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Instruction

Audit planning by the lead auditor

I 09
Issue no. 10
Valid since 19.09.2011
page 1 of 4

Communication of lead auditor before program elaboration


with auditor team and with observer for QSCert coordinate possible dates of audit prior
communication with Auditee, accommodation and logistics plan during audit, scope and duties
for members of audit team

with auditee

- clearly communicate (at 2nd stage of CA, 1.SA) and plan physical auditing
of all scopes of certification. If the Auditee does not have a job-order for some
of the certification scopes at the time of audit it is necessary to inform the
trainer/partners management, who decides about next procedure.
- to arrange the beginning of the audit, to inform about audit duration (app. 8
hours/audit day), to find out the facts which can influence an audit
programme
- if auditee realizes its product outside the residence of company (various
operations, building organization, road transport loading up, mucking
services, deratization, disinsection, desinfection, guard service), to arrange
the time flow for verification of this activities. It is required to include the time
necessary for movement into the program. In a case of audit term change, it
is necessary to repeatedly negotiate possible places of audit conduction
outside the company residence
- at re-certification audit to consult with director or quality manager processes
they consider as weaker, what should be audited more carefully at the audit. It
is required to plan more time for auditing of such processes and to plan less
time for auditing processes which were detected as strengths at previous
audits and for auditing processes where standard running can be expected
because of many years system operation (for example: internal audits, quality
policy, quality objectives, control of documents ..)
with consultant (at certification audit, at other audits if the service is executed by consulting
company) to find out the status of preparedness to audit, problematic areas, areas which shall
be procured

Communication of LA with audit team and QSCert observer before audit


minimum 1 day prior the audit repeated telephone confirmation of audit logistics (travelling,
place of audit team meeting before audit, accommodation), confirmation of preparedness for
audit of each audit team member (explanation of difficult parts of audit plan, mutual resolution of
1stage audit results or audit preparation)

Determination of standards articles division in CA and RCA programme


ISO 9001:2008
4.1, 4.2.1, 4.2.2, 4.2.3, 4.2.4, 5.1 s 5.2, 5.3, 5.4, 5.5, 5.6, 6.1, 6.2, 6.3, 6.4, 7.1, 7.2.1, 7.2.2, 7.2.3,
7.3, 7.4, 7.5.1, 7.5.2, 7.5.3, 7.5.4, 7.5.5, 7.6, 8.1, 8.2.1, 8.2.2, 8.2.3, 8.2.4, 8.3, 8.4, 8.5.1, 8.5.2,
8.5.3
ISO 14001:2004 a OHSAS 18001:2007
4.1, 4.2, 4.3.1, 4.3.2, 4.3.3, 4.4.1, 4.4.2, 4.4.3, 4.4.4, 4.4.5, 4.4.6, 4.4.7, 4.5.1, 4.5.2, 4.5.3, 4.5.4,
4.5.5, 4.6+ and continuously the areas, which can be audited at all processes/activities according to
I-04.1
AQAP 2110 (2120):2009
4.1, 4.2.1, 4.2.2, 4.2.3, 4.2.4, 5.1 s 5.2, 5.3, 5.4, 5.5, 5.6, 6.1, 6.2, 6.3, 6.4, 7.1, 7.2.1, 7.2.2, 7.2.3,
7.3, 7.4, 7.5.1, 7.5.2, 7.5.3, 7.5.4, 7.5.5, 7.6, 7.7, 7.8, 8.1, 8.2.1, 8.2.2, 8.2.3, 8.2.4, 8.3, 8.4, 8.5.1,
8.5.2, 8.5.3, 9, note: articles 7.3 and 7.8 are not valid for AQAP 2120

