SC QUALITY GUILDAudit opening and closing meeting record
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Record who attended each meeting, what was confirmed at the opening, and what was presented at the closing: the findings with the auditee's concurrence on the evidence, the conclusion, and the next steps with names and dates. The tool checks the record against ISO 19011 and flags what is missing.
ON THE EXAM · CMDA II.B.1, CMDA II.B.7, CQPA I.C.2, CQE II.D.3, CQE II.D.4, CSQP V.A.1 · FREE · NOTHING YOU TYPE LEAVES YOUR BROWSER
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Why the two meetings matter
The opening and closing meetings bracket every audit. The opening sets the terms: what will be audited, against what, how, and how findings will be graded. The closing reports the result. Most audit disputes trace back to one of them: a scope never confirmed, a grading scheme never explained, a finding the auditee first heard about in the report.
This record sits between two other tools. The audit plan and schedule books the meetings, and the nonconformity report writes up the findings. This page records what was actually said and agreed.
The opening meeting
Chaired by the lead auditor, with auditee management. It confirms the objectives, scope and criteria; introduces the team and the roles of guides and observers; confirms the schedule and the closing meeting time; explains the methods, including that evidence is a sample; explains how findings will be graded; and agrees confidentiality, safety, access, how concerns are raised, and the conditions for ending the audit early. Record the attendees. Keep it short, but cover everything: each point not covered is a gap someone can exploit later.
The closing meeting
- Restate the purpose, scope, criteria and grading scheme.
- Say that audit evidence is a sample, so other nonconformities may exist.
- Present each finding with its requirement and evidence.
- Seek the auditee's concurrence on the evidence. Concurrence is about the facts, not the grade. Where the auditee disagrees, discuss it, and if it cannot be resolved, record both views in the report.
- State the conclusion against the audit objectives.
- Agree the next steps (the report date, the corrective action response, any follow-up audit) and who is responsible for each.
Top management should hear the findings first-hand. Their absence at the closing meeting is itself worth noting.
Grading
A common scheme: a major nonconformity is a requirement not met at all, or a failure that could put nonconforming product or service in the customer's hands; a minor is an isolated lapse; an opportunity for improvement breaks no requirement. Whatever scheme the audit program uses, explain it at the opening and restate it at the closing.
On the exam
The CMDA is explicit: II.B.1 covers managing the opening meeting, including purpose, scope, rating criteria, a record of attendees and the schedule, and II.B.7 the exit meeting, including concurrence on evidence that could lead to an adverse conclusion and the next steps. CQPA I.C.2 lists opening and closing meetings among the audit components. CQE II.D.3 and II.D.4 cover conducting an audit and reporting and follow-up, and CSQP V.A.1 the stages of a supplier audit. Expect to put the meeting elements in order and to know what concurrence means.