{"id":18128,"date":"2019-06-21T21:21:42","date_gmt":"2019-06-21T21:21:42","guid":{"rendered":"https:\/\/www.process.st\/templates\/iso-19011-management-systems-audit-checklist\/"},"modified":"2024-03-13T15:29:19","modified_gmt":"2024-03-13T15:29:19","slug":"iso-19011-management-systems-audit-checklist","status":"publish","type":"post","link":"https:\/\/www.process.st\/templates\/iso-19011-management-systems-audit-checklist\/","title":{"rendered":"ISO 19011 Management Systems Audit Checklist"},"content":{"rendered":"\n<section id=\"introduction\">\n <h2>Introduction:<\/h2>\n <div class=\"image-content\">\n  <figure>\n   <a href=\"https:\/\/ps-attachments.s3.amazonaws.com\/e3516919-d9ff-4fab-ae37-ebabe2e74ecf\/v5HIF3hjqy4_XSmXIUJKIQ.png\" alt=\"Introduction:\" target=\"_blank\" rel=\"noopener\"> <img decoding=\"async\" loading=\"lazy\" src=\"https:\/\/ps-attachments.s3.amazonaws.com\/e3516919-d9ff-4fab-ae37-ebabe2e74ecf\/v5HIF3hjqy4_XSmXIUJKIQ.png\"> <\/a><!-- No caption -->\n  <\/figure>\n <\/div>\n <div class=\"text-content\">\n  <p>Since the first edition of ISO 19011 was published back in 2002, many new management system standards have been published. This makes the need for a standardized framework for performing management system audits greater than ever before.<\/p>\n  <p>ISO 19011 is that framework. The standard outlines a set of <strong>guidelines for performing audits on management systems<\/strong>, from management and planning, to the audit process, and carrying out evaluation of auditor competence.<\/p>\n  <p>This broader approach to management system audits is designed to streamline the process by recognizing the <strong>common structure that many ISO management systems share<\/strong>.<\/p>\n  <p>Management system audits can be conducted against a range of audit criteria, including (but not limited to):<\/p>\n  <ul>\n   <li>Requirements set of in existing ISO standards<\/li>\n   <li>Policies and requirements defined by customers and stakeholders<\/li>\n   <li>Government policy and similar regulatory requirements<\/li>\n   <li>Documentation of internal management processes (defined by the organization being audited)<\/li>\n   <li>Documentation of internal management system plans and procedures (relating to specific process outputs)<\/li>\n  <\/ul>\n  <p>This checklist is designed to <strong>simplify the process of planning for and carrying out an audit of a management system<\/strong>. The checklist can be used to adapt the audit programme for the specific requirements of the audit, regardless of the management system type, the scope, complexity, or scale of the audit.<\/p>\n  <p>Focus is placed on internal audits (first and second party), however, this checklist can also be useful to prepare for external audits (thought it <strong>cannot be used to attain ISO certification<\/strong>).<\/p>\n  <p class=\"style-warning\">This checklist is designed as a supplement, and is not intended to replace ISO 19011.<\/p>\n  <p>For best results, users are encouraged to <a href=\"https:\/\/www.process.st\/help\/docs\/editing-templates\/\" rel=\"nofollow noopener\" target=\"_blank\">edit the checklist<\/a> and modify the contents to best suit their use cases, as it cannot provide specific guidance on the particular risks and controls applicable to every situation.<\/p>\n  <p>Typically, management system auditors will prepare custom checklists that reflect the specific scope, scale, and objectives of the management system being audited.<\/p>\n <\/div>\n<\/section>\n<section id=\"enter-basic-details\">\n <h2>Enter basic details<\/h2>\n <div class=\"text-content\">\n  <h4>Audit programme manager details<\/h4>\n <\/div>\n <div class=\"members-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme manager <\/label> <select disabled class=\"form-control\"> <option value=\"A member or group will be selected here\">A member or group will be selected here<\/option> <\/select>\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme manager first name <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme manager second name <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"email-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme manager email <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"text-content\">\n  <h4>Audit lead manager details<\/h4>\n <\/div>\n <div class=\"text-content\">\n  <p>Certain tasks within this IS0 19011 Management Systems Audit Checklist will <strong>require review<\/strong> by the audit lead manager. Fill in the details below for the audit lead manager.<\/p>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit lead manager (first name) <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit lead manager (second name) <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"email-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit lead manager (email) <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"text-content\">\n  <h4>Auditee details<\/h4>\n <\/div>\n <div class=\"members-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Auditee <\/label> <select disabled class=\"form-control\"> <option value=\"A member or group will be selected here\">A member or group will be selected here<\/option> <\/select>\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Name of auditee <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"email-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Auditee main point of contact <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Auditee additional details <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"text-content\">\n  <h4>Audit details<\/h4>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Management system <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> ISO standard <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"date-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Scheduled audit start date <\/label>\n   <div class=\"date-container\">\n    <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-calendar btn-icon\"><\/i> Date will be set here <\/button>\n   <\/div>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Additional comments <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"managing-the-audit-programme-preparation\">\n <h2>Managing the audit (programme preparation):<\/h2>\n<\/section>\n<section id=\"establish-competence-of-audit-programme-managers\">\n <h2>Establish competence of audit programme managers<\/h2>\n <div class=\"text-content\">\n  <p><strong>Audit programme managers<\/strong> should have complete knowledge of:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit processes, policies, and procedures\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Relevant management system standards\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     All documented information about the auditee and its context\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Any additional regulatory requirements\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"establish-context-of-the-audit-programme\">\n <h2>Establish context of the audit programme<\/h2>\n <div class=\"text-content\">\n  <p>In order to understand the context of the auditee, the audit programme should take into account the auditee\u2019s:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Organizational objectives\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Relevant external and internal issues\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     The needs and expectations of relevant interested parties\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Information security and confidentiality requirements\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>The audit programme should<strong> include information about and identify resources to enable the audits to be&nbsp;conducted effectively and efficiently<\/strong> within the specified time frames.<\/p>\n  <p>The information should include:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Objectives for the audit programme\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Risks and opportunities associated with the audit programme (see 5.3) and the actions to address them\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Scope (extent, boundaries, locations) of each audit within the audit programme\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Schedule (number\/duration\/frequency) of the audits\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit types, such as internal or external\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit criteria\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit methods to be employed\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      8\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Criteria for selecting audit team members\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      9\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Relevant documented information\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Some of this information may not be available until more detailed audit planning is complete.<\/p>\n  <p><strong>Record the context of the audit programme<\/strong> in the form field below.<\/p>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme context <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"establish-objectives-of-the-audit-programme\">\n <h2>Establish objectives of the audit programme<\/h2>\n <div class=\"text-content\">\n  <p>The <strong>auditee must make sure that audit programme objectives are established<\/strong> to allow for planning and conducting of the audit to take place.<\/p>\n  <p>These objectives should be consistent with the auditee's broader business goals and support their primary management system strategies and objectives.<\/p>\n  <p>Audit programme objectives might be based on:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Specific process and policy requirements\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Expectations and requirements of customers\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Specific management system requirements (e.g. ISO 9001)\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     External stakeholder evaluation\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     KPIs\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Conformities and nonconformities in the organization\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Risks and opportunities\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      8\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Results of previous audits\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Some examples of how the final objectives might look:<\/p>\n  <ul>\n   <li>Gain evidence to assure confidence in an external provider\/partner<\/li>\n   <li>Conform to all outstanding regulatory requirements<\/li>\n   <li>Evaluate the ability of the organization to determine relevant risks and opportunities<\/li>\n   <li>Evaluate the organization's ability to understand its own context<\/li>\n   <li>Identify opportunities for continuous improvement in the quality management system<\/li>\n  <\/ul>\n  <p><strong>Outline the audit programme objectives<\/strong> in the form field below.