An audit team leader prepares the audit plan for an initial Stage 2 certification audit. Which two of the following statements are false?

Statement C is false because audits are conducted using a sampling methodology. It is neither practical nor required to interview every employee in an organization. The audit team selects a representative sample of personnel to interview to gather sufficient evidence regarding the implementation and effectiveness of the OHS management system.
Statement E is false as there is no requirement in any auditing standard for an organization to cancel all staff leave during an audit. While the organization must ensure that key personnel and representatives for relevant functions are available as per the agreed audit plan, a blanket cancellation of all leave is an unreasonable and disruptive measure that is not mandated.

A. The organisation should review the audit plan for agreement. This is a standard and necessary step. The auditee's review ensures the plan is feasible, minimizes disruption, and confirms the availability of required personnel and resources.
B. The audit team leader does not select the OHS audit team members. This is correct. The audit team is typically selected and appointed by the individual managing the audit programme (e.g., from the certification body), not the audit team leader.
D. The audit team leader should present the plan to the auditee before the Stage 2 audit. This is a mandatory requirement. Communicating the audit plan in advance allows the auditee to prepare, arrange logistics, and ensure the availability of relevant personnel.
F. The plan does not need to include the names of the senior managers. This is correct. The audit plan must identify the organizational units and functions to be audited (e.g., "Top Management"), but it does not necessarily need to list specific individuals by name.

1. ISO 19011:2018, Guidelines for auditing management systems.

For C: Clause A.6, "Sampling," states that auditing is typically conducted by sampling, not by examining 100% of available information. This principle applies to interviews, document reviews, and observations.

For A & D: Clause 6.3.2.1, "Preparing the audit plan," specifies that the audit plan should be communicated to the auditee in advance. It also implies agreement is sought to confirm the plan.

For B: Clause 5.4.4, "Assigning responsibility for an individual audit," states that the individual(s) managing the audit programme should select and appoint the audit team.

2. ISO/IEC 17021-1:2015, Conformity assessment — Requirements for bodies providing audit and certification of management systems.

For A & D: Clause 9.2.3.2, "The certification body shall communicate the audit plan and agree on the date of the audit." This confirms the requirement for presenting the plan for agreement.

For E: While not explicitly stating leave should not be cancelled, the principles of planning (Clause 9.2) focus on effective auditing with due regard for the client's operations. A requirement to cancel all leave would be contrary to this principle of reasonable planning and cooperation. The focus is on ensuring the availability of necessary personnel.