ISO 19011:2018 Clause 6.4.3 Conducting opening meeting

The purpose of the opening meeting is to:
a) confirm the agreement of all participants (e.g. auditee, audit team) to the audit plan;
b) introduce the audit team and their roles;
c) ensure that all planned audit activities can be performed.
An opening meeting should be held with the auditee’s management and, where appropriate, those responsible for the functions or processes to be audited. During the meeting, an opportunity to ask questions should be provided.
The degree of detail should be consistent with the familiarity of the auditee with the audit process. In many instances, e.g. internal audits in a small organization, the opening meeting may simply consist of communicating that an audit is being conducted and explaining the nature of the audit. For other audit situations, the meeting may be formal and records of attendance should be retained.
The meeting should be chaired by the audit team leader.
Introduction of the following should be considered, as appropriate:

• other participants, including observers and guides, interpreters and an outline of their roles;
• the audit methods to manage risks to the organization which may result from the presence of the audit team members.

Confirmation of the following items should be considered, as appropriate:

• the audit objectives, scope and criteria;
• the audit plan and other relevant arrangements with the auditee, such as the date and time for the closing meeting, any interim meetings between the audit team and the auditee’s management, and any change(s) needed;
• formal communication channels between the audit team and the auditee;
• the language to be used during the audit;
• the auditee being kept informed of audit progress during the audit;
• the availability of the resources and facilities needed by the audit team;
• matters relating to confidentiality and information security;
• relevant access, health and safety, security, emergency and other arrangements for the audit team;
• activities on site that can impact the conduct of the audit.

The presentation of information on the following items should be considered, as appropriate:

• the method of reporting audit findings including criteria for grading, if any;
• conditions under which the audit may be terminated;
• how to deal with possible findings during the audit;
• any system for feedback from the auditee on the findings or conclusions of the audit, including complaints or appeals.

The purpose of the opening meeting is to confirm the agreement of all participants (e.g. auditee, audit team) to the audit plan; introduce the audit team and their roles; and ensure that all planned audit activities can be performed. The opening meeting during ISO audits serves as a crucial starting point for the audit process. It serves several important purposes:

1. Confirmation of Agreement: During the opening meeting, the audit team and the auditee come together to confirm their agreement on the audit plan. This ensures that everyone is on the same page regarding the scope, objectives, and activities planned for the audit.
2. Introduction of the Audit Team: The opening meeting provides an opportunity for the audit team to introduce themselves to the auditee and other relevant participants. This introduction typically includes names, roles, and a brief overview of the team members’ expertise and experience.
3. Explanation of Roles and Responsibilities: The meeting is a platform to clarify the roles and responsibilities of each participant. This includes the roles of the auditee, audit team members, and any other stakeholders involved in the audit process. Clear communication of responsibilities helps in the smooth execution of audit activities.
4. Review of Audit Objectives and Scope: The opening meeting is an appropriate time to reiterate the audit objectives and scope. This ensures that there is a shared understanding of what the audit aims to achieve and the boundaries within which the audit activities will be conducted.
5. Ensuring Cooperation and Access: The meeting allows for the establishment of a cooperative atmosphere. It’s an opportunity to emphasize the importance of collaboration between the auditee and the audit team. The auditee’s commitment to providing necessary information and access to relevant personnel and areas is confirmed.
6. Confirmation of Practical Arrangements: Practical details such as the schedule, locations, and any logistical considerations are discussed and confirmed during the opening meeting. This ensures that the audit activities can proceed smoothly without any hindrances.
7. Addressing Questions and Concerns:Participants, especially the auditee, may have questions or concerns about the audit process. The opening meeting provides a forum for addressing these questions and concerns, fostering a transparent and communicative audit environment.
8. Setting the Tone for the Audit: The opening meeting sets the tone for the entire audit process. A well-conducted meeting contributes to a positive and collaborative atmosphere, which is essential for the success of the audit.

In summary, the opening meeting is a critical component of the audit process, providing a platform for agreement, communication, and clarity to ensure that the audit activities can proceed effectively and efficiently.

