The responsibilities of an Audit Team Leader in a third-party certification audit are defined primarily in ISO 19011:2018 and reinforced by ISO/IEC 17021-1 for certification audits.
The Audit Team Leader is responsible for managing the audit process, coordinating the audit team, and maintaining communication with the auditee.
Correct Responsibilities
A. Holding the audit team meeting
The Audit Team Leader is responsible for:
Organising and leading audit team meetings.
Ensuring auditors understand their assignments.
Reviewing findings and audit conclusions.
Preparing the team for opening and closing meetings.
Therefore, this is a responsibility of the Audit Team Leader.
B. Adopting a risk-based approach to planning the audit
ISO 19011 promotes the use of a risk-based approach when:
Developing the audit programme.
Planning audit activities.
Allocating resources and audit time.
Determining audit priorities.
The Audit Team Leader applies this approach when preparing and managing the audit.
Therefore, this is a responsibility of the Audit Team Leader.
D. Chairing the audit opening and audit closing meeting
The Audit Team Leader normally:
Conducts the opening meeting.
Explains audit objectives, scope and methods.
Conducts the closing meeting.
Presents audit conclusions and findings.
Therefore, this is a responsibility of the Audit Team Leader.
F. Establishing contact with the auditee
Before and during the audit, the Audit Team Leader:
Establishes communication channels.
Confirms audit arrangements.
Coordinates schedules and logistics.
Clarifies audit activities.
Therefore, this is a responsibility of the Audit Team Leader.
Why the Other Options Are Incorrect
C. Issuing the management system certificate
Certification decisions and certificate issuance are the responsibility of the Certification Body , not the Audit Team Leader.
ISO/IEC 17021 requires certification decisions to be made independently of the audit team.
E. Auditing top management
The Audit Team Leader may audit top management, but this is not a management responsibility of leading the audit team . It is simply an audit assignment that could be performed by any competent auditor.
G. Selecting the audit team
Selection of auditors is normally the responsibility of the:
Not the Audit Team Leader.
H. Preparing the audit nonconformity reports
Each auditor normally prepares and documents their own findings and nonconformities. The Audit Team Leader reviews, coordinates, and approves them, but does not necessarily prepare all nonconformity reports.
Therefore, this is not considered one of the key management responsibilities listed.
ISO-Aligned Summary
Option
Audit Team Leader Responsibility?
Holding the audit team meeting
Yes
Adopting a risk-based approach to planning the audit
Yes
Issuing the management system certificate
No
Chairing the audit opening and audit closing meeting
Yes
Auditing top management
No
Establishing contact with the auditee
Yes
Selecting the audit team
No
Preparing the audit nonconformity reports
No
Answer: A, B, D, F
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