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Abstract - I-09 Audit Planning, Issue 10 | Audit | Iso 9000
Audit planning by the lead auditor
Valid since 19.09.2011
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/partner´s 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
- 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
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
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,
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
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
3.5.2. 8. 5. 12. 5.13 Attachments A. 9. 7. 14.3. 3. which can be audited at all processes/activities according to I-04.3. 18.2.1.2. 7.5.5.2 with A.1.4. 7.1.4. 12. which can be audited at all processes/activities according to I-04. 6.4. 7. 6. 9.2. 13.2.1 + during 1.5.3.Instruction Audit planning by the lead auditor I – 09 Issue no.5. 8.1. SA: 4.5.5.2. 8.2.1. 4.2. SA: 7. 8. 5. 4.1. 16.2 with A.1 . 7.6. which can be audited at all processes/activities according to I-04. 5. 10. 7.2.3. 5.10.2. 3. 7.1.4.5.2.1.4.1.2.1.2. 8. 7.12 Attachments A.1.3.2 with A.4. 4.5.2. 14.2. 11.2. 3.9 Attachments A.1 with A.1 + during 1.6. 5.4) check during morning part of the audit AQAP 2110 (2120):2009 During each SA: 5.4. 4. 5. 5.2. 10. 8.2. SA: 4. 12. Attachments 1A) – 1. 7. 9.5. 10.5.5. 8.1. 7.2 s 8. 8.1. 8.2 with A.1.6. 4.3.8.2 + Additional requirements of FSSC 22000 (part 1.1 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 . 3. 3. 7.7.5. 3.2. 5.5.1. 8.5.8.6.4.4. 4.2.7 (related to the processes/activities audited during 1. 4. 6. 4. 16. 18 + areas.1. 7.2.5. which shall be audited during surveillance audits and determination of their division depth in audit programme ISO 9001:2008 During each SA: 5.1 EN 16001:2009 3.5 (except 4. 5. 7.4.1.6.7 + A.6. 1.14 Attachments A.4. 7. 4. 8.3.5. 6.3. 5.2.5.2. 7.5. 4. 7. 5.1 s 5.5.1. 7.5. 7. 7. Elaborated by: CD Routing slip: LA. 6.5. 11.1.09.2.3.10 + A.3.1.4. 8.5 s 13.5.2. 2.5.3 + areas. 7.2.3. 5. 6.5. which can be audited at all processes/activities according to I-04.3. 3.2.SA: 4.3.6. 7.4. 3.5.4.1. 8.3. 7.3. 4.3.2.2.4.2.7.1.1.3.1.4.3. 5.1.2. 4.5.3. 10. 8.3.3. 17. 7.2. 7.3 and 7.3. 7.4.3.3.2. 3. 5.5. partners checked by: QM . 2.2.1. 6. 5. 7.3.5.5.1.2.1. 5.3. 4. 6.3. 7.5.2. 8.2011. 6. 2.6. 3. 7. 8. 4.2.3. 7. 7.5. 8.3. 7.4.8.3.1. SA: 7.3.6 + A. 16.4) + during 2.4.1. 4.3. 4. 13.5. 6. 10.2.1.2.2.2.4.4. 8. 6. 13.3.2. 7.2.5.2011 page 2 of 4 ISO/IEC 27001:2005 4.5. 11.5 Attachments A.2. 5. 8. note: requirements of art. 3. 4.4. 14. 8.5.1.1.1. 13. 12.1+4. 13. 9. 5.5.1.11 + A.2. 13. SA ISO 9001 .2.3. 17. 5.4. 14.1. 7. 3.6. 11. 8.2. 15. 5.2. 14. 5. 9. 10.3 + areas. 3.2.1.5. 4. 7. 8. 7. which can be audited at all processes/activities according to I-04.09.15 Attachments A.3.5 ISO 3834-2:2005 5.4. 9.3.1.6. 3.7.5.2.2. 9.1 s 5.1.2.7 (related to the processes/activities audited during 2.3.6. note: requirements of art. 7.3.1.1. 14.3. 7. 8.4 + during 2. 8. 6.1.4.4.4.4.3.1.1 + during 1.5.5.3.2. 13. 