Client: Audit Date(s): Standard:
Location Type of Assessment Client Rep
Time Process/Function Auditor Responsible Completed
17.00 Closing Meeting
Form 4A / 11 Page 1 of 2
*The scope of certification cannot be changed during the audit. If you wish to make an amendment to your scope or include any additional processes then please notify the IMS
Head office prior to the assessment taking place
The plan – The times are provisional and may be adjusted to suit prevailing circumstances. The audit team may work together or divide
work according to needs during the assessment.
Documented Management System- Please provide a current hard copy of your Documented Management System to be used during the
audit to aid the auditors in reviewing documented procedures against audited processes.
Audit objectives - Determination of the extent of conformity of the Clients management system and evaluation of the capability of the
management system to ensure compliance with statutory, regulatory and contractual requirements. Evaluation of the effectiveness of the
management system in meeting its specified objectives and the identification of areas of potential improvement of the management
Audit Criteria – To give confidence that the management system and client is prepared for a stage 2 assessment and shall include a
review of the client’s management system documentation, an evaluation of the client’s location and site-specific conditions and undertake
discussions with the client’s personnel to determine the preparedness for the stage 2 audit. A review of the client’s status and
understanding regarding the requirements of the standard. To collect necessary information regarding the scope, processes, locations,
statutory and regulatory aspects and compliance. Review the allocation of resources for stage 2 audit, provide a focus for planning stage
2 audit and evaluate if the internal audits and management review are being planned and performed and that the level of implementation
of the management system substantiates that the client is ready for the stage 2 audit.
Language - The assessment and reporting will be conducted in English
Interviewees – We would like, wherever possible, to talk to the people that are currently carrying out the above activities.
The audit – The audit is a sampling process and as such the lack of findings in any particular area cannot be taken as evidence there are
no nonconformities in that area.
Reporting – A short typed report summarising the assessment findings will be issued at the closing meeting. Transfer of reports will be
normally be made by USB Flash Drive. Should this not be acceptable for any reason please contact IMS for alternative arrangements.
Confidentiality – The IMS Undertaking of Confidentiality will cover any information gained during this assessment.
Refreshments – It would be appreciated if a short light lunch such as sandwiches could be taken on site and suitable drinks provided
during the assessment.
Form 4A / 11 Page 2 of 2