The document outlines an ISO 9001:2015 recertification audit being conducted by ABC at Aabbcc Pvt Limited over two days. It introduces the audit team and scope of certification. It details the audit plan, objectives, and procedures. It addresses logistical arrangements and expectations regarding confidentiality, safety, non-conformities, and termination of the audit.

1.  Aabbcc Pvt Limited
 ISO 9001 2015 Recertification Audit
 03rd Sep to 04rth Sep 2023

2. INTRODUCTIONS
THE AUDIT TEAM:
Team Leader Mr Aac D (AD)
Auditor A (Prov Team
Leader)
Mr Deepak Mishra
(DM)
Auditor B Mr Soumen Jana (SJ)
Auditor C Mr Rahul Dube (RD)
Auditor D
Mr Ganesh Singh
Rawat (GSR)
Kindly mark your presence in the attendance sheet

3. SCOPE OF
CERTIFICATION
MANUFACTURE AND DESPATCH OF XYZP
AUDIT TYPE
Recertification Audit

4.  The requirements of ISO 9001-2015 for Quality
Management system
 Organizations documented information's such as
procedures or other documents for compliance
against the audit criteria
 Applicable Statutory, legal and other
requirement(s)
 Usage of ABC and AB’s Logo.

5.  To confirm that the management system conforms with all the
requirements of the audit standard(s);
 To confirm that the management system can achieve the
organization’s policies and objectives and evaluation of
 The ability of the management system to ensure the client
organization meets applicable statutory, regulatory and
contractual requirements;
 It shall include at least the following:
 a) Information and evidence about conformity to all requirements
of the applicable management system standard or other
normative document;
 b) Performance monitoring, measuring, reporting and reviewing
against key performance objectives and targets
 c) The client's management system and performance as regards
legal compliance;
 d) Operational control of the client's processes;
 e) Internal auditing and management review;
 f) Management responsibility for the client's policies;
 g) Links between the normative requirements, policy,
performance objectives and any applicable legal requirements,
responsibilities, competence of personnel, operations, procedures,
performance data and internal audit findings and conclusions.

6. Time Process Auditor
Representative/
FPR
9:00 -10:00
Review of performance data
prior to Opening
meeting
AD
10:00-11:00
Previous NCR effectiveness
verifications
DM
11:00-11:15 Opening Meeting AD
11.30-12:00 Plant Tour
12:10-13:00 Top Management AD
13:00-14:00 Lunch
14:00-15:00 FPE SJ
14:00-15:00 QMS GSR
15:10-17:00 Manufacturing DM
Next Day
9:00-10:30 QA GSR
9:00-10:30 QC RD
11:00-11:30 Feedback AD
12:00-12:30 Cloasing Meeting AD

7.  The audit team had conducted the audit plan,
including audit activities and audit trails.
 Audit will be conducted on sampling basis,
focusing on verification of the compliance
based on evidence against the audit criteria.
 Verification of the status of previous audit
findings
 Verification of status of Internal Audit
findings and actions taken.
 As the Auditor, our role is to assist you in
verifying conformance to the requirements or,
where a nonconformance is identified, to
document the occurrence for appropriate
corrective action.

8.  If the working language of the audit is different from the
language of the auditor and/or auditee, then this must be
communicated during the opening meeting. Audit will be
conducted in English
 You will be kept informed of audit progress, and of any concerns
as they are uncovered during the audit.
 Please confirm that the resources and facilities needed by the
audit team are available, such as:
 Conference rooms and work rooms
 PPE
 Meals, etc.
 Address any schedule or other audit problems that have surfaced,
such as:
 Off-shift coordination
 Non-standard working hours
 Staff unavailability

9.  ABC and the audit team will treat as strictly
confidential any information (not in the public
domain or disclosed to ABC by a third party)
that comes into the possession of our Auditors,
employees, subcontractors, or any Board,
Panel, or Committee members or oversite
bodies during assessment or registration. This
information will not be disclosed to any Third
Party without prior written consent of your
organization.
 Please note that there is a confidentiality
agreement in place between ABC and ABCD,
their Accreditation Body.

10.  Please provide any relevant information about
safety rules and regulations so the auditor can
prepare such as:
 Work safety (PPE, restricted areas, etc.)
 Emergencies, evacuation plans, etc.
 Security (physical and IT)

11.  Each auditor to be provided with guide by the
organization.
 We don’t have any objections for the presence of
any observer during the audit.
 As a reminder, they will not provide answers to
questions as a substitute for the person being
interviewed, but they can help explain
questions/answers in the context of your
company’s terminology or organizational
arrangements.

12.  Based on the evidences collected during the audit the audit
conclusion to be drawn
 Non-conformances will only be raised against specific
requirements in or incorporated by the management system
(including customer or regulatory requirements).
 Non-conformances will be communicated verbally when
found, and they will be formally recorded in the report for
review and acknowledgement by your representative at the
closing meeting.
 Non-conformities will be categorized as “Major or Minor Non-
conformity”
 You are required to submit responses to major non-
conformities within 30 days and minor non-conformities
within 60 days of audit completion..

13.  At the end of process or function audit
 During the closing meeting.
 Submission of non-conformities, if any, during
closing meeting
 Submission of the detailed audit report,
withing 7 working days

14.  Premature Termination: We could decide on a
pre-mature termination of the audit (after
consultation with company representatives
and ABC) if, during the audit, we determine
that the intended purposes of the audit are
obstructed or unattainable.

15.  This is your chance to ask before the audit starts!
 If questions come up later during the audit,
please ask your Auditor, or bring it up during
daily debriefings.