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    Lead Auditor

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    ravimanas
    The document outlines the roles and responsibilities of an audit team leader in planning and conducting an audit, including developing an audit plan, assigning roles to audit team members, conducting on-site audit activities such as opening and closing meetings, generating findings, and preparing an audit report. It also discusses determining the feasibility of an audit, selecting the audit team, and conducting any follow-up after the audit is completed.

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    Lead Auditor

    Uploaded by

    ravimanas
    5K views13 pages
    The document outlines the roles and responsibilities of an audit team leader in planning and conducting an audit, including developing an audit plan, assigning roles to audit team members, conducting on-site audit activities such as opening and closing meetings, generating findings, and preparing an audit report. It also discusses determining the feasibility of an audit, selecting the audit team, and conducting any follow-up after the audit is completed.

    Original Description:

    RESPONSIBILITIES OF A LEAD AUDITOR FOR ISO 9001/ ISO 14001

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    The document outlines the roles and responsibilities of an audit team leader in planning and conducting an audit, including developing an audit plan, assigning roles to audit team members, conducting on-site audit activities such as opening and closing meetings, generating findings, and preparing an audit report. It also discusses determining the feasibility of an audit, selecting the audit team, and conducting any follow-up after the audit is completed.

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Download as PPT, PDF, TXT or read online from Scribd
    Download as ppt, pdf, or txt
    5K views13 pages

    Lead Auditor

    Uploaded by

    ravimanas
    The document outlines the roles and responsibilities of an audit team leader in planning and conducting an audit, including developing an audit plan, assigning roles to audit team members, conducting on-site audit activities such as opening and closing meetings, generating findings, and preparing an audit report. It also discusses determining the feasibility of an audit, selecting the audit team, and conducting any follow-up after the audit is completed.

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Download as PPT, PDF, TXT or read online from Scribd
    Download as ppt, pdf, or txt
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    The key takeaways from the document are the different stages involved in conducting an audit from planning to follow-up. These include selecting an audit team, preparing an audit plan, conducting the on-site audit, preparing and distributing an audit report, and conducting any follow-ups.

    The three main types of audits discussed are first party audits (internal), second party audits (one organization auditing another), and third party audits (independent auditing authorities).

    The roles and responsibilities of an audit team include assigning work to team members, preparing documentation, collecting and verifying information, generating findings, preparing conclusions, and conducting opening and closing meetings. The team leader is responsible for overall coordination.

     First Party Audit

     Also termed as Internal audit conducted by,


    or on be-half of organization itself for
    management review(internal purpose)
     Second Party Audit
     External to organization i.e., Auditing
    undertaken by one organization upon other
    organization to establish a confidence in
    their ability to meet ones requirements
     Third Party Audit
     Audit undertaken by independent authorities
    like Accredited certification bodies etc…
     Auditor : Person with competence to
    conduct audit
     Audit team: One or more auditors
    conducting an audit , supported if needed
    by technical expert. Note:(i) audit team leader is one of the audit member.(ii) Audit
    team can include auditor -in –training.

     Audit Scope: Extent and boundaries of


    Audit.
     Competence: Demonstrated personal
    attributes and demonstrated ability to apply
    knowledge and skills.
    Criteria of Audit team leader

     Based on the auditee, Lead auditor is


    appointed by the Certification body.

     When Joint audit is conducted, prior to


    audit auditing organizations decide
    mutually on specific responsibilities and
    authorities of the team leader for audit.
    I )Overall Objective of audit program
     Audit scope, Audit objectives and Audit
    criteria is defined between the audit client
    and audit team leader in accordance with
    audit program procedure. Any changes of the
    same should be agreed to by same parties.

    II) Feasibility of Audit


     Sufficient and appropriate information
    obtained to plan audit.
     Adequate Cooperation from auditee and also
    adequate item and resources.
    III) Selecting Audit team

    1. If single auditor all duties is performed by


    him.
    2. Based on size of audit team, following to
    be considered
     Audit objective , scope and criteria and

    estimated duration of audit.


     Audit is combined or joint.

     Statutory, regulatory, contractual and

    certification applicable.
     Ability of audit team to work together.
    3. Establish Initial Contact with auditee
    • Establish communication with auditee
    • Confirm authority to conduct audit

    • Make necessary arrangement for audit,

    request relevant documents, including


    records.

    As discussed in points I ,II and III are the


    preliminary roles performed before the
    audit begins .
    1. Prepare On-site Audit activities
    (a) PrepareAudit Plan
     Audit plan is prepared which include the scope,
    objective of audit.
     Identification of functional unit and process to be
    audited in organisation.
     Roles and responsibility of audit team member is
    assigned.
     Identify auditees representative for audit and
    reporting language is set.
     Matter related to confidentiality is discussed.
     Audit follow up action
    (b)Assigning work to the Audit Team
     TeamLeader, In consultation with team, should assign to each
    member resposibility for auditing the function, sites etc..

    ( c) Prepare work document


    Audit team member should review to the information relevant
    to audit assignments and prepare work documents.
    2. Conduct On-site Audit Activities
    (a) Conduct opening meeting
    To confirm audit plan, confirm communication
    and opportunity for auditee to ask question
    (b) Communication during audit- exchange data
    amongst team member of audit.
    (c) Roles and responsibilities of observer and
    guides – They should be assist the team on
    request of audit team leader.
    (d) Collect and verify Information- For appropriate
    sample Audit evidence to be recorded.
    (e) Generate audit findings – Generated based on
    audit criteria . Findings can be Conformaties and
    Non conformaties.
    (f) Prepare Audit conclusions – Review audit findings, as
    per appropriate data collected and discuss audit follow-
    up.

    (g) Conduct closing meeting – Its chaired by audit team


    leader. Concluded by presenting audit findings such that
    its understood and acknowledged by the auditee.
    Time frame the auditee to present corrective and
    preventive action plan.

    3. Preparing , approving and distributing the audit


    report
    (a) Prepare audit report – Team leader is responsible to
    prepare and contents of audit report.

    (b) Approving and distributing the audit report –


    the report should be approved and then issued within the
    agreed time period.
    4. Completing Audit – Its complete when all
    activities of audit plan has been carried
    out and approved report is distributed.

    5. Conduct audit follow-up – Audit may


    indicate corrective and preventive or
    improvement action plan as applicable.
    I Overall Objective of audit program
    II Feasibility of Audit
    III Selecting Audit team

    1. Prepare On-site Audit activities


    2. Conduct On-site Audit Activities
    3. Preparing , approving and distributing the audit report
    4. Completing Audit
    5. Conduct audit follow-up

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