- Integrity: the foundation of professionalism
- Fair presentation: the obligation to report truthfully and accurately
- Due professional care: the application of diligence and judgement in auditing
- Confidentiality: security of information
- Independence: the basis for the impartiality of the audit and objectivity of the audit conclusions
- Evidence-based approach: the rational method for reaching reliable and reproducible audit conclusions in a systematic audit process
- Risk-based approach: an audit approach that considers risks and opportunities
- plan the audit and assign audit tasks according to the specific competence of individual audit team members;
- discuss strategic issues with top management of the auditee to determine whether they have considered these issues when evaluating their risks and opportunities;
- develop and maintain a collaborative working relationship among the audit team members;
- manage the audit process,
- represent the audit team in communications with the individual(s) managing the audit programme, the audit client and the auditee;
- lead the audit team to reach the audit conclusions;
- prepare and complete the audit report.
On-site audit activities are performed at the location of the auditee. Remote audit activities are performed at any place other than the location of the auditee, regardless of the distance.
Interactive audit activities involve interaction between the auditee’s personnel and the audit team. Non-interactive audit activities involve no human interaction with individuals representing the auditee but do involve interaction with equipment, facilities and documentation.
TAT for report: 3 days! The audit team leader reports the audit conclusions in accordance with the audit programme. The audit reports provide a complete, accurate, concise and clear record of the audit, and include or refer to the following: audit objectives; audit scope; audit client identity; audit team and auditee(s) identity; dates and locations for audit activities; audit criteria; audit findings and related evidence; audit conclusions; and recommendations among others.
The outcome of the audit can, depending on the audit objectives, indicate the need for corrections, or for corrective actions, or opportunities for improvement. Such actions are usually decided and undertaken by the auditee within an agreed timeframe.
The completion and effectiveness of these actions should be verified. We support reviewing evidence of closure of non-conformances to support laboratory continual improvement processes.