An opening meeting should be held with the auditee’s management and, where appropriate, those responsible for the functions or processes to be audited. The opening meeting in an ISO audit should be held with the auditee’s management and, where relevant, those individuals who are responsible for the functions or processes that will be audited. This approach ensures that key stakeholders are informed, engaged, and have a clear understanding of the audit process. Involving the auditee’s management and relevant process owners in the opening meeting has several benefits:

1. Clarification of Objectives: Direct interaction with management allows the audit team to clarify the objectives of the audit. It ensures that management understands what the audit aims to achieve and what specific areas will be examined.
2. Demonstration of Leadership Commitment: When management is present in the opening meeting, it demonstrates a commitment to the audit process. This commitment is essential for creating a positive audit environment and fostering cooperation between the audit team and the auditee.
3. Identification of Key Personnel: Meeting with those responsible for the functions or processes being audited allows the audit team to identify key personnel who can provide valuable insights and information during the audit.
4. Addressing Concerns and Expectations: Management and process owners may have concerns or expectations related to the audit. The opening meeting provides an opportunity to address these concerns, manage expectations, and ensure that everyone is on the same page.
5. Enhanced Cooperation and Communication: Engaging with management and process owners from the outset promotes a cooperative and communicative atmosphere. This is crucial for obtaining the necessary cooperation, access, and information throughout the audit.
6. Efficient Information Exchange: The opening meeting allows for the efficient exchange of information between the audit team and key stakeholders. This is important for gathering initial insights into the audited processes and establishing a baseline for further discussions.
7. Building a Relationship with the Auditee: Meeting with management and relevant personnel helps in building a positive relationship between the auditee and the audit team. This relationship is beneficial for the overall success of the audit and for fostering a continuous improvement mindset.

In summary, involving the auditee’s management and relevant process owners in the opening meeting is a best practice in ISO audits. It contributes to the effectiveness of the audit by ensuring alignment, addressing concerns, and promoting collaboration between the auditee and the audit team.

During the meeting, an opportunity to ask questions should be provided. Providing an opportunity for questions during the opening meeting is a crucial aspect of effective communication and collaboration in the audit process. This practice ensures that all participants, including the auditee’s management and relevant personnel, have a chance to seek clarification, express concerns, and contribute to a better understanding of the audit process. Here are some reasons why offering a question and answer session is beneficial:

1. Clarification of Expectations: Participants may have questions about the audit objectives, scope, or specific activities. Allowing questions provides an opportunity to clarify any uncertainties and ensures that everyone is on the same page regarding what to expect during the audit.
2. Addressing Concerns: Stakeholders may have concerns or reservations about the audit process. Providing a platform for questions allows these concerns to be raised and addressed, promoting transparency and building trust between the auditee and the audit team.
3. Enhanced Engagement: Encouraging questions fosters active engagement from participants. This engagement is important for creating a positive and collaborative atmosphere, which can contribute to the overall success of the audit.
4. Identification of Key Information: Questions raised during the opening meeting may highlight areas that require special attention or additional information. This early identification of key information can streamline the audit process and ensure that the audit team focuses on the most relevant aspects.
5. Improved Communication: A question and answer session promotes open communication between the audit team and the auditee. It establishes a dialogue that can continue throughout the audit, facilitating the exchange of information and insights.
6. Continuous Improvement: Participants may provide valuable input or suggestions for improvement during the question and answer session. This aligns with the principles of continuous improvement that underlie many ISO standards.
7. Empowerment of Participants: Allowing questions empowers participants to actively engage in the audit process. It creates a participatory environment where stakeholders feel they have a voice and can contribute to the success of the audit.

In summary, incorporating a question and answer session during the opening meeting is a best practice that promotes understanding, transparency, and collaboration. It sets a positive tone for the audit and contributes to the overall effectiveness of the audit process.