<\/p>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme objectives <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"determine-risks-and-opportunities-of-the-audit-programme\">\n <h2>Determine risks and opportunities of the audit programme<\/h2>\n <div class=\"text-content\">\n  <p>Risks and opportunities relating to the context of the auditee can be effectively identified with an audit programme.<\/p>\n  <p><strong>Audit programme managers should identify the risks and opportunities<\/strong> present when considering the full scope of the audit programme.<\/p>\n  <p>Risks and opportunities might be associated with:<\/p>\n  <ul>\n   <li>Planning<\/li>\n   <li>Resources<\/li>\n   <li>Selection of the audit team<\/li>\n   <li>Internal communication and information security<\/li>\n   <li>Audit implementation<\/li>\n   <li>Control of documented information<\/li>\n   <li>Monitoring and reviewing the audit programme<\/li>\n   <li>Auditee cooperation<\/li>\n   <li>Availability of evidence<\/li>\n  <\/ul>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme risks <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Suggested actions for programme risks <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme opportunities <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Suggested actions for programme opportunities <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"establish-extent-of-the-audit-programme\">\n <h2>Establish extent of the audit programme<\/h2>\n <div class=\"text-content\">\n  <p>This task will depend on information provided by the auditee regarding its context.<\/p>\n  <p>For the purpose of this checklist, \"extent\" of the audit programme refers to simply the number of individual audits and additional audit activities that will need to be carried out.<\/p>\n  <p>Using the information provided to you by the auditee, <strong>establish the scope of the audit programme<\/strong> using the form field below.<\/p>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Extent of audit programme <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"establish-audit-programme-resources\">\n <h2>Establish audit programme resources<\/h2>\n <div class=\"text-content\">\n  <p><strong>Determine the resources to be allocated for the audit programme<\/strong>.<\/p>\n  <p>When determining resource allocation, consider the following:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit methods at your disposal\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Time available\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Finances available\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Availability of competent auditors and other relevant technical experts\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Risks and opportunities of the audit programme\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Full accommodation of auditing needs, including travel costs, time, etc.\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Time zones\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      8\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Methods of communication between everyone involved\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      9\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Tools, tech, and equipment required\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      10\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Availability of required documented information\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      11\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     On-site requirements e.g. clearances, special equipment, expert guidance, etc.\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p><strong>Prepare a resource allocation plan<\/strong> using the form field belw<\/p>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme resources <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"prepare-all-documented-information-so-far\">\n <h2>Prepare all documented information so far<\/h2>\n <div class=\"text-content\">\n  <p>It's important to maintain clear communication with the auditee throughout the audit.<\/p>\n  <p>As such, the audit programme manager should prepare all documented information so far, in preparation for sharing the complete audit programme planning with the auditee.<\/p>\n  <p class=\"style-warning\">The documented information may not be complete at this point; further approvals will be needed once more information has been documented.<\/p>\n  <p>Use the form fields in this task to <strong>record and\/or<\/strong> <strong>upload documented information relevant to the audit programme so far<\/strong>.<\/p>\n <\/div>\n <div class=\"file-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme documented information (incomplete) <\/label>\n   <div class=\"file-container\">\n    <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button>\n   <\/div>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme documented information (incomplete - additional) <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"communicate-the-audit-programme-so-far-with-auditee\">\n <h2>Communicate the audit programme so far with auditee<\/h2>\n <div class=\"text-content\">\n  <p>Using everything you've prepared so far, <strong>communicate the audit programme with the auditee<\/strong>.<\/p>\n  <p>That's as simple as <strong>sending an email using the email widget below<\/strong>. All of the relevant information has already been attached using form fields you've already filled in.<\/p>\n <\/div>\n<\/section>\n<section id=\"ensure-relevant-duties-have-been-fulfilled-so-far\">\n <h2>Ensure relevant duties have been fulfilled so far<\/h2>\n <div class=\"text-content\">\n  <p>Audit programme managers should <strong>ensure the following responsibilities are properly fulfilled<\/strong>:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Establish the extent of the audit programme (in-line with programme objectives)\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Ensure audit teams are adequately selected\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Clarify all relevant processes\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Determine and provision resources\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Prepare all documented information\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Clearly communicate the audit programme objectives and documentation thus far to the auditee\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Finally, the audit programme manager should make sure that the audit programme so far is approved by the auditee.<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit approved by auditee\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"managing-the-audit-individual-audit-preparation\">\n <h2>Managing the audit (individual audit preparation):<\/h2>\n<\/section>\n<section id=\"ensure-individuals-planning-the-audit-are-prepared\">\n <h2>Ensure individuals planning the audit are prepared<\/h2>\n <div class=\"text-content\">\n  <p>Now that the basis for the audit programme has been established, you need to<strong> make sure all individuals involved with the planning of the audit are adequately informed and prepared<\/strong>.<\/p>\n  <p>This basically involves making sure the following information is clearly communicated and easily available to all members of audit programme manageme<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Risks and opportunities\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     All documented information so far\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Scope, objectives, and individual audit criteria\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Selected audit methods\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Scheduling of all audit-related activities\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit team competence\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Individual and overall resources\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      8\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Documentation procedures for evidence collecting (and all audit activity)\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      9\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Operational controls for audit programme monitoring\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"establish-objectives-of-the-individual-audit\">\n <h2>Establish objectives of the individual audit<\/h2>\n <div class=\"text-content\">\n  <p>You've already established the criteria for the audit programme; you also need to <strong>establish objectives of the individual audit<\/strong>.<\/p>\n  <p>Individual audit objectives will be consistent with the overall audit programme objectives, including the following (as an example):<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Extent of the management system to be audited\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     The management system's capacity to help the organization to meet relevant regulatory requirements\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Effectiveness of the management system in producing its intended results\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Opportunities for management system improvements\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Suitability of the management system with respect to overall strategic context and business objectives of the auditee\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Individual audit objectives <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"define-scope-of-the-individual-audit\">\n <h2>Define scope of the individual audit<\/h2>\n <div class=\"text-content\">\n  <p>Audit scope, shall be consistent with the audit programme and audit objectives.<\/p>\n  <p>Consider the following factors, and<strong> define the audit scope<\/strong> in the form field below:<\/p>\n  <ul><\/ul>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit location\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit function\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit activities\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Processes to be audited\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit time-frame\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Individual audit scope <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"define-criteria-of-the-individual-audit\">\n <h2>Define criteria of the individual audit<\/h2>\n <div class=\"text-content\">\n  <p>For individual audits, criteria should be defined to be used as a reference against which conformity will be determined.