AUDIT GUIDE 06: Audit Team Selection, Responsibilities, and Document Review in Audit Planning
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Successful audits depend on competent audit teams, clearly defined roles and responsibilities, and a structured approach to document review. Careful planning in these areas helps ensure audits are consistent, objective, and capable of delivering reliable and meaningful results. Check out our our previous blog on Planning Audit Activities.
Table of Contents
Appointing the Audit Team Leader
Those assigned responsibility for managing the audit program should appoint the audit team leader for the specific audit.
Where a joint audit is conducted, it is important to reach agreement among the auditing organizations before the audit commences on the specific responsibilities of each organization, particularly with regard to the authority of the appointed audit team leader. For a deeper understanding of what comes next, check out our blog on Preparing On-Site Audit Activities
Selecting the Audit Team
The person managing the audit program should appoint the members of the audit team, including the team leader and any technical experts needed for the specific audit.
An audit team should be selected taking into account the competence needed to achieve the objectives of the individual audit within the defined scope. If there is only one auditor, the auditor should perform all applicable duties of an audit team leader.
In deciding the size and composition of the audit team for the specific audit, consideration should be given to the following:
The overall competence of the audit team needed to achieve audit objectives, taking into account audit scope and criteria;
The complexity of the audit and whether the audit is a combined or joint audit;
The audit methods that have been selected;
Legal and contractual requirements and other requirements to which the organisation is committed;
The need to ensure the independence of the audit team members from the activities to be audited and to avoid any conflict of interest;
The ability of the audit team members to interact effectively with the representatives of the auditee and to work together;
The language of the audit and the auditee’s social and cultural characteristics.
These issues may be addressed either by the auditor’s own skills or through the support of a technical expert.
Assuring the Overall Competence of the Audit Team
To assure the overall competence of the audit team, the following steps should be performed:
Identification of the knowledge and skills needed to achieve the objectives of the audit;
Selection of the audit team members so that all necessary knowledge and skills are present in the audit team.
If all necessary competence is not covered by the auditors in the audit team, technical experts with additional competence should be included. Technical experts should operate under the direction of an auditor but should not act as auditors.
Auditors-in-training may be included in the audit team but should participate under the direction and guidance of an auditor.
Adjustments to the size and composition of the audit team may be necessary during the audit, i.e., if a conflict of interest or competence issue arises.
If such a situation arises, it should be discussed with the appropriate parties (e.g., audit team leader, the person managing the audit program, audit client, or auditee) before any adjustments are made.
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Factors That Determine the Appropriateness of the Audit Team Criteria
Responsibilities and Authorities
Team Leader
- Plan the audit and make effective use of resources during the audit;
- Represent the audit team in communications with the audit client and auditee;
- Organise and direct audit team members;
- Provide direction and guidance to auditors-in-training;
- Lead the audit team to reach audit conclusions;
- Prevent and resolve conflicts;
- Prepare and complete the audit report.
Auditor Responsibilities
- Plan and carry out assigned responsibilities effectively and efficiently;
- Comply with applicable audit requirements;
- Communicate and clarify audit requirements;
- Verify the effectiveness of corrective actions taken as a result of the audit;
- Co-operate with and support the lead auditor;
- Remain within the audit scope;
- Exercise objectivity;
- Remain alert to evidence that may influence audit results;
- Collect and analyse evidence;
- Document audit findings;
- Retain and safeguard audit-related documents;
- Ensure confidentiality of documents and information;
- Treat privileged information with discretion;
- Report audit results.
Auditee Responsibilities
- Inform relevant employees about the objectives and scope of the audit;
- Appoint responsible staff to accompany audit team members (guides/escorts) and inform them of their duties;
- Provide all resources required for an effective and efficient audit process;
- Provide access to facilities and evidential material as requested by auditors;
- Co-operate with auditors to permit audit objectives to be achieved;
- Determine and initiate corrective actions based on the audit report.
Establishing Initial Contact with the Auditee
Initial contact with the auditee may be informal or formal and should be made by those responsible for managing the audit program or by the audit team leader. The purposes of the initial contact are to:
Establish communication channels with the auditee’s representative;
Confirm the authority to conduct the audit;
Provide information on audit objectives, scope, methods, and audit team composition, including technical experts;
Request access to relevant documents and records for planning purposes;
Determine applicable legal and contractual requirements;
Confirm agreement regarding confidentiality and disclosure of information;
Arrange audit scheduling and dates;
Determine location-specific requirements for access, security, health, and safety;
Agree on the attendance of observers and the need for guides;
Identify any areas of interest or concern to the auditee.
Determining the Feasibility of the Audit
The feasibility of the audit should be determined by considering:
Availability of sufficient and appropriate information;
Adequate cooperation from the auditee;
Availability of adequate time and resources.
Where the audit is not feasible, an alternative should be proposed to the audit client in agreement with the auditee.
Conducting Document Review
Prior to on-site audit activities, the auditee’s documentation should be reviewed to:
Gather information to prepare audit activities and work documents;
Establish an overview of system documentation to identify possible gaps.
The documentation should include management system documents, records, and previous audit reports. The review should consider the size, nature, and complexity of the organisation, as well as the audit objectives and scope.
In some cases, document review may be deferred until on-site activities commence if this does not affect audit effectiveness. In other cases, a preliminary site visit may be conducted.
If documentation is found to be inadequate for the audit scope or criteria, the audit client, audit program manager, and auditee should be informed, and further audit activities should not proceed until the issues are resolved.
Management System – Documentation
During document review, auditors should assess whether the information provided is:
Complete (all expected content is contained in the document);
Correct (the content conforms to other reliable sources such as standards and regulations);
Consistent (the document is consistent in itself and with related documents);
Current (the content is up to date);
Sufficient to support audit objectives;
Protected in accordance with applicable data protection and information security regulations.
The use of information and communication technologies, depending on the audit methods, promotes efficient conduct of the audit: specific care is needed for information security due to applicable regulations on protection of data (in particular for information which lies outside the audit scope, but which is also contained in the document).
Conclusion
A well-planned audit requires more than scheduling it demands competent auditors, defined responsibilities, effective communication, and structured document review. When these elements are properly managed, audits provide reliable insights, support compliance, and drive continual improvement across the organisation.
We offers end-to-end support for audit execution, auditor competence, and certification readiness. Work with Popularcert to ensure your audits are professionally managed and aligned with global certification standards.
FAQ
Who appoints the audit team leader?
The person responsible for managing the audit program appoints the audit team leader.
Why is audit team competence important?
Competent audit teams ensure objective evaluations, accurate findings, and reliable audit conclusions.
What is the purpose of document review in an audit?
Document review helps auditors understand the management system and identify gaps before on-site activities.
What happens if an audit is not feasible?
If an audit is not feasible due to lack of information, cooperation, or resources, an alternative approach should be agreed upon with the audit client and auditee.
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