ISO 9001 Lead Auditor Training

MODULE 5   Audit Activities
5.1.5 Establishing Contacting With The Auditee
ISO 9000 Auditor Training - The initial contact with the auditee may be formal or informal and should be made by the program manager or audit team leader. The purpose is to:
- Obtain information relating to company size, product range and key processes
- Establish communication channels with the auditee’s representative
- Confirm the authority to conduct the audit
- Inform auditee on proposed timing and audit team composition
- Request access to relevant documents, including records
- Determine applicable site safety rules
- Make arrangements for the audit
- Agree on attendance of observers and availability of guides

5.1.5.1 Preliminary Visit
These visits can be of great value since they allow the team leader to meet members of the organization. Much information can be gathered and benefit derived from a preliminary visit. Some of these may include:
• Clarification of the scope of the audit
• Agreement on procedures to be used during audit
• Resolution of communication and any misunderstandings
• Quick tour to appreciate its scale, layout, and geography
• Perform documentation review
• Degree of readiness and cooperation
• Identification of any special needs - skills, protective clothing
• Provides the auditee with an opportunity to ask the team leader about the way the audit will be conducted.

ISO 9000 Lead Auditor Training - In summary, the purpose of preliminary visits is to clarify the scope and objective of the audit, agree on the procedures to be adopted during the audit, and to resolve any misunderstandings. These visits may not always be practical and such factors such as time, costs, distance and availability of personnel to send may need to be considered.

5.1.5.2 Local Customs And Culture
A number of extraneous factors may also need to be considered in arranging an audit that may impact the audit plan, audit duration, checklist, team selection, and auditor behavior.
These factors include:
• Country - practices, culture, and values
• Language issues
• Organizational health, safety and environmental requirements
• Corporate environment and culture
• Industry issues - automotive, aerospace, services

1. Many countries have very different practices, traditions, and values. Not being aware of these when conducting an audit in the country, may prove quite embarrassing, for example, introductions, greetings, gifts, attitude towards and role of women, and the nature and timing of meals.

2. The language of the audit must be established. Even with a translator, the intent and meaning may be lost or be diluted. The auditor must make allowances for additional time during the audit for translated questions and responses.

3. Depending the industry it is in, an organization may have very formal systems governing health, safety and environmental requirements. The audit team must become familiar with and comply with all these requirements.

4. The corporate environment and culture may vary significantly between industries. For example, the high tech industry is quite different from a more mature steel industry. The structure, practices, and interrelationships are far more structured and formal in the latter.

5. Sector specific application of the ISO 9001 standard generally tends to be more prescriptive, such as, the automotive QS-9000, AS9100 for the aerospace industry, and TL 9000 for the telecommunications industry. Specific industry issues may also have a bearing. For example, QS-9000 requires all shifts to be audited. There may be more regulatory control and legal risks related to the aerospace or food and drug industry.  

"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.