OPENING • Client Name

MEETING • Standard being audited

• Audit date(s)
• Auditor
INSERT OPENING
MEETING DATE

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INTRODUCTIONS
THE AUDIT TEAM:

• Insert Lead Auditor’s name here

• Team Auditor(s):
• Insert Team Auditor(s) names here
• Insert Team Auditor(s) names here

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INTRODUCTIONS, PRELIMINARIES
AUDIT PARTICIPANTS AND OBSERVERS

• Would each attendee state your name, your title within the organization,
and your role during this audit.

• Verify who is responsible for the functions/processes to be audited.

• Would everyone please sign the Attendance Roster?

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SCOPE OF CERTIFICATION
DEFINING THE SCOPE IS CRITICAL!

• Let’s review and confirm the scope of certification.

• Does anyone feel that we need to clarify the scope to be covered by this
audit?
• For QMS audits:
• Are there any standard requirements that are not applicable to be verified
during this audit? This would include any products or processes you feel
need to be clarified or are not applicable?

• For EMS audits:

• Are there any Environmental Aspects that need to be added, clarified, or are
no longer applicable?

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AUDIT PLAN
OTHER ELEMENTS OF THE AUDIT PLAN

• Review the type and scope of the audit, the objectives and criteria, any
changes that anyone feels needs to be made, and other relevant
arrangements we need to discuss, such as the date and time for the closing
meeting, any interim meetings between the audit team and the company’s
management.

• Are there any changes that need to be made to:

- The number of sites.
- Size factors, such as the number of employees, scale of facility,
etc.

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COMMUNICATIONS AND RESOURCES
EXECUTING THE AUDIT PLAN, COMMUNICATIONS, AND LOGISTICS

• The audit team is responsible for the audit, and will be in control of executing the audit
plan, including audit activities and audit trails.

• You will be kept informed of audit progress, and of any concerns as they are uncovered
during the audit.

• Please confirm that the resources and facilities needed by the audit team are available,
such as:
• Conference rooms and work rooms
• PPE
• Meals, etc.

• Address any schedule or other audit problems that have surfaced, such as:
• Off-shift coordination
• Non-standard working hours
• Staff unavailability

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CONFIDENTIALITY
WE TAKE IT SERIOUSLY!

• PRI Registrar and this audit team will treat as strictly confidential any
information (not in the public domain or disclosed to PRI by a third party)
that comes into the possession of our Auditors, employees, subcontractors,
or any Board, Panel, or Committee members or oversite bodies in the
course of assessment or registration. This information will not be disclosed
to any Third Party without prior written consent of your organization.

• Please note that there is a confidentiality agreement in place between PRI

and ANAB, their Accreditation Body.

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SAFETY, EMERGENCY AND SECURITY

• Review the procedures and policies in place for the following:

• Work safety (PPE, restricted areas, etc.)

• Emergencies, evacuation plans, etc.

• Security (physical and IT)

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AVAILABILITY, ROLES, IDENTITIES OF GUIDES

• Introduce any guides and observers during this audit.

• Review their availability and roles

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AUDIT FINDINGS
HOW WILL AUDIT FINDINGS BE REPORTED AND GRADED?

• Nonconformances will only be raised against specific requirements in, or

incorporated by the management system (including customer or regulatory
requirements).

• Nonconformances will be identified verbally when found, and they will be

formally recorded in the report for review and acknowledgement by your
representative at the closing meeting.

• Let’s review the distinction between Major and Minor nonconformances?

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TERMINATION OF THE AUDIT
HOW MIGHT AN AUDIT BE TERMINATED?

• Premature Termination: We could decide on a pre-mature termination of the audit (after

consultation with company representatives and PRI Registrar) if, during the audit, we
determine that the intended purposes of the audit are obstructed or unattainable.

• If the Audit is completed as planned:

• We could recommend an unconditional registration or unconditional continuation of

registration after the assessment is completed and if no nonconformances remain
open. (This is required for Aerospace sector assessments and re-assessments).
• We could recommend conditional registration or conditional continuation of registration
after the assessment is completed when only a limited number and acceptable pattern
of minor nonconformances remain open, but with satisfactory corrective action(s) in
process (including development of records necessary to demonstrate implementation).
• We could recommend denial of registration when major noncompliance with the
Standard remains unresolved, or when satisfactory corrective action on
nonconformances is not taken within the permitted time limits.

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NOTE FOR EMS AUDITS ONLY
PLEASE NOTE:

• This is not a compliance evaluation. We are auditing conformance to the

requirements of the 14001 Standard and the Environmental Management
System.

• We are not auditing compliance to environmental laws and/or regulations.

PRI has a procedure for what to do if suspected non-compliance is observed
during the audit. Suspected non-compliance will be reported to top
management. Top management is expected to determine the appropriate
corrective action, if needed, including any reporting to relevant agencies.