The degree of detail should be consistent with the familiarity of the auditee with the audit process. In many instances, e.g. internal audits in a small organization, the opening meeting may simply consist of communicating that an audit is being conducted and explaining the nature of the audit. For other audit situations, the meeting may be formal and records of attendance should be retained. The degree of detail and formality in the opening meeting of an audit should indeed be tailored to the nature of the audit, the size of the organization, and the familiarity of the auditee with the audit process. Here’s a breakdown of how the approach can vary:

1. Internal Audits in Small Organizations: In smaller organizations, especially for routine internal audits where the auditee is familiar with the process, the opening meeting might be relatively straightforward. It could involve a brief communication to inform the relevant personnel that an audit is being conducted. The focus might be on explaining the nature of the audit, its purpose, and any specific areas of emphasis. The level of formality may be less pronounced, and the emphasis could be on cooperation and openness.
2. Formality and Documentation: In larger organizations or in situations where external stakeholders are involved, a more formal approach may be necessary. This could include the preparation of formal agendas, distribution of meeting materials in advance, and the retention of records of attendance. Formality is often increased when dealing with external audits, regulatory audits, or audits where there’s a need for clear documentation of the audit process for compliance or certification purposes.
3. Tailoring Detail to Auditee’s Familiarity: It’s crucial to consider the familiarity of the auditee with the audit process. For organizations that undergo regular audits, especially if they have a mature management system in place, there might be a higher level of familiarity. In such cases, the opening meeting could be more focused on updates, specific areas of concern, or changes since the last audit.
4. Communication and Engagement: Regardless of the level of formality, effective communication and engagement should be a priority. The opening meeting is an opportunity to set the tone for the audit, establish clear expectations, and ensure that everyone is aligned on the objectives and scope of the audit.
5. Flexibility in Approach: The approach should be flexible and adaptive. Some situations may call for a more collaborative and interactive opening meeting, while others may require a more structured and formal session. The key is to strike a balance that fits the context of the audit.

In summary, the level of detail and formality in the opening meeting should be a pragmatic decision based on the specific circumstances of the audit and the needs of the auditee. This tailored approach helps in ensuring that the opening meeting serves its primary purposes while aligning with the context of the audit.

The meeting should be chaired by the audit team leader. It is a common practice for the opening meeting of an audit to be chaired by the audit team leader. The audit team leader typically takes on a leadership role throughout the audit process, and chairing the opening meeting aligns with their responsibilities. Here are several reasons why the audit team leader is often designated as the chairperson for the opening meeting:

1. Leadership and Coordination: The audit team leader is responsible for leading and coordinating the audit activities. Chairing the opening meeting allows them to take charge, set the tone, and establish a sense of leadership from the outset.
2. Consistency in Communication: Having the audit team leader as the chair ensures consistency in communication. The team leader is usually well-versed in the audit plan, objectives, and scope, and can effectively convey this information to the auditee and other participants.
3. Representation of the Audit Team: The team leader is often seen as the primary representative of the audit team. Chairing the opening meeting allows the team leader to introduce the entire audit team, emphasizing their roles and expertise.
4. Addressing Questions and Concerns: As the leader of the audit team, the team leader is well-positioned to address any questions or concerns raised during the meeting. They can provide clarity, manage expectations, and facilitate effective communication.
5. Setting the Tone for the Audit: The team leader plays a crucial role in setting the overall tone for the audit. Chairing the opening meeting allows them to convey the purpose of the audit, the importance of cooperation, and the collaborative approach the team intends to take.
6. Facilitating a Smooth Opening: The team leader is often the most familiar with the details of the audit plan and the specific objectives. Chairing the meeting allows them to guide the opening smoothly, ensuring that all essential information is communicated and understood.
7. Alignment with Leadership Responsibilities: In many auditing standards and frameworks, the team leader is designated as having overall responsibility for the audit. Chairing the opening meeting aligns with this leadership role and reinforces the team’s authority in conducting the audit.

While it’s common for the audit team leader to chair the opening meeting, it’s essential for the leader to collaborate closely with other team members and ensure that everyone is actively involved in the various aspects of the audit process. Team cohesion and effective communication among all team members contribute to the success of the audit.

