Opening Meeting

The opening meeting is one of the most important events in the history of our dealings with
new and existing clients and therefore it must be handled with the utmost precision in terms
of its conduct. It introduces, possibly for the first time, real live representatives of our
company, and can set the scene for the audit and all future dealings with the client. It is a
great forum to create a relaxed atmosphere and to put the audit organisation (client) at ease.
The following is the minimum agenda that we cover at the opening meeting. We aim to make
sure that the client is extremely clear about each thing we table at every opening meeting.
There is nothing worse than the auditees not understanding what is happening during each part
of the audit. We encourage our clients to question everything that they do not fully
understand.

1. INTRODUCTION
We always introduce the audit team members, we sometimes lighten things up by saying
something like ‘You have the pleasure of the company of my colleague and myself for the next
8 hours (two days, or whatever), I hope it will be a pleasure and not the reverse!”… we try to
put the client at ease so they get value from the audit event, no-one likes stressful audits so
we try so hard to ensure the client is not stressed.
Welcome – Thank you for engaging with KIWA Cermet Italy

2. CONFIRM SCOPE AND OBJECTIVES OF THE

ASSESSMENT
We either confirm that the scope is unchanged or we ascertain exactly what the new scope
wording is that is required by the client. We must remember that the scope cannot be
developed into something that entails a new industry classification or the audit team may not
be correctly qualified to then proceed with the audit. The new scope should be recorded on
the Opening Meeting Checklist or it can be left to the closing meeting if the company wishes to
have more time to discuss the exact wording amongst themselves.
We also need to explain the exact objective of each audit visit. The objective is usually to
check the organisation’s level of compliance against the chosen management system
standard(s).

Surveillance #2 – Transfer Audit, corporate Audit area – remote location – Malaysia

Branch
Seek to compliance of Quality, Environment and OSH – ISO9001:2015, ISO14001:2015 and
OHSAS 18001:2007.
Audit trail – process approach, concurrently with 3 systems. Audit methodology – will
observes the practices, verify the records, seek the understanding thru interviews.
Scope: Assemblies, Marketing and Distribution of Magnetic Auto control Security
Equipment
“We’ll be auditing against Quality, Environment and OSH – ISO9001:2015, ISO14001:2015
and OHSAS 18001:2007, your documented management system, and applicable customer
requirements.”

3. CONFIRM COMMUNICATIONS, RESOURCES AND

ESCORTS / GUIDES.
We always confirm who our lines of communication will be, who is available to help us to
ensure that the audit runs smoothly and who will be showing us around and introducing us to
the key audit personnel.

3 teams – Lead Auditor, A1 – Dr. Kenny Chan Teik Ken, co-auditor A2 – Mr. Lee Kian Chuan and
Observer – Mr. Elio Poletti

4. CURRENT NUMBER OF EMPLOYEES

We always check the numbers of employees for each company we audit at the
opening meeting to ensure that we are tracking the size of the organisation

5. CONFIRM AUDITOR CONFIDENTIALITY,

LIMITATION & RESPONSIBILITY
We should point out that everything that the audit team sees during the audit will remain
confidential (even though as one MD said to one of our team leaders, if you tell me what our
opposition does in their business, we will keep it confidential!!). We must also explain how we
all sign confidentiality agreements that are legally binding to ensure confidentiality is
maintained at all times.

“Everything we see during the audit and all the evidence we gather will be held in strict
confidence. We will not share it with any parties outside of your organization.”

“We will select a random and representative sampling of evidence during the audit, with
the objective of producing a balanced picture of operations. There is no way we could
possibly conduct a 100 percent inspection of everything happening here, but we believe our
sample will provide an accurate snapshot of current operations.”

An audit is a procedure based on the principle of random sampling and cannot cover each
detail of the management system. Therefore, nonconformities of weaknesses may still exist
which were not expressly mentioned by the auditors in the final meeting or in the audit
report.

The responsibility for continuous effective operation of the management system always
rests solely with the audited and certified organisation.

The audit report will be left to the organisation at the end of the audit - subject to approval
by the certification body. The independent release process may cause modifications or
additions. In these cases, a modified revision will be sent to the audited organisation.
 6. EXPLAIN THE AUDIT PROGRAM AND THE
REPORTING PROCESS FOR DEFICIENCIES
We feel it is important to run through the audit plan at the opening meeting to ensure that
there is no surprises for the client, we give an overview of what we will be looking at
throughout the course of the audit event.
We should point out that if there are only Minor CARs at the end of the audit, then the client
has to do nothing but commit to correcting the deficiencies and giving their responses as
required. If there are any Major CARs, then the client has to either complete the corrective
action and have it re-audited to close out the CAR or do enough of the corrective action such
that if the remaining problem were on its own, it would be graded as a Minor and as such the
Major can now be downgraded to Minor status.
Registration cannot proceed with open Major CARs or no responses to Minor CARs.

1. Review audit plan: Now you get into the details of the audit plan. I find that it’s helpful
to go over every angle to remove the potential for confusion. Here are the most
common details:
1. The duration of the audit. “We’ll begin the audit at 9:30 hrs. and continue until 17:00 hrs.”
2. Breaktime will be at 13:00 to 14:00 hrs
3. Documents to be used during the audit. “We’ll be using departmental procedures,
customer specifications, and the ISO 9001:2015 standard during our audit.”
4. The anticipated schedule for closing meeting. “We’re planning on having a closing
meeting at 11:30 a.m. today. At that time, we’ll go over all the findings and discuss next
steps. Feel free to invite anyone you think would benefit from being there.”

7. CONFIRM TIME AND PLACE FOR CLOSING

MEETING
We explain that the schedule is flexible and if managers or their employees are required to
carry out certain tasks during the course of the audit, then the audit team will try to
accommodate this as much as possible.
It is essential that the closing meeting time is confirmed, this should have been printed on the
assessment schedule sent to the client in advance of the audit. Under no circumstances should
this meeting be late; if there are extenuating circumstances over which the audit team had no
control, then the management team should be informed as early as possible of the new
meeting time.

8. APPEALS PROCESS
We always explain that if the client does not agree with any CARs that there is an appeals
process that is outlined in the certification criteria that all clients are issued with.

9. AUDIT TEAM SAFETY INDUCTION

We always ask about the safety of the audit team and whether there are any significant
hazards we may encounter. We request an induction if it has not been offered by the client.
Each client will normally have this covered without needing prompting from us.
Company Rules: Clearly state the auditors’ intention to following all company rules and
safety precautions.
“We know that ear plugs and safety glasses are required while in the production area, and
have come equipped with these personal protection items. Also, we’ll make sure to stay
within the painted yellow lines that indicate pedestrian walkways. As you’ve indicated, we
will also stay with our company guide at all times.”

9. INVITE QUESTION
Questions: In a gathering as relaxed as the opening meeting, questions are usually
addressed as they come up. Explicitly ask for questions at this point in case anyone was
waiting on a cue.
“Does anybody have any questions or comments? Please don’t be shy. All your thoughts
are very important to us.”

10. THANKS AGAIN

Conclude the opening meeting with one more thanks to all in attendance. Thank them
for coming to the opening, and also for their cooperation and assistance related to the
audit. Thank you is something you can’t say too much during an audit.
“Thanks again for having us here today and allowing us to audit. I look forward to making
this a real win-win activity, because I expect that we will learn a lot from you.”