08.09.2011, Elaborated by: CD


Routing slip: LA, partners

checked by: QM

Instruction

Audit planning by the lead auditor

I 09
Issue no. 10
Valid since 19.09.2011
page 2 of 4

ISO/IEC 27001:2005
4.1, 4.2.1, 4.2.2 with A.7 + A.10 + A.11 + A.12 Attachments A, 4.2.3 with A.14 Attachments A,
4.2.4, 4.3.1, 4.3.2 with A.15 Attachments A, 4.3.3, 5.1 with A.5 Attachments A, 5.2.1 with A.6 + A.9
Attachments A, 5.2.2 with A.8 Attachments A, 6, 7, 8.1, 8.2 with A.13 Attachments A, 8.3 + + areas,
which can be audited at all processes/activities according to I-04.1
ISO 22000:2005
4.1, 4.2.1, 4.2.2, 4.2.3, 5.1, 5.2, 5.3, 5.4, 5.5, 5.6, 5.7, 5.8, 6.1, 6.2, 6.3, 6.4, 7.1, 7.2, 7.3, 7.4, 7.5,
7.6, 7.7, 7.8, 7.9, 7.10, 8.1, 8.2, 8.3, 8.4, 8.5
ISO 3834-2:2005
5.1 s 5.2, 5.3, 6, 7.1, 7.2, 7.3, 8.1, 8.2, 9.1, 9.2, 9.3, 9.4, 9.5, 10.1, 10.2, 10.3, 10.4, 10.5, 11.1, 11.2,
11.3, 12, 13, 14.1, 14.2, 14.3, 14.4, 14.5, 15, 16, 17, 18 + areas, which can be audited at all
processes/activities according to I-04.1
EN 16001:2009
3.1, 3.2, 3.3.1, 3.3.2, 3.3.3, 3.4.1, 3.4.2, 3.4.3, 3.4.4, 3.4.5, 3.4.6, 3.5.1, 3.5.2, 3.5.3, 3.5.4, 3.5.5,
3.6 + areas, which can be audited at all processes/activities according to I-04.1
FSSC 22000:2010
ISO 22000:2005 the depth of articles division is the same as at CA and RCA of ISO 22000:2005
+
ISO/TS 22002-1:2009 - 4.1, 4.2, 4.3, 5.1, 5.2, 5.3, 5.4, 5.5, 5.6, 5.7, 6.1, 6.2, 6.3, 6.4, 6.5, 6.6, 7.1,
7.2, 7.3, 7.4, 8.1, 8.2 s 8.3, 8.4, 8.5, 8.6, 9.1, 9.2, 9.3, 10.1, 10.2, 10.3, 10.4, 11.1, 11.2, 11.3, 11.4,
12.1, 12.2, 12.3, 12.4, 12.5, 12.6, 13.1, 13.2, 13.3, 13.4, 13.5 s 13.6, 13.7, 13.8, 14.1, 14.2, 14.3,
15.1, 15.2, 16.1, 16.2, 16.3, 17, 18.1, 18.2
+
Additional requirements of FSSC 22000 (part 1, Attachments 1A) 1.1, 1.2, 1.3, 2.1, 2.2, 2.3, 3.1

Specification of standards articles, which shall be audited during surveillance audits


and determination of their division depth in audit programme
ISO 9001:2008
During each SA: 5.3, 5.4, 5.6, 8.2.1, 8.2.2, 8.2.3, 8.3, 8.4, 8.5.1, 8.5.2, 8.5.3 + areas, which can be
audited at all processes/activities according to I-04.1
+ during 1. SA: 7.1, 7.2.1, 7.2.2, 7.2.3, 7.3, 7.5.1, 7.5.2, 7.5.3, 7.5.4
+ during 2.SA: 4.1, 4.2.1, 4.2.2, 4.2.3, 4.2.4, 5.1 s 5.2, 5.5, 6.1, 6.2, 6.3, 6.4, 7.4, 7.5.5, 7.6, 8.1,
8.2.4, note: requirements of art. 8 check during morning part of the audit
ISO 14001:2004 and BS OHSAS 18001:2007
During each SA: 4.2, 4.3.3, 4.5.2, 4.5.3, 4.5.5, 4.6 + areas, which can be audited at all
processes/activities according to I-04.1
+ during 1. SA: 4.3.1+4.3.2+ 4.4.6+ 4.4.7 (related to the processes/activities audited during 1. SA
ISO 9001 - 7.1, 7.2, 7.3, 7.5.1 - 7.5.4)
+ during 2. SA: 4.1, 4.4.1, 4.4.2, 4.4.3, 4.4.4, 4.4.5, 4.5.1, 4.5.4, 4.3.1+4.3.2+ 4.4.6+ 4.4.7 (related
to the processes/activities audited during 2. SA ISO 9001- 6, 7.4, 7.5.5, 7.6, 8.2.4), note:
requirements of art. 4.5 (except 4.5.4) check during morning part of the audit
AQAP 2110 (2120):2009
During each SA: 5.3, 5.4, 5.6, 8.2.1, 8.2.2, 8.2.3, 8.3, 8.4, 8.5.1, 8.5.2, 8.5.3 + areas, which can be
audited at all processes/activities according to I-04.1
+ during 1. SA: 7.1, 7.2.1, 7.2.2, 7.2.3, 7.3, 7.5.1, 7.5.2, 7.5.3, 7.5.4, 7.7, 7.8 + areas, which can be
audited at all processes/activities according to I-04.1, note: articles 7.3 and 7.8 are not
valid for AQAP 2120