During ISO audit the team leader must also introduce other participants, including observers and guides, interpreters and an outline of their roles. This practice helps set expectations, clarifies the roles of each participant, and contributes to a smooth and transparent audit process. Here’s a breakdown of why this introduction is important:

1. Transparency and Communication: Introducing all participants, including those who may be observers, guides, or interpreters, fosters transparency. It ensures that everyone is aware of who is involved in the audit process and their respective roles.
2. Clarification of Roles: Clearly outlining the roles of each participant helps avoid confusion during the audit. This is particularly important for observers or guides who may not be directly involved in the audit but are present to provide support or gain insights.
3. Understanding of Observer Status: Observers may be present for various reasons, such as regulatory compliance, external certification bodies, or internal stakeholders. Introducing them and specifying their role helps in understanding their status—whether they are active participants or passive observers.
4. Facilitating Cooperation: When all participants, including observers and guides, understand their roles, it facilitates smoother cooperation. Each participant knows how they contribute to the audit process, promoting a collaborative environment.
5. Interpreter’s Role and Importance: In cases where language differences exist, having an interpreter is crucial. Introducing the interpreter and explaining their role helps in overcoming language barriers and ensures effective communication between the audit team and the auditee.
6. Acknowledging Contributions: Recognizing the presence and contributions of all participants, including support staff, shows respect for their involvement. It helps create a positive and inclusive atmosphere throughout the audit.
7. Managing Expectations: The introduction of all participants helps in managing expectations. Everyone involved, including the auditee, should have a clear understanding of who is present and why, reducing the likelihood of misunderstandings.
8. Preventing Disruptions: When roles are clearly defined, disruptions during the audit are less likely to occur. Participants, including observers and guides, are more likely to adhere to their designated roles, contributing to the efficiency of the audit process.

In summary, introducing all participants and outlining their roles during the opening meeting of an ISO audit is a best practice that enhances transparency, communication, and cooperation. It sets a positive tone for the audit and helps create an environment conducive to the successful completion of the audit process.

During ISO audit the team leader must also introduce the audit methods to manage risks to the organization which may result from the presence of the audit team members. Managing risks associated with the presence of the audit team is an important aspect of the ISO audit process. The team leader should address this during the opening meeting to ensure transparency, cooperation, and to minimize any potential negative impacts on the audited organization. Here are key considerations:

1. Confidentiality and Data Security: The team leader should emphasize the importance of confidentiality and data security. Clarify that the audit team will handle all information obtained during the audit with the utmost confidentiality and that any sensitive data will be protected.
2. Scope of Access: Clearly define the areas and information that will be accessed during the audit. This helps manage expectations and ensures that the auditee is comfortable with the extent of access required for the audit.
3. Minimizing Disruptions: Acknowledge that the audit process may disrupt normal operations to some extent, but efforts will be made to minimize any negative impact. This includes working with the auditee to schedule audit activities at convenient times and avoiding unnecessary interruptions.
4. Communication Channels: Establish clear communication channels for addressing any concerns or issues that may arise during the audit. This could include a designated contact person or a communication protocol to ensure that any risks or challenges are promptly addressed.
5. Adherence to Organization Policies: Confirm that the audit team will adhere to the organization’s policies and procedures. This includes any specific rules or guidelines that the auditee requires the audit team to follow while on-site.
6. Professional Conduct: Emphasize the professional conduct expected from the audit team members. This includes respecting the organization’s culture, adhering to ethical standards, and maintaining a positive and collaborative attitude throughout the audit.
7. Audit Team Size and Composition: Provide information about the size and composition of the audit team. This helps the auditee understand who will be present during the audit and the roles of each team member.
8. Flexibility and Cooperation: Highlight the importance of flexibility and cooperation. The audit team is there to work collaboratively with the auditee, and any adjustments needed to accommodate the organization’s needs will be considered within the bounds of the audit objectives.
9. Feedback Mechanisms: Establish mechanisms for feedback. Encourage the auditee to provide feedback on the audit process, including any concerns or suggestions for improvement. This promotes a two-way communication channel and contributes to a more constructive audit experience.