<\/p>\n  <p>Individual audit criteria might include:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Relevant policies\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Processes and standard operating proceudures\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Performance objectives and KPIs\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Statutory and other relevant regulatory requirements\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Management system requirements (e.g. other ISO standards)\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Risks and opportunities as determined by the auditee\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Internal codes of conduct\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p><strong>Record individual audit criteria<\/strong> in the form field below:<\/p>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Individual audit criteria <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"determine-individual-audit-methods\">\n <h2>Determine individual audit methods<\/h2>\n <div class=\"text-content\">\n  <p>Audit program managers should select the specific methods to be used during the process of the audit.<\/p>\n  <p>Methods will depend on the established audit objectives, scope, and criteria.<\/p>\n  <p><strong>Record the audit methods<\/strong> in the drop-down field below.<\/p>\n <\/div>\n <div class=\"select-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Individual audit method <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Remote\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     On-site\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Combination\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit method notes <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"assign-audit-team-members\">\n <h2>Assign audit team members<\/h2>\n <div class=\"text-content\">\n  <p><strong>Audit programme managers<\/strong> should assign audit team members.<\/p>\n  <p>When deciding on your audit team, <strong>consider the following<\/strong>:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Overall competence required by the audit team\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit complexity\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Combined or joint audit?\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit methods\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Ability of the audit team to work and interact effectively with the auditee\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Relevant internal and external issues (e.g. auditee language barriers)\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Type and complexity of processes to be audited (do they require specialized knowledge?)\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Use the members fields below to<strong> assign audit team members<\/strong>.<\/p>\n <\/div>\n <div class=\"members-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit team member #1 <\/label> <select disabled class=\"form-control\"> <option value=\"A member or group will be selected here\">A member or group will be selected here<\/option> <\/select>\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit team member #1 full name <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"members-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit team member #2 <\/label> <select disabled class=\"form-control\"> <option value=\"A member or group will be selected here\">A member or group will be selected here<\/option> <\/select>\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit team member #2 full name <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"members-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit team member #3 <\/label> <select disabled class=\"form-control\"> <option value=\"A member or group will be selected here\">A member or group will be selected here<\/option> <\/select>\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit team member #3 full name <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"text-content\">\n  <p class=\"style-warning\">Should you require fewer or more audit team members, <a href=\"https:\/\/www.process.st\/help\/docs\/editing-templates\/\" rel=\"nofollow noopener\" target=\"_blank\">edit this template<\/a> to your requirements.<\/p>\n <\/div>\n<\/section>\n<section id=\"assign-audit-team-leader\">\n <h2>Assign audit team leader<\/h2>\n <div class=\"text-content\">\n  <p><strong>Audit programme managers <\/strong>should be responsible for assigning the audit team leader.<\/p>\n  <p>This should be done well ahead of the scheduled date of the audit, to be sure that planning can take place in a timely manner.<\/p>\n  <p class=\"style-info\">A <a href=\"https:\/\/www.process.st\/help\/docs\/dynamic-due-dates\/\" rel=\"nofollow noopener\" target=\"_blank\">dynamic due date<\/a> has been set for this task, for one month before the scheduled start date of the audit.<\/p>\n  <p>Use the form fields below to <strong>record the details of the lead auditor.<\/strong><\/p>\n <\/div>\n <div class=\"members-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Lead auditor <\/label> <select disabled class=\"form-control\"> <option value=\"A member or group will be selected here\">A member or group will be selected here<\/option> <\/select>\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Lead auditor first name <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Lead auditor second name <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"email-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Lead auditor email <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Additional lead auditor details <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"ensure-audit-programme-results-are-properly-managed\">\n <h2>Ensure audit programme results are properly managed<\/h2>\n <div class=\"text-content\">\n  <p><strong>Audit programme managers<\/strong> should make sure proper preparations are made and that tools are in place for proper management of audit programme results.<\/p>\n  <p>That includes procedures for:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Evaluating the achievement of objectives of individual audits within the audit programme\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Review and approval of audit reports\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Distribution of and access to audit reports\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Review of actions taken in response to audit findings\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Determining whether or not follow-up audits are necessary\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"ensure-audit-programme-records-are-properly-maintained\">\n <h2>Ensure audit programme records are properly maintained<\/h2>\n <div class=\"text-content\">\n  <p>Audit programme managers should <strong>make sure all audit information is properly documented<\/strong>.<\/p>\n  <p>This is to be sure that the implementation of the audit programme can be adequately demonstrated.<\/p>\n  <p>That means processes for record maintenance will need to be established.<\/p>\n  <p>Records for the audit programme might include the following:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Scheduling of audit activities\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Programme scope and objectives\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Risks and opportunities\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Internal and external issues\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Effectiveness of the audit programme\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Records for individual audits might include:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Plans for the individual audit activities\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Evidence and findings\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Conformity and nonconformity reports\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Corrective action reports\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Follow-up reports\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Other relevant reports\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"ensure-audit-programme-monitoring-is-in-place\">\n <h2>Ensure audit programme monitoring is in place<\/h2>\n <div class=\"text-content\">\n  <p>Audit programme managers should also make sure that <strong>tools and systems are in place to ensure adequate monitoring of the audit programme<\/strong> and all relevant activities.<\/p>\n  <p>Relevant activities to be monitored might include any of the following:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Timeliness of the audit (whether deadlines and schedules are being met)\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Performance of the audit team members (including lead auditor)\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Successful implementation of audit plans\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Feedback from auditee and other relevant parties\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Documentation of audit activities\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"managing-the-audit-programme-review\">\n <h2>Managing the audit (programme review):<\/h2>\n<\/section>\n<section id=\"review-the-audit-programme-so-far\">\n <h2>Review the audit programme so far<\/h2>\n <div class=\"text-content\">\n  <p>Both the<strong> auditee and the audit programme manager<\/strong> should be responsible for reviewing the audit programme (including details of the individual audit(s) so far, to assess whether its objectives have been achieved.<\/p>\n  <p><strong>Review of the audit programe is a stop task, meaning you cannot continue with this checklist until the audit programe has been approved.<\/strong><\/p>\n  <hr>\n  <h3>Audit programme<\/h3>\n  <h5>Basic information<\/h5>\n  <p><strong>Audit programme manager<\/strong>: {{form.Audit_programme_manager_first_name}} {{form.Audit_programme_manager_second_name}}<\/p>\n  <p><strong>Management system type<\/strong>: {{form.Management_system}}<br>\n   ISO standard: {{form.ISO_standard}}<\/p>\n  <h5>Audit programme context<\/h5>\n  <p>{{form.Audit_programme_context}}<\/p>\n  <h5>Objectives of the audit programme<\/h5>\n  <p>{{form.Audit_programme_objectives}}<\/p>\n  <h5>Risks and opportunities of the audit programme<\/h5>\n  <p><strong>Audit programme risks<\/strong>: {{form.Audit_programme_risks}}<\/p>\n  <p><strong>Suggested actions for programme risks<\/strong>: {{form.Suggested_actions_for_programme_risks}}<\/p>\n  <p><strong>Audit programme opportunities<\/strong>: {{form.Audit_programme_opportunities}}<\/p>\n  <p><strong>Suggested actions for programme opportunities<\/strong>: {{form.Suggested_actions_for_programme_opportunities}}<\/p>\n  <h5>Extent of the audit programme<\/h5>\n  <p>{{form.Extent_of_audit_programme}}<\/p>\n  <h5>Audit programme resources<\/h5>\n  <p>{{form.Audit_programme_resources}}<\/p>\n  <h5>Documented information<\/h5>\n  <p><strong>Documented audit programme information so far<\/strong>: {{form.Audit_programme_documented_information_(incomplete)}}<\/p>\n  <p><strong>Additional documented information<\/strong>: {{form.Audit_programme_documented_information_(incomplete_-_additional)}}<\/p>\n  <hr>\n  <h3>Individual audit<\/h3>\n  <h5>Individual audit objectives<\/h5>\n  <p>{{form.Individual_audit_objectives}}<\/p>\n  <h5>Individual audit scope<\/h5>\n  <p>{{form.Individual_audit_scope}}<\/p>\n  <h5>Individual audit criteria<\/h5>\n  <p>{{form.Individual_audit_criteria}}<\/p>\n  <h5>Individual audit methods<\/h5>\n  <p><strong>Method<\/strong>: {{form.Individual_audit_method}}<\/p>\n  <p><strong>Method notes<\/strong>: {{form.Audit_method_notes}}<\/p>\n  <h5>Individual audit team<\/h5>\n  <p>Lead auditor: {{form.Lead_auditor_first_name}} {{form.Lead_auditor_second_name}}<\/p>\n  <p>Audit team member: {{form.Audit_team_member_#1_full_name}}<\/p>\n  <p>Audit team member: {{form.Audit_team_member_#2_full_name}}<\/p>\n  <p>Audit team member: {{form.Audit_team_member_#3_full_name}}<\/p>\n  <hr>\n  <p>Using the information above, both <strong>audit programme manager and auditee should assess the following<\/strong>:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     How both audit programme and individual audit have been implemented\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Opportunities for improvement\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Changes that might be required\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Competence of the audit team\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Ultimately, <strong>an audit programme review should be written<\/strong>, with consideration of the following:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Results of audit programme monitoring\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     How the programme conforms with documented processes and procedures\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     The needs and expectations of the auditee and other relevant interested parties\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Alternative auditing methods\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Alternative auditor evaluation methods\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     How risks and opportunities are being addressed\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Information security issues\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"file-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit programme review <\/label>\n   <div class=\"file-container\">\n    <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button>\n   <\/div>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"approval\">\n <h2>Approval:<\/h2>\n <div class=\"approval-content\">\n  <div class=\"header\">\n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div>\n  <\/div>\n  <div class=\"approval-rule-subject-tasks-list\">\n   <ul class=\"list\">\n    <li>\n     <div class=\"approval-rule-subject-tasks-list-item\">\n      <div class=\"item\">\n       <div class=\"container\">\n        <span class=\"title\">Review the audit programme so far<\/span>\n        <div class=\"body\">\n         Will be submitted\n        <\/div>\n       <\/div>\n      <\/div>\n     <\/div><\/li>\n   <\/ul>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"audit-process-initiating-the-audit\">\n <h2>Audit process (initiating the audit):<\/h2>\n<\/section>\n<section id=\"establish-contact-with-the-auditee\">\n <h2>Establish contact with the auditee<\/h2>\n <div class=\"text-content\">\n  <p>The<strong> lead auditor should make contact with the auditee<\/strong> and ensure the following:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Basic introduction and clear outline of lead auditor roles and responsibilities\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Clarify the methods of communication\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Permission has been granted to proceed with the audit\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     The auditee understands the audit programme so far\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Relevant information is accessible to all parties involved with the audit\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Request access to additional relevant information\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Determine if there are any additional regulatory requirements that will impact audit activities\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      8\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Confirm information security policies\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      9\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Confirm audit scheduling\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      10\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Location-specific arrangements are made\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      11\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Auditee understands requirements for additional observers\/guides etc.\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      12\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Risk areas of note are communicated\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      13\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Outstanding issues are resolved\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Any <strong>scheduling of audit activities<\/strong> should be made well in advance.<\/p>\n  <p>For example, the dates of the opening and closing meetings should be provisionally declared for planning purposes.<\/p>\n <\/div>\n <div class=\"date-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Date of opening meeting <\/label>\n   <div class=\"date-container\">\n    <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-calendar btn-icon\"><\/i> Date will be set here <\/button>\n   <\/div>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"determine-feasibility-of-individual-audit-objectives\">\n <h2>Determine feasibility of individual audit objectives<\/h2>\n <div class=\"text-content\">\n  <p>The point of this task is to make sure there can be a reasonable determination that the<strong> individual audit objectives can be successfully achieved<\/strong>.<\/p>\n  <p>Using information available so far, determine whether the following factors are true:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     The audit team has sufficient information to adequately plan for the individual audit\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     There is adequate cooperation with the auditee\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     There is adequate time to complete the audit objectives\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     There is adequate resources to complete the audit objectives\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"select-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Is the individual audit feasible? <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Yes\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     No\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"conditional-propose-alternative-audit-approach\">\n <h2>(Conditional) Propose alternative audit approach<\/h2>\n <div class=\"text-content\">\n  <p>If the individual audit objectives cannot be feasibly achieved, <strong>a viable alternative should be proposed<\/strong>.<\/p>\n  <p>This will need to be confirmed by the audit client<\/p>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Alternative individual audit approach <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Alternative approach confirmed by auditee\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"audit-process-preparing-to-conduct-the-audit\">\n <h2>Audit process (preparing to conduct the audit):<\/h2>\n<\/section>\n<section id=\"review-documented-information\">\n <h2>Review documented information<\/h2>\n <div class=\"text-content\">\n  <p>The lead auditor should <strong>obtain and review all documentation of the auditee's management system<\/strong>, and approve, reject or reject with comments as required. The approval step is a stop task, meaning you cannot continue with this process until the required documentation has been reviewed.<\/p>\n  <p>This will help to prepare for individual audit activities, and will serve as a high-level overview from which the lead auditor will be able to better identify and understand areas of concern or nonconformity.<\/p>\n  <p>Documented information is an umbrella term that could refer to:<\/p>\n  <ul>\n   <li>Processes (either recorded on paper or with software)<\/li>\n   <li>Management system documents and records<\/li>\n   <li>Previous audit reports<\/li>\n  <\/ul>\n  <p>The above list is by no means exhaustive. The lead auditor should also take into account individual audit scope, objectives, and criteria.<\/p>\n  <p class=\"style-info\">Reference material, such as individual ISO standards, will be useful at this point.<\/p>\n  <p>Using the form-fields below, <strong>record any issues of nonconformities observed<\/strong>.<\/p>\n <\/div>\n <div class=\"select-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Issue(s) with documented information? <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Yes\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     No\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"approval-1\">\n <h2>Approval:<\/h2>\n <div class=\"approval-content\">\n  <div class=\"header\">\n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div>\n  <\/div>\n  <div class=\"approval-rule-subject-tasks-list\">\n   <ul class=\"list\">\n    <li>\n     <div class=\"approval-rule-subject-tasks-list-item\">\n      <div class=\"item\">\n       <div class=\"container\">\n        <span class=\"title\">Review documented information<\/span>\n        <div class=\"body\">\n         Will be submitted\n        <\/div>\n       <\/div>\n      <\/div>\n     <\/div><\/li>\n   <\/ul>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"conditional-resolve-documented-information-issues\">\n <h2>(Conditional) Resolve documented information issue(s)<\/h2>\n <div class=\"text-content\">\n  <p>Using the form field below, <strong>describe the issue(s)<\/strong> with documented information so far, and the <strong>steps taken to resolve the issue(s).&nbsp;<\/strong><\/p>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Issue(s) with documented information <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> How were documented information issue(s) resolved? <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"prepare-an-audit-plan\">\n <h2>Prepare an audit plan<\/h2>\n <div class=\"text-content\">\n  <p>The lead auditor should <strong>prepare an audit plan for the individual audit<\/strong>.