08.09.2011, Elaborated by: CD


Routing slip: LA, partners

checked by: QM

Instruction

Audit planning by the lead auditor

I 09
Issue no. 10
Valid since 19.09.2011
page 3 of 4

+ during 2.SA: 4.1, 4.2.1, 4.2.2, 4.2.3, 4.2.4, 5.1 with 5.2, 5.5, 6.1, 6.2, 6.3, 6.4, 7.4, 7.5.5, 7.6, 8.1,
8.2.4, 9, note: requirements of art. 8 check during morning part of the audit
ISO/IEC 27001:2005
During each SA: 5.1 with A.5 Attachments A, 6, 7, 8.1, 8.2 with A.13 Attachments A, 8.3 + areas,
which can be audited at all processes/activities according to I-04.1
+ during 1.SA: 4.2.1, 4.2.2 with A.7 + A.10 + A.11 + A.12 Attachments A
+ during 2.SA: 4.1, 4.2.3 with A.14 Attachments A, 4.2.4, 4.3.1, 4.3.2 with A.15 Attachments A,
4.3.3, 5.2.1 with A.6 + A.9 Attachments A, 5.2.2 with A.8 Attachments A, note:
requirements of art. 8 check during morning part of the audit
ISO 22000:2005
During each SA: 5.2, 5.3, 5.8, 7.4, 7.9, 8.4, 8.5 + areas, which can be audited at all
processes/activities according to I-04.1
+ during 1.SA: 5.7, 7.1, 7.3, 7.5, 7.6, 7.7, 7.8, 7.10, 8.2
+ during S.SA: 4.1, 4.2.1, 4.2.2, 4.2.3, 5.1, 5.4, 5.5, 5.6, 6.1, 6.2, 6.3, 6.4, 7.2, 8.1, 8.3 note:
requirements of art. 8 check during morning part of the audit
ISO 3834-2:2005
During each SA: 15 + areas, which can be audited at all processes/activities according to I-04.1
+ during 1.SA: 5.1 s 5.2, 5.3, 6, 10.1, 10.2, 10.3, 10.4, 10.5, 13, 17
+ during 2.SA: 7.1, 7.2, 7.3, 8.1, 8.2, 9.1, 9.2, 9.3, 9.4, 9.5, 11.1, 11.2, 11.3, 12, 16, 18, note:
requirements of art. 14.1, 14.2, 14.3, 14.4, 14.5, 15 check during morning part of the
audit
EN 16001:2009
During each SA: 3.2, 3.3.3, 3.5.2, 3.5.3, 3.5.5, 3.6 + areas, which can be audited at all
processes/activities according to I-04.1
+ during 1.SA: 3.3.1+3.3.2+3.4.6 (related to the processes/activities audited during 1. SA ISO 9001
- 7.1, 7.2, 7.3, 7.5.1 - 7.5.4)
+ during 2.SA: 3.1, 3.4.1, 3.4.2, 3.4.3, 3.4.4, 3.4.5, 3.5.1, 3.5.4, 3.3.1+3.3.2+3.4.6 (related to the
processes/activities audited during 2. SA ISO 9001 - 6, 7.4, 7.5.5, 7.6, 8.2.4), note:
requirements of art. 3.5 (except 3.5.4) check during morning part of the audit
FSSC 22000:2010
ISO 22000:2005 - the depth of articles division is the same as at SA of ISO 22000:2005
+
ISO/TS 22002-1:2009
at 1.SA: 4.1, 4.2, 4.3, 5.1, 5.2, 5.3, 5.4, 5.5, 5.6, 5.7, 6.1, 6.2, 6.3, 6.4, 6.5, 6.6, 10.1, 10.2, 10.3,
10.4, 13.1, 13.2, 13.3, 13.4, 13.5 s 13.6, 13.7, 13.8, 14.1, 14.2, 14.3, 15.1, 15.2, 17, 18.1,
18.2
at 2.SA: 7.1, 7.2, 7.3, 7.4, 8.1, 8.2 s 8.3, 8.4, 8.5, 8.6, 9.1, 9.2, 9.3, 11.1, 11.2, 11.3, 11.4, 12.1,
12.2, 12.3, 12.4, 12.5, 12.6, 16.1, 16.2, 16.3
+
Additional requirements of FSSC 22000 (part 1, attachments 1A)
at 1.SA: 3.1
at 2.SA: 1.1, 1.2, 1.3, 2.1, 2.2, 2.3
+
If any changes were identified within food safety system requirements of art. 4.2.1. and 7.3.1 of ISO
22000 shall be checked documentary, also revision of PRP and their implementation, risks analysis
of operational PRP and CCP shall be checked documentary