Addressing these aspects during the opening meeting helps create a positive and transparent environment, reducing potential risks and ensuring a smoother audit process. It also demonstrates the audit team’s commitment to conducting a fair, objective, and respectful audit.

A comprehensive list of items that should be confirmed during the opening meeting of an audit, and they cover various crucial aspects of the audit process is as follows. Confirming these items helps establish clear expectations, ensures alignment between the audit team and the auditee, and contributes to the smooth and effective execution of the audit. Here’s a closer look at each point:

1. Audit Objectives, Scope, and Criteria: Confirming these elements ensures that everyone understands the purpose of the audit, the areas to be covered, and the standards or criteria against which the audit will be conducted.
2. Audit Plan and Relevant Arrangements: Confirmation of the audit plan and other arrangements, such as the date and time for the closing meeting, helps in aligning schedules and expectations between the audit team and the auditee.
3. Interim Meetings and Changes: Agreeing on any interim meetings and being open to discussing changes to the audit plan fosters flexibility and adaptability, ensuring that the audit stays on track and meets its objectives.
4. Formal Communication Channels: Establishing clear communication channels ensures that information flows efficiently between the audit team and the auditee, minimizing the risk of misunderstandings or delays.
5. Language Used During the Audit: Confirming the language to be used is crucial, especially in multilingual environments, to ensure effective communication and understanding.
6. Keeping Auditee Informed of Progress: Agreeing on how the auditee will be kept informed of audit progress promotes transparency and allows for timely feedback or adjustments.
7. Availability of Resources and Facilities: Confirming the availability of necessary resources and facilities ensures that the audit team can carry out their activities without unnecessary delays or obstacles.
8. Confidentiality and Information Security: Addressing matters related to confidentiality and information security helps build trust and ensures that sensitive information is handled appropriately.
9. Access, Health and Safety, Security, and Emergency Arrangements: Confirming these arrangements is critical for the safety and well-being of the audit team and ensures that the audit can be conducted in a secure and controlled environment.
10. Impact of On-site Activities on the Audit: Discussing activities on-site that can impact the audit allows for coordination and planning to minimize disruptions and maintain the integrity of the audit process.

In summary, confirming these items during the opening meeting establishes a solid foundation for the audit, promotes effective communication, and ensures that both the audit team and the auditee are well-prepared for a successful audit process.

The following information should be discussed during the opening meeting: the method of reporting audit findings including criteria for grading, if any; conditions under which the audit may be terminated; how to deal with possible findings during the audit; any system for feedback from the auditee on the findings or conclusions of the audit, including complaints or appeals.

1. Method of Reporting Audit Findings: Outline the method of reporting audit findings, specifying the format and content of the audit report. Discuss any criteria for grading or categorizing findings, if applicable. This ensures that the auditee understands how audit results will be communicated.
2. Conditions Under Which the Audit May be Terminated: Clearly define the conditions under which the audit may be terminated. This could include unforeseen circumstances, safety concerns, or any situation that compromises the integrity of the audit process. Having this understanding upfront helps manage expectations.
3. Dealing with Possible Findings During the Audit: Discuss how the audit team and the auditee will handle potential findings or issues identified during the audit. Establish a process for addressing and resolving these findings in real-time to facilitate a proactive and collaborative approach.
4. System for Feedback from the Auditee: Establish a system for feedback from the auditee on the findings or conclusions of the audit. Discuss how the auditee can provide input, clarification, or additional information related to the audit findings. This contributes to a fair and comprehensive assessment.
5. Handling Complaints or Appeals: Outline any procedures for handling complaints or appeals from the auditee regarding the audit process or findings. This ensures a transparent and fair mechanism for addressing concerns and maintaining the credibility of the audit.

Discussing these points during the opening meeting not only provides clarity on the audit process but also promotes transparency, cooperation, and fairness. It establishes a framework for effective communication and collaboration throughout the audit, allowing both the audit team and the auditee to work together to achieve the objectives of the audit.