Section 7 - ISO 19011

Audit Activities Stage 4 - Section 7 ISO 19011

Stage 4 - Conducting the on-site activities:

An opening meeting should be held with auditee’s management and process owners for the functions or processes to be audited. The purpose of an opening meeting is:

a) To confirm the audit plan,

b) To provide a short summary of how the audit activities will be undertaken,

c) To confirm communication channels,

d) To provide an opportunity for the auditee to ask questions.

An attendance record for the opening meeting should be kept, as well as a record of topics covered and questions asked and answered.

This is the time for the auditee to get clarification for any aspect of the audit process. For example, if your audit program classifies nonconformances as either minor or major and the auditee isn't clear on the difference, now is the time to discuss it. Don't wait until the nonconformances have been written and classified, then attempt to argue the auditor out of his/her decision.

Contrary to what some auditees believe auditors are human and can become aggravated. And, you don't want to have to deal with an angry auditor. I'm not saying you shouldn't present your position and objective evidence for issues the auditor is mistaken about. Gather your evidence and present it in a professional manner. Hopefully, the auditor has presented the situation to you before the nonconformance has been written and any misunderstandings are avoided.

Opening meetings are not a mandatory internal audit activity and many companies don't hold them. As long as everyone involved in the internal audit is clear on the methods and process to be used, an opening meeting may not be necessary.

Communications during the audit:

Depending upon the scope and complexity of the audit, it can be necessary to make formal arrangements for communication within the audit team and with the auditee during the audit. The audit team should get together occasionally to exchange information, assess audit progress, and to reassign work between the audit team members as needed.

During the audit, the audit team leader should periodically communicate the progress of the audit and any concerns to the auditee and audit client, as needed. Objective evidence collected during the audit that shows an immediate and significant risk (e.g. safety, environmental or quality) should be reported without delay. Any concern about an issue outside the audit scope should be noted and reported to the audit team leader, for possible communication to the audit client and auditee.

Where the available audit evidence indicates that the audit objectives are unattainable, the audit team leader should report the reasons to the audit client and the auditee to determine appropriate action. Such action may include reconfirmation or modification of the audit plan, changes to the audit objectives or audit scope, or termination of the audit.

Guides, escorts and observers:

Guides, escorts and observers may accompany the audit team but are not a part of it. They should not influence or interfere with the conduct of the audit. However, they must protect their company's interests and information.

When guides are appointed by the auditee, they should assist the audit team and act on the request of the audit team leader. Their responsibilities may include the following:

a) Establishing contacts and timing for interviews,

b) Arranging visits to specific parts of the site or organization,

c) Ensuring that rules concerning site safety and security procedures are known and respected by the audit team members,

d) Witnessing the audit on behalf of the auditee,

e) Providing clarification or assisting in collecting information.

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