08.09.2011, Elaborated by: CD


Routing slip: LA, partners

checked by: QM

Instruction

Audit planning by the lead auditor

I 09
Issue no. 10
Valid since 19.09.2011
page 4 of 4

Informative regulations for setting the time extent of 2nd stage audit programme (8,5 hours)
Duration of individual scopes of Quality management system auditing at certification audit (total
6 hours a day):
- Processes related to QMS = 8,3% (at 1 AD = 30 min.)
- Processes related to management responsibilities = 16,7% (at 1 AD = 1 hour)
- Processes related to resource management = 11,1% (at 1 AD = 40 min.)
- Processes of product realization planning, Processes related to customer, Processes of
design and development, Processes of production and services provision = 33,3% (at 1 AD =
2 hours)
- Purchasing processes = 5,6 % (at 1 AD = 20 min.)
- Monitoring and measuring equipment control processes = 4,2% (at 1 AD = 15 min.)
- Processes related to measuring, analysis and improvement = 20,8% (at 1 AD = 1 hour and 15
min.)
Duration of individual scopes of QMS auditing at 1 SA (total 6 hours a day):
- Processes related to management responsibilities = 12,5% (at 1 AD = 1 hour)
- Main processes = 37,5% (at 1 AD = 3 hours)
- Processes related to measuring, analysis and improvement = 25% (at 1 AD = 2 hours)
Duration of individual scopes of QMS auditing at 2.SA (total 6 hours a day):
- Processes related to management responsibilities = 12,5% (at 1 AD = 1 hour)
- Processes related to measuring, analysis and improvement = 25% (at 1 AD = 2 hours)
- Supporting processes = 25% (at 1 AD = 2 hours)
- Processes related to QMS = 12,5 % (at 1 AD = 1 hour)
Duration of other activities (total 2,5 hours a day):
- Opening meeting = 30 min. (at production companies with inspection of operations it takes
longer, during the second and other days i tis shorter)
- Lunch break = 1 hour
- Preparation of auditor/audit team for closing meeting or valuation of audit day = 30 min.
- Closing meeting with Auditee = 30 min. (at more-days audits it takes longer)

Abbreviations:
CA certification audit
RCA recertification audit
SA surveillance audit
AD audit day
LA lead auditor

08.09.2011, Elaborated by: CD


Routing slip: LA, partners

checked by: QM

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