<\/p>\n  <p>This plan should involve the following components and considerations:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Roles and responsibilities of each audit team member\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Risk-based approach to audit planning\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Scheduling and coordination of audit activities\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Scope and complexity of the audit\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Sampling techniques for collecting evidence\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Opportunities for improvement\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Risks of inadequate planning\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      8\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Impact of the audit on auditee activities\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p><strong>Additional factors<\/strong> to consider include:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Auditee language (and additional communication barriers)\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Logistics of the audit\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Actions taken in response to risk assessments\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Consideration of information security protocol\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Follow-up actions from previous audits\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Anticipated follow-up actions associated with this audit\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Requirements of a joint audit\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Using the form field below, <strong>upload the plan for the individual audit.<\/strong><\/p>\n <\/div>\n <div class=\"file-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Individual audit plan <\/label>\n   <div class=\"file-container\">\n    <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button>\n   <\/div>\n  <\/div>\n <\/div>\n <div class=\"select-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Will guides and\/or observers be required? <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Yes\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     No\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"select-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Necessary to establish a formal communication protocol? <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Yes\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     No\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"assign-work-to-audit-team\">\n <h2>Assign work to audit team<\/h2>\n <div class=\"text-content\">\n  <p>The lead auditor should <strong>assign work to the audit team<\/strong>.<\/p>\n  <p>Work to be assigned should be outlined in the audit plan.<\/p>\n  <p class=\"style-info\">You can use Process Street's <a href=\"https:\/\/www.process.st\/help\/docs\/task-assignments\/\" rel=\"nofollow noopener\" target=\"_blank\">task assignment<\/a> feature to assign specific tasks in this checklist to individual members of your audit team.<\/p>\n <\/div>\n<\/section>\n<section id=\"prepare-documented-information-for-audit\">\n <h2>Prepare documented information for audit<\/h2>\n <div class=\"text-content\">\n  <p>The audit team should <strong>collect and review relevant information for their individual audit task assignments<\/strong> and prepare any documented information that will be required for conducting the audit.<\/p>\n  <p>Such information might include (but shouldn't be limited to):<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Paper documents outlining policies and procedures\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Digital records of policies and procedures\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Digital checklists\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Details and instructions for audit sampling methods\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Supplementary audio-visual information\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p class=\"style-danger\">Documented information collected during the audit may include proprietary information, and as such should be treated with due care and suitable safeguarding by all audit team members, at all times.<\/p>\n <\/div>\n<\/section>\n<section id=\"audit-process-conducting-the-audit\">\n <h2>Audit process (conducting the audit):<\/h2>\n<\/section>\n<section id=\"conditional-assign-audit-guides-andor-observers\">\n <h2>(Conditional) Assign audit guides and\/or observers<\/h2>\n <div class=\"text-content\">\n  <p>It may be necessary for additional observers or guides of some sort to accompany the audit team. This will of course depend on the context of the individual audit.<\/p>\n  <p>Whatever the case, <strong>they should not influence or interfere with the main audit process<\/strong>.<\/p>\n  <p class=\"style-warning\">The lead auditor reserves the right to deny access to any observers and\/or guides from audit activities, if and when they deem appropriate.<\/p>\n  <p><strong>Record details of audit guides\/observers<\/strong> using the form fields of this task.<\/p>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit guide first name <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit guide second name <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"email-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit guide email <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit guide notes <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"text-content\">\n  <hr>\n  <p><\/p>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit observer first name <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit observer second name <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"email-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit observer email <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit observer notes <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"conduct-an-opening-meeting\">\n <h2>Conduct an opening meeting<\/h2>\n <div class=\"text-content\">\n  <p>An opening meeting between the auditee and all relevant parties should be held.<\/p>\n  <p>It's advised that <strong>the opening meeting should be led by the lead auditor<\/strong>.<\/p>\n  <p class=\"style-warning\">The scheduling for this meeting should have already been determined earlier in the checklist.<\/p>\n  <p>During the opening meeting, <strong>confirm the following with all relevant parties<\/strong>:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit programme plans\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Individual audit scope\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Individual audit objectives\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Individual audit criteria\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Individual audit plans\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Roles and responsibilities of the audit team\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     That all planned activities can be performed, and proper authorization is acquired\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      8\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Language of the audit\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      9\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Information security protocol\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      10\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Relevant access and arrangements for the audit team\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      11\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Notable on-site activities that could impact audit process\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Typically, <strong>such an opening meeting will involve the auditee's management<\/strong>, as well as crucial actors or specialists in relation to processes and procedures to be audited.<\/p>\n  <p>This meeting is a great opportunity to ask any questions about the audit process and generally clear the air of uncertainties or reservations.<\/p>\n  <p>Depending on the size and scope of the audit (and as such the organization being audited) the opening meeting might be as simple as announcing that the audit is starting, with a simple explanation of the nature of the audit.<\/p>\n  <p>Familiarity of the auditee with the audit process is also an important factor in determining how extensive the opening meeting should be.<\/p>\n  <p>During the opening meeting, <strong>the following items should be clearly communicated<\/strong>:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Methods for reporting and communicating audit progress\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Conditions of audit termination\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Procedures for dealing with audit findings during the audit\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Procedures for receiving feedback from the auditee in response to findings during the audit\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"conditional-establish-formal-communication-protocol\">\n <h2>(Conditional) Establish formal communication protocol<\/h2>\n <div class=\"text-content\">\n  <p>It may be necessary to <strong>establish a formal communication protocol.<\/strong><\/p>\n  <p>Such a protocol can be useful for communication within the audit team, as well as with the auditee, and other relevant interested parties.<\/p>\n  <p>For example, certain language barriers may hinder communication, or specific channels of communication may be required to facilitate seamless audit conduct.<\/p>\n  <p>As well, certain regulatory requirements may specify that a formal communication protocol be followed.<\/p>\n  <p>Using the form field below, establish the formal communication protocol.<\/p>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Formal communication protocol <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"ensure-relevant-audit-information-is-accessible\">\n <h2>Ensure relevant audit information is accessible<\/h2>\n <div class=\"text-content\">\n  <p><strong>Where, when, and how information is accessible<\/strong> is a crucial factor during the audit.<\/p>\n  <p>It's important to make clear where all relevant interested parties can find important audit information.<\/p>\n  <p>Make sure important information is readily accessible by <strong>recording the location in the form fields of this task<\/strong>.<\/p>\n  <p>You may want to consider uploading important information to a secure central repository (URL) that can be easily shared to relevant interested parties.<\/p>\n  <p class=\"style-warning\">Audits can store important information both physically and\/or virtually.<\/p>\n <\/div>\n <div class=\"text-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Location of relevant audit information <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n <div class=\"url-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Relevant audit information (URL) <\/label> <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\">\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"collect-and-record-audit-evidence\">\n <h2>Collect and record audit evidence<\/h2>\n <div class=\"text-content\">\n  <p><strong>Evidence should be collected that is relevant to the management system requirements, audit objectives, audit scope, and audit criteria<\/strong>.<\/p>\n  <p class=\"style-warning\">Appropriate sampling methods should be used when collecting audit evidence.<\/p>\n  <p>Audit evidence should be verifiable, and auditors should apply professional, rational judgement to determine whether or not proposed audit evidence is in fact reliable.