Opening & Closing Meetings
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Introduction
The opening and closing meetings of an audit are essential to ensure to facilitate the smooth running of the audit and ensure that the audit objectives are met.
All audits, whether onsite or remote, should include and opening and closing meeting, led by a competent member of the audit team.
The attendance at both opening and closing meetings should be recorded. Any action points from those meetings should be documented within the audit report.
The contents of each meeting are set our below.
Opening Meeting Contents
The opening meeting shall be held with the client’s management and, where appropriate, those responsible for the functions or processes to be audited. The purpose of the opening meeting is to provide a short explanation of how the audit activities will be undertaken. The degree of detail shall be consistent with the familiarity of the client with the audit. The meeting contents as follows:
a) introduction of the participants, including an outline of their roles; [Mandatory]
b) confirmation of the scope of certification; [Mandatory]
c) confirmation of the audit plan (including type and scope of audit, objectives and criteria), any changes, and other relevant arrangements with the client, such as the date and time for the closing meeting, interim meetings between the audit team and the client’s management; [Mandatory]
d) confirmation of formal communication channels between the audit team and the client; [As Required]
e) confirmation that the resources and facilities needed by the audit team are available; [As Required]
f) confirmation of matters relating to confidentiality; [Mandatory]
g) confirmation of relevant work safety, emergency and security procedures for the audit team; [Mandatory]
h) confirmation of the availability, roles and identities of any guides and observers; [As Required]
i) the method of reporting, including any grading of audit findings; [Mandatory]
j) information about the conditions under which the audit may be prematurely terminated; [Mandatory]
k) confirmation that the audit team leader and audit team representing the certification body is responsible for the audit and shall be in control of executing the audit plan including audit activities and audit trails; [Mandatory]
l) confirmation of the status of findings of the previous review or audit, if applicable; [As Required]
m) methods and procedures to be used to conduct the audit based on sampling; [Mandatory]
n) confirmation of the language to be used during the audit; [Mandatory]
o) confirmation that, during the audit, the client will be kept informed of audit progress and any concerns; [Mandatory]
p) opportunity for the client to ask questions. [Mandatory]
In addition for Remote Audits:
- Confirm technology to be used. [Mandatory]
- Confirm an alternative communications channel i.e. a telephone number or email address. [Mandatory]
- Confirm permission for screenshots or screen recording. [As Required]
Read about Assurco Remote Auditing.
Closing Meeting Contents
The purpose of the closing meeting, usually conducted by the audit team leader, is to present the audit conclusions, including the recommendation regarding certification. Any nonconformities shall be presented in such a manner that they are understood, and the timeframe for responding shall be agreed.
a) advising the client that the audit evidence obtained was based on a sample of the information; thereby introducing an element of uncertainty; [Mandatory]
b) the method and timeframe of reporting, including any grading of audit findings; [Mandatory]
c) the certification body’s process for handling nonconformities including any consequences relating to the status of the client’s certification; [As Required]
d) the timeframe for the client to present a plan for correction and corrective action for any nonconformities identified during the audit; [As Required]
e) the certification body’s post audit activities; [Mandatory]
f) information about the complaint and appeal handling processes; [Mandatory]
g) Invite feedback from the client, answer any questions; [Mandatory]
h) Thank the client for their hospitality.[Mandatory]
Opening and Closing Meeting Procedure v1.1