6.1 General
This clause contains guidance on preparing and conducting a specific audit as part of an audit programme. The Figure below provides an overview of the activities performed in a typical audit. The extent to which the provisions of this clause are applicable depends on the objectives and scope of the specific audit.
6.2 Initiating audit
6.2.1 General
The responsibility for conducting the audit should remain with the assigned audit team leader until the audit is completed . To initiate an audit, the steps in Figure below should be considered; however, the sequence can differ depending on the auditee, processes and specific circumstances of the audit.
Process flow for the management of an audit programmeIn ISO audits, the responsibility for conducting the audit typically rests with the assigned audit team leader until the audit is completed. The audit team leader plays a crucial role in planning, organizing, and executing the audit process. Their responsibilities include:
- Audit Planning: The team leader is usually responsible for developing the audit plan, which outlines the scope, objectives, criteria, and schedule for the audit.
- Team Coordination: The audit team leader oversees and coordinates the activities of the audit team members. This includes assigning tasks, ensuring team members are adequately trained, and maintaining effective communication within the team.
- Communication with Auditee: The team leader often serves as the primary point of contact between the audit team and the auditee (the organization being audited). They communicate the audit schedule, objectives, and any other relevant information.
- Audit Execution: The team leader is actively involved in the on-site audit activities, ensuring that the audit is conducted according to the established plan and procedures. They may also lead meetings with the auditee’s management and personnel.
- Data Collection and Analysis: The team leader oversees the collection of audit evidence, ensuring that it is relevant, sufficient, and reliable. They may also be involved in analyzing the collected data.
- Reporting: The team leader typically plays a key role in preparing the audit report. This involves summarizing findings, conclusions, and recommendations based on the audit evidence collected.
- Follow-up: After the audit is completed, the team leader may be involved in the follow-up process, which includes verifying the implementation of corrective actions and ensuring that any non-conformities are addressed.
It’s important for the team leader to maintain independence and objectivity throughout the audit process. While they may delegate specific tasks to team members, the overall responsibility for the audit’s success and adherence to audit standards remains with the team leader until the audit is officially completed.
