AUDIT GUIDE 05: Planning an Audit: Scope, Criteria, and Audit Frequency Explained
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Introduction:
Planning an audit is a key step in ensuring compliance and consistent performance. By clearly defining audit scope, criteria, and frequency, organizations can conduct effective first, second, and third party audits aligned with management system requirements. For a broader view, check out our blog on Managing an Audit Program.
Table of Contents
Key Benefits of ISO Certification
Planning a First Party Audit
The frequently used criteria for auditing varies from organization to organization. The modes used to decide the scope are:
By Function
- Audits conducted by function focus on specific departments such as procurement, production, quality control, human resources, or customer service. This approach helps organizations evaluate departmental performance, identify compliance gaps, and improve operational efficiency within individual business functions.
By Plant, Business Unit, or Division
- In large organizations, audits are often performed based on a specific plant, branch, business unit, or division. This method allows companies to assess location-specific risks, maintain consistent ISO compliance standards, and ensure smooth operations across multiple facilities.
By Procedure or Group of Interrelated Procedures
- Some audits focus on a single procedure or a group of connected procedures to verify whether processes are properly implemented and followed. This helps organizations improve documentation accuracy, reduce operational errors, and strengthen management system effectiveness.
By Process
- Process-based audits evaluate how effectively a particular business process is planned, managed, and controlled. This auditing method supports continuous improvement, enhances workflow efficiency, and ensures processes align with ISO standards and organizational objectives.
By Product
- Product-focused audits assess whether a product consistently meets quality, safety, and customer requirements throughout production and delivery stages. This approach is especially important for industries where regulatory compliance, product reliability, and customer satisfaction directly impact business success.
Planning a First Party Audit
The scope of a second party audit is often defined by:
- The product or service to be supplied, the number of sites, and their specific activities.
Planning a First Party Audit
The scope of a third party audit is dictated by the client’s requirements in terms of the product or service to be supplied, the number of sites, and the applicable processes. Explore our blog on Audit Team Selection, Document Review and Responsibilities.
Criteria for an Audit
The criteria define the basis against which the audit is performed, such as a standard, procedure, contract, or purchaser’s requirements.
The criteria against which a first, second, or third party audit is performed are similar and typically include:
- Documented procedures;
- Contractual requirements;
- Legal requirements;
- Requirements of national or international standards.
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Audit Frequency
The audit program should specify the audit frequency. The program should also specify the processes to be audited and the frequency at which they should be audited.
The frequency of a first party audit is dependent on:
- The criticality and complexity of the criteria listed in the scope;
- Management’s confidence and the historical performance of the area defined by the scope;
- Changes to the management system or criteria listed in the scope, or an impending order.
For internal audits, documented procedures are established for the audit system. These procedures clearly define the method by which audit frequency is decided. Once decided, the dates should be strictly adhered to, with appropriate adjustments of frequency usually being related to the points listed above.
The frequency of a second party audit is dependent on:
- The organization’s confidence in the supplier’s ability to meet the criteria;
- The historical performance of the supplier;
- An impending order.
The frequency of a third party audit is dependent on:
- The accreditation authorities’ agreement with the certification body.
Conclusion
Effective audit planning begins with defining the right scope, selecting appropriate audit criteria, and establishing a suitable audit frequency. When these elements are clearly planned, audits become a valuable tool for compliance, performance improvement, and risk management rather than a routine obligation.
Popularcert supports organisations with expert guidance in audit planning, ISO certification, and management system compliance. Partner with Popularcert to ensure your audit programs are structured, compliant, and aligned with international best practices.
FAQ
What is the purpose of audit planning?
Audit planning ensures that audits are conducted systematically, within a defined scope, and against clear criteria.
What is the difference between first, second, and third party audits?
First party audits are internal audits, second party audits assess suppliers, and third party audits are conducted by independent certification bodies.
How is audit frequency decided?
Audit frequency depends on risk, complexity, historical performance, and applicable standards or contractual requirements.
What are audit criteria?
Audit criteria are the standards, procedures, contracts, or legal requirements against which audit evidence is evaluated.
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