Audit Planning and Preparation
What the candidate must know
Planning begins with defining audit objectives, scope, and criteria, then reviewing documentation, understanding the process and its risks, and preparing the audit plan and working documents (checklists, sampling plans, forms). Know the document review stage: examine procedures, prior audit results, nonconformity history, and performance data to focus the audit.
Understand sampling: statistical vs. judgmental, sample size considerations, and that audit sampling provides evidence, not proof. Risk-based planning directs attention to high-risk areas. The opening meeting communicates the plan; the audit plan should be flexible enough to follow leads. Preparation includes logistics, team briefing, and confirming criteria with the auditee.
Traps
Questions confuse audit objectives (why the audit is done) with scope (what is covered) and criteria (what it is measured against). Another trap: treating checklists as rigid scripts - they are aids, and auditors must pursue relevant leads. Watch for items implying planning can be skipped for small audits; proportionate planning is still required. Also, prior findings should inform planning, not be ignored.
Worked example / rule of thumb
Rule of thumb: Objective (why) → Scope (what/where/when) → Criteria (against what) → Plan (how). Example: objective = verify calibration control; scope = metrology lab, last 12 months; criteria = calibration procedure and standard clause; plan = sample 15 records, interview the lab supervisor, observe the calibration bench.