Audit Preparation Checklist

DATE/S OF AUDIT

COMPANY NAME

CONTACT NAME

CONTACT PHONE

ADDRESS

AUDIT SUMMARY
STANDARD TYPE OF AUDIT DURATION

If you are auditing against a specific
standard you would add this here.
For example, ISO 9001:2015, ISO
14001:2015, ISO 45001:2018.
TIME TO ADDRESS
If it is a certification audit you can add The duration of the audit in hours
whether it is a surveillance, certification,
or recertification.
You could also include in this section if it
is an internal audit or supplier audit.
LAST AUDIT DATE SURVEILLANCE CYCLE

How long it takes to drive, get transport
to the address of your client.
This helps ensure that you leave home on
time and arrive on time (early).
RECERTIFICATION DATE/S
It is always handy to add the date of the Add in the audit cycle, whether the audit
last audit to reflect on if needed is scheduled every 12 months or 6 months
for example
TRANSITION DATE ADVISED UPDATE AUDIT LOG

If it is a certification audit it is always
handy to add the 3 yearly recertification
date for future planning for the client
PPE REQUIRED
Use this field if there are any standards A great reminder to update your audit log
that the client is transitioning to. while you are preparing for your next
This is only relevant if an ISO Standard audit!
has been newly released and there is a
transition period required.
REVIEW AUDITEE WEBSITE

Another great reminder to check with the Key areas to review before the audit are checking what the client says they do and
client what PPE is required for the audit whether it is consistent with the scope of the audit. It is also handy to look for any
policies they may have on the website to check the revision and cross-check with their
system during the audit.

AUDIT PREPARATION
Prepare the new audit report. Things to prepare would be Client details, Address, Scope and Transfer of the previous
nonconformances and observations to the new audit report for follow up

New Audit Report

Client details Transfer Previous nonconformances
Address Previous observations
Scope
NOTES

PRINT DOCUMENTATION
Previous audit report/previous audit findings/front page – this is relevant depending on how you work personally. Whether you still
like to have hard copies, or you work electronically.

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Audit Preparation Checklist
If you do like some hard copy documentation to support you, it is handy to print out the previous audit findings as this is easy to
scribble your notes on when discussing the corrective action implemented with the client.
The front page normally includes the previous audits attendees at the opening and closing meeting (so this is a great to reference to
remember people’s names).
It also includes the scope of the audit so perfect for referencing and confirming during the opening meeting.
Meeting Attendance Form – it is always great to pass around a meeting attendance form at the opening and closing meetings. It can
be as simple as capturing names, positions, and attendance at either one or both meetings.

Previous Audit Report

Previous audit findings Meeting Attendance Form
Front page
NOTES

MEETING PREP
This section is used to prompt and refer to during the opening and closing meetings. It is a great reference to keep you on track and
ensures that all areas you want to cover are included in the meetings.

OPENING MEETING CLOSING MEETING

Meeting Attendance Form Thankyou

A reminder to pass around the meeting attendance form to Always thank the client for their time.
capture attendees’ names and positions.

Type of Audit – as above Recommendation for certification (or not)

As per Audit Summary above If it is a certification audit this is the first thing that clients want
to hear.

Standard/s – as above Summary

As per Audit Summary above Provide a brief summary of the audit and the processes
followed.

System audit – not technical or legislation Findings – previous and new

It is always beneficial to explain the type of audit and what the Provide an update on whether any previous findings
process will be (nonconformances) have now been closed out or not as well as
presenting any new findings.

Audit Duration – confirm closing meeting time Positives

Confirm the duration as per the Audit Summary section. Also Do not forget about the positives too. This can be a simple as
then confirm the time of the closing meeting to ensure all recognizing the client’s assistance during the audit.
participants that need to attend can attend.

Any changes? FTE number? Report timeframe

Ask whether there have been any changes to the business or Confirm the timeframe for the provision of the audit report.
structure since the last audit. Has there been any change in
employee numbers (Full Time Equivalent/FTE)? This is a great
conversation starter where you can identify what has been
happening in the business.

Confirm Scope Confirm report contact name

Confirm the scope of the audit (extent and boundaries). The Confirm the contact for the audit report to be sent to.
scope is normally determined in the audit plan.

Confirm audit plan Questions

Confirm the audit plan and timetable and check that it is still Always end on asking if there are any areas not covered that

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Audit Preparation Checklist
OPENING MEETING CLOSING MEETING

suitable for the client. they have questions for.

Confirm grading of findings

It is always beneficial to explain how the audit and findings will
be reported and what gradings are used – for example,
major/minor nonconformances, observations or improvement
opportunities.

Confidentiality
Acknowledge that it is likely that you will review documents of a
confidential nature and that you confirm that all information
reviewed is not shared externally unless required by law.

Transition to ISO 45001?

If there has been a new ISO standard introduced with a
transition date it is a good conversation to have with clients to
see where they are at in the transition process.

Previous audit findings

Go through the previous audit findings (nonconformances,
observations) and discuss the corrective actions implemented.
This will assist you to follow up during the audit.

Notes

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