14.2. 4.3.1.2.3. 4.2. 8. 11.2+ 4.3.3. 3. 7.2+ 4.2.3.2.4.1.6 + areas. 7.1 with A.1.3. 10.4. 9. 15.2. 5. 8.1. 18. 7.4. 4. 12.3. 8.4.7. 11.4.4.4.5. 16.1.1. 4. 7.3. 7.3.1.3.5. 8.8 Attachments A. 13. 6. 10.2.6+ 4.4). 4. 5.6. 8. 4.7. 14.7.2.1 • Specification of standards articles.4. 1.3 with A.3.1+4.3. 6. 3.1. 5. 8.2.3.1. 4.2. 7.5. 12. 6. 8. 6.4.6. 12.3.2.2.2.2. 4. 4.2. SA ISO 9001.5. 15.3. 11.2. 10 Valid since 19. 8 check during morning part of the audit ISO 14001:2004 and BS OHSAS 18001:2007 During each SA: 4. 4.9.4. 10.3 + + areas.4.1.4.1.8 + areas. which can be audited at all processes/activities according to I-04.4. 8. 8.4. 7.1.2.6 + areas.8 are not valid for AQAP 2120 08.2.2.7.4. which can be audited at all processes/activities according to I-04. 3.4.4. 4.6+ 4. 4.4. 7. note: articles 7.1 ISO 22000:2005 4. 8.3.
3.6. 5. 7.10. 7. 4.3. 8.5. 6. 17 + during 2. 7.11 + A.7 + A. 6.2.2.3 + Additional requirements of FSSC 22000 (part 1.1. 13.2 + during S.7. 5. 6.3 + If any changes were identified within food safety system requirements of art.5. 5.4.14 Attachments A.1 with A.5. 9. 12.4. 7.2.3. 8. 3. 16. 11.Instruction Audit planning by the lead auditor I – 09 Issue no.2.2.2.1.2. 7. 16. 8.1. 6. 5. 7. 8. 6. 13. 9. 5. 2.2.3.1.09. 5.4.SA: 5.SA: 3.4. 5. 5.3. 7.6. attachments 1A) at 1. 10.1. 18. 6. 14.1.3.2.1. 7. 8. 5. 7.5.1. 8. 18.2 with A. 10 Valid since 19. 9.5.2.4. 1.1. 8.3.1+3. 14. 14. 4.1 + during 1.4.5. 3.7. 4.6.1.1 at 2.3.4.8. 6.8. 8. 4. 5.SA: 4. 3.5.15 Attachments A. 8 check during morning part of the audit ISO 3834-2:2005 During each SA: 15 + areas.5.9 Attachments A.1 s 5.1.6 (related to the processes/activities audited during 2. 7.4. 7.2.1 + during 1.2 with A. 8.2. 8 check during morning part of the audit ISO 22000:2005 During each SA: 5. 5. 15. 12. 13.1.2.5 Attachments A.2. 9. also revision of PRP and their implementation.1. 5. which can be audited at all processes/activities according to I-04. 4.3.2. 7.4. 7.6 + A.2. 14.4. 6.5.3.6.2. 12. 9.2.2 s 8. 4.5. 4.1.4. 6.3.2+3. 14. 8. 3.3. SA ISO 9001 .3.2. 17.3 note: requirements of art. 11. 18. 4.2.SA: 1.2. 7.1.09.3. 15.2.3.3.5.4.6 (related to the processes/activities audited during 1.7.SA: 4. 8 check during morning part of the audit ISO/IEC 27001:2005 During each SA: 5. 11.6. 5. 13. Elaborated by: CD Routing slip: LA.2.6. 8.2. 7.4. 5.3 + areas. 6.1.1.4.4.1.1. 9.2+3. 6. 10. 8.1 with 5.3.1.2.3.4.2. and 7.2. 11.2. 3.4. 14.1. 13.2 with A.2011 page 3 of 4 + during 2.7. 11. 8.3. 7.2. 10.1.3. 11.9.5.3.3.1 + during 1.1. note: requirements of art.3. 15 check during morning part of the audit EN 16001:2009 During each SA: 3. 5.SA: 4.4. 3. 2.2.2.1. 4.SA: 7. 5. 7.5. 3.2.1.5.2.3.3. 8. 2.10 + A.1 of ISO 22000 shall be checked documentary.1.5. which can be audited at all processes/activities according to I-04. 14. 12.SA: 4. 14.4.2 at 2.1 + during 1. 3. 7. 16. 4.3.1. 12.1.13 Attachments A.7. 11.5.4. 9.1. 7. 6.2 with A.3. 13.1.1 with A. 5. 13.2. risks analysis of operational PRP and CCP shall be checked documentary 08.5. 4.3. 4.4.3. 