C4.4.1 Pre-Audit


Activities that may be completed before the audit include:

  • Agreeing the date and time of the audit.
  • Confirming the audit team.
  • Agreeing the scope of the audit.
  • Confirming the audit criteria.
  • Ensuring availability of required staff.
  • Confirming any particular requirements, such as PPE to be worn.
  • Agreeing arrangements such as accommodation and lunch.
  • Preparing the audit plan.


In some situations it may be appropriate to review certain items of documentation before the audit. This will save time during the audit itself.

Audit Team

An audit may be conducted by a single auditors or it may be conducted by several auditors, referred to as an Audit Team. This may be a team of environmental auditors, or it may consist of an environmental auditor accompanied by a quality auditor (who will audit quality) and a safety auditor (who will audit health & safety).

The auditor(s) should be competent and be familiar with the subject matter.

Audit Scope

The audit scope determines the boundaries of the audit. This may restrict the audit to a physical location or to a specific activity.

Audit Plan

The audit plan is a timetable for the audit. It should include:

  • Audit objectives.
  • Audit scope.
  • Audit criteria.
  • Identification of areas to be audited (and in a Team Audit, which auditor will be responsible for each area).
  • Identification of auditees.
  • Identification of auditors.
  • A document reference number.