<\/p>\n  <p>Below is a useful diagram showing how a source of information can lead to an audit conclusion, by way of evidence collection and evaluation against audit criteria.<\/p>\n <\/div>\n <div class=\"image-content\">\n  <figure>\n   <a href=\"https:\/\/ps-attachments.s3.amazonaws.com\/c73980ae-e2b6-4127-a519-6fa4ab2cef0f\/g8Uw9wPp1v41EW76pwZAJQ.jpg\" alt=\"Source: https:\/\/www.sciencedirect.com\/topics\/computer-science\/audit-standard\" target=\"_blank\" rel=\"noopener\"> <img decoding=\"async\" loading=\"lazy\" src=\"https:\/\/ps-attachments.s3.amazonaws.com\/c73980ae-e2b6-4127-a519-6fa4ab2cef0f\/g8Uw9wPp1v41EW76pwZAJQ.jpg\"> <\/a>\n   <figcaption>\n    Source: https:\/\/www.sciencedirect.com\/topics\/computer-science\/audit-standard\n   <\/figcaption>\n  <\/figure>\n <\/div>\n <div class=\"text-content\">\n  <p>Methods of collecting information include, but are not limited to:<\/p>\n  <ul>\n   <li>Interviews with workers and other relevant interested parties<\/li>\n   <li>Auditor observations<\/li>\n   <li>Review of documented information<\/li>\n  <\/ul>\n  <p><strong>Record audit evidence using the form fields below<\/strong>.<\/p>\n  <p class=\"style-warning\">You may wish to edit the form fields to suit your audit programme and\/or audit compliance requirements for collecting and recording evidence.<\/p>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit evidence <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"file-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Audit evidence (.PDF) <\/label>\n   <div class=\"file-container\">\n    <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button>\n   <\/div>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"evaluate-audit-evidence-against-audit-criteria\">\n <h2>Evaluate audit evidence against audit criteria<\/h2>\n <div class=\"text-content\">\n  <p>Audit evidence should be evaluated against the audit criteria in order to determine audit findings.<\/p>\n  <p>Audit findings can indicate conformity or nonconformity with audit criteria. When specified by the audit plan, individual audit findings should include conformity and good practices along with their supporting evidence, opportunities for improvement, and any recommendations to the auditee.<\/p>\n  <p><br>\n   Nonconformities and their supporting audit evidence should be recorded.<\/p>\n  <p><br>\n   Nonconformities can be graded depending on the context of the organization and its risks. This<br>\n   grading can be quantitative (e.g. 1 to 5) and qualitative (e.g. minor, major).<\/p>\n  <p>They should be reviewed with the auditee in order to obtain acknowledgement that the audit evidence is accurate and that the nonconformities are understood.<\/p>\n  <p>Every attempt should be made to resolve any diverging opinions concerning the audit evidence or findings. Unresolved issues should be recorded in the audit report.<\/p>\n  <p><br>\n   The audit team should meet as needed to review the audit findings at appropriate stages during the audit.<\/p>\n  <p>NOTE 1 Additional guidance on the identification and evaluation of audit findings is given in A.18.<\/p>\n  <p>NOTE 2 Conformity or nonconformity with audit criteria related to statutory or regulatory requirements or other requirements, is sometimes referred to as compliance or non-compliance.<\/p>\n  <p class=\"style-warning\">The form fields below are simple suggestions for how you might generate audit findings. You may wish to <a href=\"https:\/\/www.process.st\/help\/docs\/editing-templates\/\" rel=\"nofollow noopener\" target=\"_blank\">edit them<\/a> to better suit your individual audit requirements.<\/p>\n  <hr>\n  <h4>Conformities<\/h4>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Conformity #1 <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Conformity #1 supporting evidence <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"text-content\">\n  <hr>\n  <h4><\/h4>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Conformity #2 <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Conformity #2 supporting evidence <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"text-content\">\n  <hr>\n  <h4><\/h4>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Conformity #3 <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Conformity #3 supporting evidence <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"text-content\">\n  <hr>\n  <h4>Nonconformities<\/h4>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Nonconformity #1 <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Nonconformity #1 supporting evidence <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"select-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Quality of nonconformity #1 <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Major\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Minor\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Nonconformity #1 is communicated to and understood by the auditee\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <hr>\n  <h4><\/h4>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Nonconformity #2 <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Nonconformity #2 supporting evidence <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"select-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Quality of nonconformity #2 <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Major\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Minor\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Nonconformity #2 is communicated to and understood by the auditee\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <hr>\n  <h4><\/h4>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Nonconformity #3 <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Nonconformity #3 supporting evidence <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"select-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Quality of nonconformity #3 <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Major\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Minor\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Nonconformity #3 is communicated to and understood by the auditee\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <hr>\n  <h4><\/h4>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Additional recommendations <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Unresolved issues <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"audit-process-concluding-the-audit\">\n <h2>Audit process (concluding the audit):<\/h2>\n<\/section>\n<section id=\"prepare-audit-report\">\n <h2>Prepare audit report<\/h2>\n <div class=\"text-content\">\n  <p class=\"style-danger\"><strong>Audit reports should be issued within 24 hours of the audit <\/strong>to ensure the auditee is given opportunity to take corrective action in a timely, thorough fashion<\/p>\n  <p>If the report is issued several weeks after the audit, it will typically be lumped onto the \"to-do\" pile, and much of the momentum of the audit, including discussions of findings and feedback from the auditor, will have faded.<\/p>\n  <p>The <strong>lead auditor<\/strong> should prepare the audit report.<\/p>\n  <p class=\"style-warning\">This task has been assigned a dynamic due date set to 24 hours after the audit evidence has been evaluated against criteria.<\/p>\n  <p>The audit report is the final record of the audit; the high-level document that clearly outlines a complete, concise, clear record of everything of note that happened during the audit.<\/p>\n  <p>Use the sub-checklist below to check off important items included within the audit report:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit programme objectives\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Individual audit objectives\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Individual audit scope\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Individual audit criteria\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     An overview of the auditee &amp; their context\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Roles and responsibilities of the audit team\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Key dates and locations of the audit\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      8\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Complete audit findings and corresponding evidence\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      9\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit conclusions\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      10\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Assessment of audit criteria\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      11\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Unresolved conflicts of opinion between audit team and auditee\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Use the form field below to <strong>upload the completed audit report.<\/strong><\/p>\n <\/div>\n <div class=\"file-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Complete audit report <\/label>\n   <div class=\"file-container\">\n    <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button>\n   <\/div>\n  <\/div>\n <\/div>\n <div class=\"select-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Need for follow-up action? <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Yes\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     No\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"distribute-audit-report\">\n <h2>Distribute audit report<\/h2>\n <div class=\"text-content\">\n  <p>As stressed in the previous task, that the audit report is distributed in a timely manner is<strong> one of the most important aspects of the entire audit process<\/strong>.<\/p>\n  <p>Use the email widget below to quickly and easily distribute the audit report to all relevant interested parties.<\/p>\n  <p>By default, the widget will send the report to:<\/p>\n  <ul>\n   <li>The auditee main point of contact ({{form.Auditee_main_point_of_contact}})<\/li>\n   <li>The audit programme manager ({{form.Audit_programme_manager_email}}<\/li>\n   <li>The lead auditor ({{form.Lead_auditor_email}})<\/li>\n  <\/ul>\n  <p>Should you want to distribute the report to additional interested parties, simply <strong>add their email addresses to the email widget below:<\/strong><\/p>\n <\/div>\n<\/section>\n<section id=\"conditional-prepare-for-audit-followup\">\n <h2>(Conditional) Prepare for audit follow-up<\/h2>\n <div class=\"text-content\">\n  <p>Depending on the outcome of the audit, <strong>there may be a need for follow-up action<\/strong>.<\/p>\n  <p>Follow-up action might include:<\/p>\n  <ul>\n   <li>Corrective action in response to nonconformities<\/li>\n   <li>Opportunities for improvement<\/li>\n   <li>Actions to address risks and opportunities<\/li>\n  <\/ul>\n  <p><strong>A time-frame should be agreed upon<\/strong> between the audit team and auditee within which to carry out follow-up action.<\/p>\n  <p>As part of the follow-up actions, the auditee will be responsible for keeping the audit team informed of any relevant activities undertaken within the agreed time-frame. The completion and effectiveness of these actions will need to be verified - this may be part of a subsequent audit.