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Assessment scope

A sound audit starts with the right question.

We first clarify the context, assessment criteria and the outcome the company needs. The precise audit type is agreed before the engagement.

Technical inspection of a food-production control point
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Audit types

Three levels, each with a different assessment relationship.

The audit type is defined by the relationship between the organisation being assessed, the beneficiary of the assessment and the party setting the criteria.

A1

First-party audit

Internal audit

An independent assessment of the organisation’s own processes and how its system operates day to day. It helps identify nonconformities, weaknesses and improvement opportunities before an external assessment.

It may be used for

  • periodic review of the internal system
  • checking how procedures are implemented
  • preparation for external audits or official inspections

Assessment basisInternal procedures, applicable legislation and, depending on the agreed scope, requirements such as ISO 9001, ISO 22000 or FSSC 22000.

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A2

Supplier and partner audit

Second-party audit

An assessment of a supplier, subcontractor or partner against the requirements of the company commissioning the audit. It may cover providers of raw materials, packaging, processing, storage or distribution services.

It may be used

  • before beginning a commercial relationship
  • periodically, to monitor a supplier
  • following complaints, concerns or nonconformities

Assessment basisContractual requirements, company procedures, codes of practice and standards agreed between the company and its supplier.

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A3

Gap and readiness assessment

Third-party audit preparation

An assessment before a formal certification audit, designed to clarify the current state of the system, gaps against the intended criteria and areas requiring attention. It may include an internal audit and evidence review.

It may be used for

  • assessing the current state of the system
  • identifying gaps before certification
  • organising required actions and evidence

Role boundaryThe formal third-party audit and certification are performed by the certification body selected by the company; Sam Consulting provides assessment and preparation.

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Sam Consulting does not issue accredited certification and cannot guarantee the outcome of an audit later performed by a certification body.

What the assessment may cover

An audit connects the process, the evidence and the applicable criterion.

01

Processes and control points

We examine how work happens in practice and where responsibilities and checks sit within the process.

The scope may follow

  • the sequence of operational stages
  • product and information handovers
  • defined responsibilities and checks

A conversation is useful when

  • a process has changed
  • shifts or teams work differently
  • management needs an external perspective

Scope definitionWe agree the process, locations, participants and assessment criteria before the work begins.

02

Documents and records

We connect procedures, forms and records with observed practice, within the boundaries of the agreed scope.

The scope may follow

  • alignment between procedure and practice
  • availability of relevant records
  • how records are completed, reviewed and retained

A conversation is useful when

  • documentation lacks a clear overview
  • record ownership is unclear
  • an upcoming assessment requires organised evidence

Scope definitionThe required document list follows scope definition; the entire system is not requested by default.

03

Traceability and information flow

We follow links between materials, production, batches, storage and delivery using the information available.

The scope may follow

  • batch identification at input and output
  • links between stages and their records
  • continuity of information along the journey

A conversation is useful when

  • data sits in different systems
  • several warehouses or partners are involved
  • a documentary link needs checking

Scope definitionThe exercise, sample and time period are agreed before the assessment.

04

Compliance and corrective action

We relate observations to agreed criteria and organise them so the business can decide what needs attention.

The scope may follow

  • gaps between criteria and observed practice
  • evidence associated with each observation
  • owners, deadlines and follow-up evidence

A conversation is useful when

  • older findings lack a consolidated view
  • teams understand priorities differently
  • management needs explainable next steps

Scope definitionFinding categories and the deliverable format are confirmed before the audit.

How the engagement is built

A clear scope before assessment.

  1. 01

    Context — what triggered the need and who will use the conclusions.

  2. 02

    Scope — included processes, locations, period and criteria.

  3. 03

    Assessment — relevant observations, conversations and evidence.

  4. 04

    Close — explained findings and agreed follow-up steps.

Sam Consulting provides independent audit and consultancy. It does not issue accredited certification, and using the service does not guarantee certification or the outcome of an official inspection.

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Next step

Clarify the need before defining the audit.

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