation. From the Registrar’s standpoint, it makes for a more effective and pleasant audit.

"Understanding ISO 9001" provides a detailed explanation of each ISO 9001 clause (requirements).

ISO 9001 FAQ provides answers to commonly asked questions about the ISO 9000 family of quality management standards.