<\/p>\n  <p>In any case, recommendations for follow-up action should be <strong>prepared ahead of the closing meeting<\/strong> and shared accordingly with relevant interested parties.<\/p>\n  <p>Use the form fields below to <strong>record follow-up action suggestions<\/strong>.<\/p>\n <\/div>\n <div class=\"textarea-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Follow-up actions <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"prepare-for-closing-meeting\">\n <h2>Prepare for closing meeting<\/h2>\n <div class=\"text-content\">\n  <p>Before the closing meeting, <strong>the audit team should make adequate preparations<\/strong>.<\/p>\n  <p>Make sure the following items are resolved ahead of the closing meeting:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     All audit findings are reviewed against audit objectives\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit conclusions are agreed upon\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Recommendations are prepared, if necessary\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Follow-up action has been discussed and agreed upon\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Be sure to <strong>record the date of the closing meeting<\/strong> as well.<\/p>\n <\/div>\n <div class=\"date-field-content form-field-content\">\n  <div class=\"form-group\">\n   <label> Date of closing meeting <\/label>\n   <div class=\"date-container\">\n    <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-calendar btn-icon\"><\/i> Date will be set here <\/button>\n   <\/div>\n  <\/div>\n <\/div>\n<\/section>\n<section id=\"conduct-closing-meeting\">\n <h2>Conduct closing meeting<\/h2>\n <div class=\"text-content\">\n  <p>Just like the opening meeting, it's a great idea to conduct a closing meeting to orient everyone with the proceedings and outcome of the audit, and provide a firm resolution to the whole process.<\/p>\n  <p>The main point of the closing meeting should be to <strong>present audit findings and conclusions<\/strong>.<\/p>\n  <p>Lead auditors should be responsible for presenting audit findings and conclusions.<\/p>\n  <p>You can use the sub-checklist below as a kind of attendance sheet to <strong>make sure all relevant interested parties are in attendance<\/strong> at the closing meeting:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Auditee management\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Audit programme manager\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Individuals responsible for the processes and procedures being audited\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     The audit client\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     All members of the audit team\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Other relevant interested parties, as determined by the auditee\/audit programme\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Once attendance has been taken, the lead auditor should go over the complete audit report, with <strong>special attention placed on<\/strong>:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     If applicable, first addressing any special occurrences or situations that might have impacted the reliability of audit conclusions\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Making sure all present are familiar with or have access to the complete audit report\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Making sure the auditee is familiar with the audit process\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Confirming the time-frame for audit follow-up actions\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Diverging opinions \/ disagreements in relation to audit findings between any relevant interested parties\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Opportunities for improvement\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n <div class=\"text-content\">\n  <p>Depending on the situation and context of the audit, <strong>formality of the closing meeting can vary<\/strong>.<\/p>\n  <p>For more formal audits, minutes and records of attendance can be kept.<\/p>\n  <p>For more informal (e.g. internal) audits, it can be sufficient to simply communicate audit findings and audit conclusions.<\/p>\n  <p>In any case, during the course of the closing meeting, <strong>the following should be clearly communicated to the auditee<\/strong>:<\/p>\n <\/div>\n <div class=\"multi-select-content form-field-content\">\n  <div class=\"form-group\">\n   <label> (Subtasks) <\/label>\n  <\/div>\n  <ul class=\"items\">\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      1\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     That audit evidence is based on sample information, and therefore cannot be fully representative of the overall effectiveness of the processes being audited\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      2\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     The specific methods of audit reporting used\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      3\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Complete audit findings and conclusions\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      4\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Advice for how to proceed in light of audit findings\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      5\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Consequences if audit findings are not addressed\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      6\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     Recommendations for post-audit follow-up activities\n    <\/div><\/li>\n   <li class=\"item\">\n    <div class=\"step-number-container\">\n     <div class=\"step-number\">\n      7\n     <\/div>\n    <\/div>\n    <div class=\"step-checkbox-container\">\n     <div class=\"step-checkbox\"><\/div>\n    <\/div>\n    <div class=\"item-name-static\">\n     The fact that recommendations are not binding\n    <\/div><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n<section id=\"complete-the-audit\">\n <h2>Complete the audit<\/h2>\n <div class=\"text-content\">\n  <p>The audit is to be considered formally complete <strong>when all planned activities and tasks have been completed, and any recommendations or future actions have been agreed upon with the audit client<\/strong>.<\/p>\n  <p>All information documented during the course of the audit should be <strong>retained or disposed of<\/strong>, depending on:<\/p>\n  <ul>\n   <li>The nature of the information (sensitive, proprietary, etc.)<\/li>\n   <li>Requirements for particular management system standards<\/li>\n   <li>Any other agreements between relevant interested parties<\/li>\n  <\/ul>\n  <p class=\"style-warning\">It should be assumed that any information collected during the audit should not be disclosed to external parties without written approval of the auditee\/audit client.<\/p>\n  <p class=\"style-danger\">However, it may sometimes be a legal requirement that certain information be disclosed. Should that be the case, the auditee\/audit client must be informed as soon as possible.<\/p>\n <\/div>\n<\/section>\n<section id=\"sources\">\n <h2>Sources:<\/h2>\n <div class=\"text-content\">\n  <ul>\n   <li><a href=\"https:\/\/www.iso.org\" rel=\"nofollow noopener\" target=\"_blank\">ISO<\/a> - <a href=\"https:\/\/www.iso.org\/standard\/70017.html\" rel=\"nofollow noopener\" target=\"_blank\">ISO 19011:2018<\/a><\/li>\n   <li><a href=\"https:\/\/www.iso.org\" rel=\"nofollow noopener\" target=\"_blank\">ISO<\/a> - <a href=\"https:\/\/www.iso.org\/sites\/directives\/current\/consolidated\/index.xhtml\" rel=\"nofollow noopener\" target=\"_blank\">Consolidated ISO Supplement<\/a><\/li>\n   <li><a href=\"https:\/\/www.iso.org\" rel=\"nofollow noopener\" target=\"_blank\">ISO<\/a> - <a href=\"https:\/\/www.iso.org\/management-system-standards.html\" rel=\"nofollow noopener\" target=\"_blank\">Management System Standards<\/a><\/li>\n   <li><a href=\"https:\/\/www.iso.org\" rel=\"nofollow noopener\" target=\"_blank\">ISO<\/a> - <a href=\"https:\/\/www.iso.org\/standard\/62085.html\" rel=\"nofollow noopener\" target=\"_blank\">ISO 9001:2015<\/a><\/li>\n   <li><a href=\"https:\/\/www.iso.org\" rel=\"nofollow noopener\" target=\"_blank\">ISO<\/a> - <a href=\"https:\/\/www.iso.org\/standard\/63787.html\" rel=\"nofollow noopener\" target=\"_blank\">ISO 45001:2018<\/a><\/li>\n   <li><a href=\"https:\/\/www.iso.org\" rel=\"nofollow noopener\" target=\"_blank\">ISO<\/a> - <a href=\"https:\/\/www.iso.org\/iso-26000-social-responsibility.html\" rel=\"nofollow noopener\" target=\"_blank\">ISO 26000:2010<\/a><\/li>\n   <li><a href=\"https:\/\/www.iso.org\" rel=\"nofollow noopener\" target=\"_blank\">ISO<\/a> - <a href=\"https:\/\/www.iso.org\/isoiec-27001-information-security.html\" rel=\"nofollow noopener\" target=\"_blank\">ISO 27001:2013<\/a><\/li>\n   <li>Samuel O. Idowu, Catalina Sitnikov, Lars Moratis - <a href=\"https:\/\/www.springer.com\/gp\/book\/9783319926506\" rel=\"nofollow noopener\" target=\"_blank\">ISO 26000 - A&nbsp;Standardized View&nbsp;on Corporate Social&nbsp;Responsibility<\/a><\/li>\n   <li>Martin Hinsch - <a href=\"https:\/\/link.springer.com\/book\/10.1007%2F978-3-658-25550-3\" rel=\"nofollow noopener\" target=\"_blank\">ISO 9001:2015 for Everyday Operations<\/a><\/li>\n   <li>David Lilburn Watson, Andrew Jones - <a href=\"https:\/\/www.elsevier.com\/books\/digital-forensics-processing-and-procedures\/watson\/978-1-59749-742-8\" rel=\"nofollow noopener\" target=\"_blank\">Digital Forensics Processing and Procedures: Meeting the Requirements of ISO 17020, ISO 17025, ISO 27001 and Best Practice Requirements<\/a><\/li>\n  <\/ul>\n  <p><strong>Disclaimer<\/strong>:<\/p>\n  <ol>\n   <li>Process Street is not affiliated or in partnership with the International Organization for Standardization (ISO). The materials on Process Street\u2019s website are provided on an as-is basis and are for educational purposes. Process Street makes no warranties, expressed or implied, and hereby disclaims and negates all other warranties including, without limitation, implied warranties or conditions of merchantability, fitness for a particular purpose, or non-infringement of intellectual property or other violation of rights.<br><br><\/li>\n   <li>Further, Process Street does not warrant or make any representations concerning the accuracy, likely results, or reliability of the use of the materials on its website or otherwise relating to such materials or on any sites linked to this site.