Who this is for: Auditors, especially before their first audits.
Good preparation is the difference between an audit that confirms what everyone already knew and one that finds what matters. Allow time to prepare, typically about a quarter of the time you expect to spend auditing.
1. Confirm the scope and criteria
Scope — which site, processes, shifts and dates the audit covers. Check the location and scheduled dates on the audit.
Criteria — what you are auditing against: the standard's clauses, your own procedures, legal requirements or customer requirements. These are the questions in the audit template. Open the template preview before the audit and read through the questions.
If your template includes them, write this down on the audit before fieldwork: Objectives, Boundaries and Exclusions on the Audit Details step — see Recording objectives, boundaries and exclusions for an audit.
2. Review the background
The procedures, work instructions and records for the area
Findings from the last audit of this area, and whether their corrective actions are closed. Use Audit Findings, filtered by location.
Recent incidents, complaints or changes in the area
3. Plan the day
Agree a time with the area's manager. Decide who you need to speak to and which records you want to see, and send a short plan in advance so people and records are available.
If the template includes an Audit Plan, record your sampling approach, logistics and expected outputs there, or link to the plan you sent — see Adding an audit plan and sampling approach to an audit.
Whoever schedules the audit can name the people being audited as Auditee(s) and list what they should have ready in Information required from the auditee. If your organisation has switched on auditee notices, they are emailed and get an Audit Notice automatically. You’ll see the information requested on the Audit Details step.
4. Check your independence
You should not audit work you are responsible for. If the conflict of interest declaration appears when you start the audit, answer it honestly.
If an audit charter is in force for the location, the declaration includes a View Audit Charter link — a reminder of your authority and independence as an auditor.
5. Hold a short opening meeting
Spend five to ten minutes with the area's manager and anyone involved:
Confirm the scope, criteria and timetable
Explain how findings will be graded and reported
Agree who will escort you and how urgent issues will be raised
Answer questions
Record the meeting on the audit’s Audit Details step, under Opening meeting: the date held, who attended (free text, so you can include people from outside your company) and notes of what was agreed. It is printed in the published report.
6. During and after
Collect objective evidence for each answer: what you saw, read or were told, and by whom. At the end, hold a short closing meeting to share the findings before you publish, so there are no surprises in the report.
Before you publish, record anything that limited the audit, and what the auditee said about your conclusions at the closing meeting, in the Limitations and Auditee Response boxes on the Audit Summary step if the template includes them — see Recording limitations and the auditee's response.
If this doesn't work
You can't open the template preview — ask an Audit Administrator to check your role includes viewing templates.
Key people or records aren't available on the day — raise an issue on the audit so the delay is recorded, and continue with what you can.
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