Audit planning for Certification Bodies

Audit planning for Certification Bodies

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Before planning starts

Audit planning begins once the applicant or certificate holder has contacted an authorised Certification Body. The CB should then contact UEBT to confirm the organisation profile, certification scope and any audit instructions that apply to the case.

  • Use the UEBT audit plan template, or an approved equivalent.
  • Base the plan on the confirmed scope, UEBT instructions, client information, previous audit history, risk information and applicable law assessments.
  • Assign an audit team with the required competence for the scope, locations, supply chains and languages involved.

1. Confirm scope

Check the certification scope, sites, processes, supply chains and products to be audited. Identify any exclusions, sampling needs and scope changes since the previous audit.

2. Build the plan

Set the audit objectives, type, dates, locations, programme, timing and duration. Include audit team roles, expected organisation participants and resources required.

3. Share and prepare

Upload the final plan to Grove and share it with the auditee on time. Complete preparation activities before the audit starts.

Planning milestones

When Action
At least 4 weeks before audit Final audit plan uploaded to Grove.
No later than 1 month before audit start Certification Scope Form submitted to UEBT.
No later than 3 weeks before audit start UEBT provides audit instructions.
At least 3 weeks before audit Audit plan shared with the auditee.
At least 2 weeks before audit start Audit preparation activities completed.
White calendar with a blue pen on top

Planning inputs

  • Certification Scope Form
  • UEBT audit instructions
  • Country risk assessment
  • Applicable laws assessment
  • Previous work plans and audit history
  • Biodiversity Action Plan, where applicable
  • Monitoring system documentation, including IMS or LMS
  • Client risk assessments and supporting compliance documentation

Audit plan content

  • Audit objectives and audit type
  • Applicable standards, checklists and reference documents
  • Scope, sites and processes to be audited
  • Dates, locations, programme, timing and duration
  • Audit team roles and responsibilities
  • Expected organisation participants
  • Resource allocation and sampling approach, where relevant

High-risk supply chains

Where a certification audit involves a high-risk supply chain, plan earlier and ask UEBT for specific instructions. Additional requirements may include expanded sampling, interviews, experts or public consultation.

  • Notify UEBT 12 weeks before the audit where additional instructions may be needed.
  • UEBT may provide additional scope instructions 10 weeks before the audit.
  • Share the draft audit plan 8 weeks before the audit date.

Readiness check for CBs

  • The audit scope is current and matches the client’s certification request.
  • UEBT instructions and risk information have been incorporated.
  • The audit team has the right competence and role allocation.
  • Sites, participants, languages, logistics and timings are confirmed.
  • Sampling is justified and documented where relevant.
  • The plan has been uploaded to Grove and shared with the auditee within the required timeframe.