<\/li>\n  <\/ol>\n <\/div>\n<\/section>\n<section id=\"related-checklists\">\n <h2>Related checklists:<\/h2>\n <div class=\"text-content\">\n  <ul>\n   <li><a href=\"https:\/\/process.st\/checklist\/iso-9001-internal-audit-checklist-for-quality-management-systems\" rel=\"nofollow noopener\" target=\"_blank\"><span>ISO 9001 Internal Audit Checklist for Quality Management Systems<\/span><\/a><\/li>\n   <li><a href=\"https:\/\/process.st\/checklist\/iso-45001-occupational-health-and-safety-ohs-audit-checklist\" rel=\"nofollow noopener\" target=\"_blank\"><span>ISO 45001 Occupational Health and Safety (OHS) Audit Checklist<\/span><\/a><\/li>\n   <li><a href=\"https:\/\/process.st\/checklist\/iso-27001-information-security-management-system-iso-27k-isms-audit-checklist\" rel=\"nofollow noopener\" target=\"_blank\"><span>ISO 27001 Information Security Management System (ISO 27K ISMS) Audit Checklist<\/span><\/a><\/li>\n   <li><a href=\"https:\/\/www.process.st\/checklist\/iso-9001-and-iso-14001-integrated-management-system-ims-checklist\" rel=\"nofollow noopener\" target=\"_blank\"><span>ISO 9001 and ISO 14001 Integrated Management System (IMS) Checklist<\/span><\/a><\/li>\n   <li><a href=\"https:\/\/www.process.st\/checklist\/iso-9000-structure-template\/\" rel=\"nofollow noopener\" target=\"_blank\"><span>ISO 9000 Structure Template<\/span><\/a><\/li>\n   <li><a href=\"https:\/\/www.process.st\/checklist\/iso-9000-marketing-procedures\/\" rel=\"nofollow noopener\" target=\"_blank\"><span>ISO 9000 Marketing Procedures<\/span><\/a><\/li>\n   <li><a href=\"https:\/\/process.st\/checklist\/iso-14001-environmental-management-system-self-audit-checklist\" rel=\"nofollow noopener\" target=\"_blank\"><span>ISO 14001 Environmental Management Self Audit Checklist<\/span><\/a><span><\/span><\/li>\n   <li><a href=\"https:\/\/www.process.st\/checklist\/iso-14001-ems-structure-template\" rel=\"nofollow noopener\" target=\"_blank\"><span>ISO 14001 EMS Structure Template<\/span><\/a><\/li>\n   <li><a href=\"https:\/\/www.process.st\/checklist\/iso-14001-ems-mini-manual-procedures\" rel=\"nofollow noopener\" target=\"_blank\"><span>ISO 14001 EMS Mini-Manual Procedures<\/span><\/a><span><\/span><\/li>\n   <li><a href=\"https:\/\/process.st\/checklist\/iso-26000-social-responsibility-performance-assessment-checklist\" rel=\"nofollow noopener\" target=\"_blank\"><span>ISO 26000 Social Responsibility Performance Assessment Checklist<\/span><\/a><\/li>\n   <li><a href=\"https:\/\/www.process.st\/checklist\/fmea-template-failure-mode-and-effects-analysis\/\" rel=\"nofollow noopener\" target=\"_blank\"><span>FMEA Template: Failure Mode and Effects Analysis<\/span><\/a><\/li>\n   <li><a href=\"https:\/\/www.process.st\/checklist\/SWOT-analysis-template\" rel=\"nofollow noopener\" target=\"_blank\"><span>SWOT Analysis Template<\/span><\/a><\/li>\n  <\/ul>\n <\/div>\n<\/section>\n","protected":false},"excerpt":{"rendered":"<p>Introduction: Since the first edition of ISO 19011 was published back in 2002, many new management system standards have been published. This makes the need for a standardized framework for performing management system audits greater than ever before. ISO 19011 is that framework. The standard outlines a set of guidelines for performing audits on management [&hellip;]<\/p>\n","protected":false},"author":3,"featured_media":18129,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"ep_exclude_from_search":false,"cover_icon_emoji":"\ud83d\udd0d","cover_icon_url":"","tasks_count":"53","template_description":"Run this checklist to prepare for and run an audit programme against any management system, using the guidelines set out in ISO 19011:2018 for auditing management systems.","template_id":"kgRNweiuU5BjOBUrBExFcQ","task_0":"Introduction:","task_slug_0":"introduction","task_1":"Enter basic details","task_slug_1":"enter-basic-details","task_2":"Managing the audit (programme preparation):","task_slug_2":"managing-the-audit-programme-preparation","task_3":"Establish competence of audit programme managers","task_slug_3":"establish-competence-of-audit-programme-managers","task_4":"Establish context of the audit programme","task_slug_4":"establish-context-of-the-audit-programme","task_5":"Establish objectives of the audit programme","task_slug_5":"establish-objectives-of-the-audit-programme","task_6":"Determine risks and opportunities of the audit programme","task_slug_6":"determine-risks-and-opportunities-of-the-audit-programme","task_7":"Establish extent of the audit programme","task_slug_7":"establish-extent-of-the-audit-programme","task_8":"Establish audit programme resources","task_slug_8":"establish-audit-programme-resources","task_9":"Prepare all documented information so far","task_slug_9":"prepare-all-documented-information-so-far","task_10":"Communicate the audit programme so far with auditee","task_slug_10":"communicate-the-audit-programme-so-far-with-auditee","task_11":"Ensure relevant duties have been fulfilled so far","task_slug_11":"ensure-relevant-duties-have-been-fulfilled-so-far","task_12":"Managing the audit (individual audit preparation):","task_slug_12":"managing-the-audit-individual-audit-preparation","task_13":"Ensure individuals planning the audit are prepared","task_slug_13":"ensure-individuals-planning-the-audit-are-prepared","task_14":"Establish objectives of the individual audit","task_slug_14":"establish-objectives-of-the-individual-audit","task_15":"Define scope of the individual audit","task_slug_15":"define-scope-of-the-individual-audit","task_16":"Define criteria of the individual audit","task_slug_16":"define-criteria-of-the-individual-audit","task_17":"Determine individual audit methods","task_slug_17":"determine-individual-audit-methods","task_18":"Assign audit team members","task_slug_18":"assign-audit-team-members","task_19":"Assign audit team leader","task_slug_19":"assign-audit-team-leader","task_20":"Ensure audit programme results are properly managed","task_slug_20":"ensure-audit-programme-results-are-properly-managed","task_21":"Ensure audit programme records are properly maintained","task_slug_21":"ensure-audit-programme-records-are-properly-maintained","task_22":"Ensure audit programme monitoring is in place","task_slug_22":"ensure-audit-programme-monitoring-is-in-place","task_23":"Managing the audit (programme review):","task_slug_23":"managing-the-audit-programme-review","task_24":"Review the audit programme so far","task_slug_24":"review-the-audit-programme-so-far","task_25":"Approval: ","task_slug_25":"approval","task_26":"Audit process (initiating the audit):","task_slug_26":"audit-process-initiating-the-audit","task_27":"Establish contact with the auditee","task_slug_27":"establish-contact-with-the-auditee","task_28":"Determine feasibility of individual audit objectives","task_slug_28":"determine-feasibility-of-individual-audit-objectives","task_29":"(Conditional) Propose alternative audit approach","task_slug_29":"conditional-propose-alternative-audit-approach","task_30":"Audit process (preparing to conduct the audit):","task_slug_30":"audit-process-preparing-to-conduct-the-audit","task_31":"Review documented information","task_slug_31":"review-documented-information","task_32":"Approval: ","task_slug_32":"approval-1","task_33":"(Conditional) Resolve documented information issue(s)","task_slug_33":"conditional-resolve-documented-information-issues","task_34":"Prepare an audit plan","task_slug_34":"prepare-an-audit-plan","task_35":"Assign work to audit team","task_slug_35":"assign-work-to-audit-team","task_36":"Prepare documented information for audit","task_slug_36":"prepare-documented-information-for-audit","task_37":"Audit process (conducting the audit):","task_slug_37":"audit-process-conducting-the-audit","task_38":"(Conditional) Assign audit guides and\/or observers","task_slug_38":"conditional-assign-audit-guides-andor-observers","task_39":"Conduct an opening meeting","task_slug_39":"conduct-an-opening-meeting","task_40":"(Conditional) Establish formal communication protocol","task_slug_40":"conditional-establish-formal-communication-protocol","task_41":"Ensure relevant audit information is accessible","task_slug_41":"ensure-relevant-audit-information-is-accessible","task_42":"Collect and record audit evidence","task_slug_42":"collect-and-record-audit-evidence","task_43":"Evaluate audit evidence against audit criteria","task_slug_43":"evaluate-audit-evidence-against-audit-criteria","task_44":"Audit process (concluding the audit):","task_slug_44":"audit-process-concluding-the-audit","task_45":"Prepare audit report","task_slug_45":"prepare-audit-report","task_46":"Distribute audit report","task_slug_46":"distribute-audit-report","task_47":"(Conditional) Prepare for audit follow-up","task_slug_47":"conditional-prepare-for-audit-followup","task_48":"Prepare for closing meeting","task_slug_48":"prepare-for-closing-meeting","task_49":"Conduct closing meeting","task_slug_49":"conduct-closing-meeting","task_50":"Complete the audit","task_slug_50":"complete-the-audit","task_51":"Sources:","task_slug_51":"sources","task_52":"Related checklists:","task_slug_52":"related-checklists","task_53":"","task_slug_53":"","task_54":"","task_slug_54":"","task_55":"","task_slug_55":"","task_56":"","task_slug_56":"","task_57":"","task_slug_57":"","task_58":"","task_slug_58":"","task_59":"","task_slug_59":"","task_60":"","task_slug_60":"","task_61":"","task_slug_61":"","task_62":"","task_slug_62":"","task_63":"","task_slug_63":"","task_64":"","task_slug_64":"","task_65":"","task_slug_65":"","task_66":"","task_slug_66":"","task_67":"","task_slug_67":"","task_68":"","task_slug_68":"","task_69":"","task_slug_69":"","task_70":"","task_slug_70":"","task_71":"","task_slug_71":"","task_72":"","task_slug_72":"","task_73":"","task_slug_73":"","task_74":"","task_slug_74":"","task_75":"","task_slug_75":"","task_76":"","task_slug_76":"","task_77":"","task_slug_77":"","task_78":"","task_slug_78":"","task_79":"","task_slug_79":"","task_80":"","task_slug_80":"","task_81":"","task_slug_81":"","task_82":"","task_slug_82":"","task_83":"","task_slug_83":"","task_84":"","task_slug_84":"","task_85":"","task_slug_85":"","task_86":"","task_slug_86":"","task_87":"","task_slug_87":"","task_88":"","task_slug_88":"","task_89":"","task_slug_89":"","task_90":"","task_slug_90":"","task_91":"","task_slug_91":"","task_92":"","task_slug_92":"","task_93":"","task_slug_93":"","task_94":"","task_slug_94":"","task_95":"","task_slug_95":"","task_96":"","task_slug_96":"","task_97":"","task_slug_97":"","task_98":"","task_slug_98":"","task_99":"","task_slug_99":"","footnotes":""},"categories":[5,42,37,52,7,54,20],"tags":[],"class_list":["post-18128","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-featured","category-internal-audit","category-iso","category-management-system","category-miscellaneous","category-risk-management","category-sustainability"],"acf":[],"aioseo_notices":[],"_links":{"self":[{"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/posts\/18128","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/users\/3"}],"replies":[{"embeddable":true,"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/comments?post=18128"}],"version-history":[{"count":0,"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/posts\/18128\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/media\/18129"}],"wp:attachment":[{"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/media?parent=18128"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/categories?post=18128"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/tags?post=18128"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}