10.1.4. 4. 10. 7. 3. 4. 3.4. 6.1.3.4.3.3.SA: 4.4. 7.12 Attachments A + during 2.2011. note: requirements of art.1. 4. 1.3. 6.1.3.4.5.4.2.8.1+3. note: requirements of art.4) check during morning part of the audit FSSC 22000:2010 ISO 22000:2005 . 9.1. which can be audited at all processes/activities according to I-04.2.5.2.SA: 5.5.3.SA: 3.1. 8. 7. 3.1. 8. partners checked by: QM .5. 8. 7.4).6.6.2.7.2. which can be audited at all processes/activities according to I-04.the depth of articles division is the same as at SA of ISO 22000:2005 + ISO/TS 22002-1:2009 at 1. 13.1.3.4. 9.SA: 3.8 Attachments A.2.SA: 7.2. 3. 8.1.3. 12. 10.2. 3.5.3 with A. 4.1 .3. 3. 10.5.6. 16. 10.5 s 13.2. 10.5 + areas.2.6.5 (except 3.2. 5.5. note: requirements of art. 6. 6. 12.1.1. 7.2.4.6 + areas.2.4) + during 2.4. 7. SA ISO 9001 .2.
) . Processes related to customer. analysis and improvement = 20. Elaborated by: CD Routing slip: LA.3% (at 1 AD = 2 hours) . 10 Valid since 19.5% (at 1 AD = 1 hour) .Purchasing processes = 5.Lunch break = 1 hour .Processes related to QMS = 12. (at more-days audits it takes longer) Abbreviations: CA – certification audit RCA – recertification audit SA – surveillance audit AD – audit day LA – lead auditor 08.2011. .3% (at 1 AD = 30 min.) .2% (at 1 AD = 15 min. partners checked by: QM .5% (at 1 AD = 1 hour) .Processes related to measuring.Processes related to management responsibilities = 16.Instruction Audit planning by the lead auditor • I – 09 Issue no.) . analysis and improvement = 25% (at 1 AD = 2 hours) .Processes related to management responsibilities = 12.) .Supporting processes = 25% (at 1 AD = 2 hours) . during the second and other days i tis shorter) .09.8% (at 1 AD = 1 hour and 15 min.5 hours)  Duration of individual scopes of Quality management system auditing at certification audit (total 6 hours a day): .SA (total 6 hours a day): .2011 page 4 of 4 Informative regulations for setting the time extent of 2nd stage audit programme (8.09.Processes related to measuring.Processes related to measuring.7% (at 1 AD = 1 hour) . analysis and improvement = 25% (at 1 AD = 2 hours)  Duration of individual scopes of QMS auditing at 2.6 % (at 1 AD = 20 min.Processes related to QMS = 8.Monitoring and measuring equipment control processes = 4.Main processes = 37.Processes related to resource management = 11.)  Duration of individual scopes of QMS auditing at 1 SA (total 6 hours a day): . Processes of production and services provision = 33.Processes of product realization planning.5 % (at 1 AD = 1 hour)  Duration of other activities (total 2. Processes of design and development.Preparation of auditor/audit team for closing meeting or valuation of audit day = 30 min.1% (at 1 AD = 40 min.Processes related to management responsibilities = 12.5% (at 1 AD = 3 hours) .Closing meeting with Auditee = 30 min.5 hours a day): . (at production companies with inspection of operations it takes longer.Opening meeting = 30 min.
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