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RESPONSIBILITIES
FOR EXECUTING THE AUDIT PLAN AND THE REGISTRATION DECISION

• The audit team leader (and audit team, if applicable) representing the
certification body (PRI) is responsible for the audit, and shall be in control
of executing the audit plan, including audit activities and audit trails.

• Keep in mind that the Lead Auditor only makes the recommendation for
registration. The actual Registration decision is done by PRI Registrar. A
follow-up, on site, assessment of corrective actions may be required (i.e.,
Special Surveillance) for standards that require closure before
registration or continuation.

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AUDIT ESCORTS AND THEIR ROLE

• Review the audit schedule, and the assignment of Auditor responsibilities

and arrangements for each Auditor to be accompanied by a company
representative (Escort).
• As a reminder, the Escort is not to provide answers to questions as a
substitute for the person being interviewed, but they can help explain
questions/answers in the context of your company’s terminology or
organizational arrangements.
• We request that the Escort(s) manage the Audit Participant list (RF-20a)
during the audit to assure all personnel interviewed or participating are
listed on it.

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STATUS OF FINDINGS OF PREVIOUS AUDIT
REVIEW PREVIOUS FINDINGS

• We need to verify the effective closure of those findings at this audit, if

applicable.

• Review each previous finding, and its status.

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AUDIT METHODS AND PROCEDURES
LOOKING FOR CONFORMANCE, NOT BLAME!

• This audit will measure conformance against the applicable reference

documents, such as the appropriate Standard or provisions of your
company’s system, or your customers’ requirements. Keep in mind that an
audit is a limited sample that will measure apparent conformance.

• The assessment is accomplished by asking questions, sampling work in

progress and examining documents and records. As the Auditor, my role is
to assist you in verifying conformance to the requirements or, where a
nonconformance is identified, to document the occurrence for appropriate
corrective action. We are not looking for someone to blame!

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LANGUAGE(S) USED DURING THE AUDIT

• Confirm the language used during the audit.

• If not a language our audit team speaks and understands fluently, we need
to verify if/how translators will be used.

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EXPORT CONTROL
DISCUSS HOW TO HANDLE EXPORT CONTROLLED MATERIALS (ITAR/EAR)

• Do you have any Restricted items which will be used during the audit? If
Restricted items are to be used, let’s discuss the ramifications of using it –
especially if any Auditors are Restricted.

• Please note that it is your responsibility as the Auditee to identify the ITAR or
EAR status of all items which are included in the audit. It is also your
responsibility to know whether you are allowed to show the Auditor(s) these
items as part of the audit. If you are unsure of the status of the materials
and product you have, we strongly advise you to contact your customer.

• If any Auditors on the team are Restricted, it is your responsibility to ensure

that no material or information that is Export Controlled is used during the
audit. This includes verbal and visual access to information and hardware

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AUDITOR STATUS – RESTRICTED / UNRESTRICTED
DEFINITIONS AND STATUS OF AUDITORS ON THIS AUDIT

• Unrestricted Auditors – Unrestricted auditors are U.S. Persons or green

card holders. They have complete access to ITAR and EAR restricted
items at U.S. suppliers. They have access to restricted items at Foreign
(non-U.S.) suppliers based upon the supplier’s authorizations (licenses or
agreements) which sent that item to the Foreign supplier.

• Restricted Auditors – Restricted auditors are non-U.S. Persons and have

no authorization to review restricted items.

• The Auditors on this audit are all Unrestricted.

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EXPORT CONTROL
HOW WE HANDLE NCR’S RELATED TO EXPORT CONTROLLED MATERIAL

• If there are any NCR’s generated in this audit related to Export Controlled
material, we cannot post any technical data/information related to restricted
parts in RMS or OASIS.

• The audit team will take special precautions to safely and securely handle
any Export Controlled information that is needed to provide objective
evidence.

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REFERENCE MATERIALS
FOR YOUR INFORMATION

• We encourage you to review the IAF Communique [“Expected Outcomes for

Accredited Certification to ISO 9001” or “Expected Outcomes for Accredited
Certification to ISO 14001”], which can be found under the “Client Reference
Documents” in RMS.

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QUESTIONS
This is your chance to ask before the audit
starts!

If questions come up later during the audit,

please ask your Auditor, or bring it up during
daily debriefings.

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NOTE TO AUDITORS:
THINGS TO REMEMBER AS YOU START THE AUDIT

• FOR AEROSPACE AUDITS:

• You must conduct an annual interview with top management. Topics may include:

• Establishment and continued relevance of the organization's quality policy and

objectives;
• Establishment of performance measures aligned to quality objectives;
• QMS development, implementation, and continual improvement;
• Top management commitment;
• QMS performance and effectiveness;
• Performance to customer expectations (e.g., supplier rating, scorecard, audit
results);
• Actions taken to address issues that are not meeting customer performance
expectations.

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