Audit scheduling glossary: 50 terms planners use
An audit scheduling glossary of 50 terms: certification cycle, audit time, competence, impartiality, planning and inspection vocabulary, in plain English.
Key takeaways
- Shared definitions stop planners, auditors, sales and IT meaning different things by the same word.
- Most scheduling rules trace back to a small set of documents: ISO/IEC 17021-1, ISO/IEC 17020 and the IAF mandatory documents.
- Terms such as audit window, due date and audit time need one agreed meaning before any software project.
- Scheme owners add their own terms and rules; add them to your local copy of this glossary.
This audit scheduling glossary defines 50 terms used by planners at certification, inspection and accreditation bodies, grouped into six themes: the certification cycle, audit time, competence and teams, impartiality and accreditation, planning and optimisation, and inspection. Each definition explains what the term means for scheduling. Rules come from standards such as ISO/IEC 17021-1 and IAF mandatory documents; check current issues.
How should you use this audit scheduling glossary?
This audit scheduling glossary is written for the people who build and maintain audit programmes. Each definition is short and says why the term matters for a plan. Where a term comes from a standard or an IAF mandatory document, we name the source; always check the current issue, because standards and scheme rules change.
Use it to agree vocabulary before a software selection or data migration. Many scheduling problems start when two teams use the same word for different things, such as 'due date' meaning the certificate expiry to one team and the last acceptable audit day to another.
The set of audits planned for one client across the certification cycle: initial, surveillance and recertification audits, with their scope, timing and audit time. ISO/IEC 17021-1 requires one for each client.
- ✓Agree one meaning for due date and audit window
- ✓Agree how audit time and on-site time are recorded
- ✓Map your competence codes to the terms used here
- ✓Add scheme-specific terms your body uses
Which terms describe the certification cycle?
| Term | Meaning for the planner |
|---|---|
| Certification cycle | The three-year period of a management system certificate under ISO/IEC 17021-1, covering surveillance and ending in recertification. |
| Initial certification audit | The first audit of a client, in two stages. See stage 1 vs stage 2 audits. |
| Stage 1 | Reviews readiness and documentation, and informs planning for stage 2. |
| Stage 2 | Evaluates implementation and effectiveness of the management system on site. |
| Certification decision | Made by competent persons who did not take part in the audit. Its date anchors the timing of the first surveillance. |
| Surveillance audit | At least once a calendar year except in recertification years; the first within 12 months of the certification decision. See surveillance audit frequency. |
| Recertification audit | Audit to renew the certificate, planned so the decision can be made before expiry. See recertification audit timing. |
| Special audit | An extra audit to extend scope or respond to complaints, changes or suspended clients. |
| Unannounced audit | An audit carried out without advance notice to the client, required or optional under some schemes. |
| Certificate transfer | Moving an accredited certificate between certification bodies, with a pre-transfer review under IAF MD 2. |
- Initial auditStage 1 and stage 2
- DecisionCertificate issued
- Surveillance 1Within 12 months of decision
- Surveillance 2Following calendar year
- RecertificationBefore certificate expiry
What do the audit time terms mean?
Audit time drives how many auditor-days each audit needs, and so the capacity the plan must find.
| Term | Meaning for the planner |
|---|---|
| Audit time | Time needed to plan and carry out a complete, effective audit. For management systems, set using IAF MD 5 or scheme rules. |
| Auditor-day (man-day) | The unit of audit time. IAF MD 5 bases it on a normal 8-hour working day. See audit man-days explained. |
| Effective personnel | The headcount basis for audit time, adjusted for part-time and shift workers under IAF MD 5. |
| On-site audit time | The part of audit time spent at the client's site or in remote sessions, as opposed to planning and reporting. |
| Remote audit | An audit carried out using information and communication technology, planned under IAF MD 4. |
| Integrated audit | One audit of a management system covering two or more standards, with audit time set under IAF MD 11. |
| Multi-site sampling | Auditing a sample of sites for an organisation with many similar sites, under IAF MD 1. |
| Central function | The site that controls a multi-site organisation, audited at every surveillance and recertification under IAF MD 1. |
Which competence and team terms should planners know?
| Term | Meaning for the planner |
|---|---|
| Lead auditor | The auditor responsible for the audit and its team. |
| Technical expert | A person who provides specific knowledge to the audit team but does not act as an auditor. |
| Trainee auditor | An auditor gaining experience, who must work under the direction of a qualified auditor. |
| Witness audit | An audit observed by an accreditation body assessor to evaluate the certification body. See witness assessment planning. |
| IAF code | One of the 39 economic sector codes used to group scopes and auditor competence. See IAF codes explained. |
| Technical area | A narrower grouping of activities within a sector, used to define competence more precisely. |
| Competence matrix | The record of which auditor is qualified for which standard, code and role, with dates. |
| Qualification expiry | The date after which an auditor's approval lapses unless renewed. The plan must check it against the audit date. |
What do the impartiality and accreditation terms mean?
| Term | Meaning for the planner |
|---|---|
| Impartiality | Objectivity in certification activities, which ISO/IEC 17021-1 requires the body to safeguard. |
| Conflict of interest | A relationship, such as prior consultancy or employment, that threatens impartiality for a given client. |
| Rotation | Changing the auditors who visit a client over time, set by scheme rules or the body's procedures. |
| Accreditation body | The organisation that assesses and accredits certification, inspection or testing bodies, working under ISO/IEC 17011. |
| Accreditation scope | The standards, schemes and sectors a body is accredited for, which limits what it can certify. |
| Scheme owner | The organisation that owns a certification scheme and sets its extra rules, as in food safety schemes. |
Which planning and optimisation terms matter?
| Term | Meaning for the planner |
|---|---|
| Audit window | The range of dates in which an audit may take place under the standard, scheme or contract. |
| Due date | The last acceptable date for an audit. Agree one meaning across teams. |
| Hard constraint | A rule the plan can never break, such as competence for the scope. |
| Soft constraint | A goal the plan trades against others, such as lower travel. |
| Constraint-based scheduling | Planning by applying hard rules and then optimising soft goals. See constraint-based scheduling explained. |
| Deterministic optimisation | An optimisation that gives the same plan for the same data, so every decision can be reproduced. |
| Utilisation | Share of available auditor days spent on chargeable audit work. |
| Subcontracted auditor | An external auditor engaged under contract, subject to the same competence and impartiality controls. |
| Travel clustering | Grouping nearby audits into one trip to cut distance and overnight stays. |
| Rescheduling | Changing an audit's date or team after booking, with the knock-on effect checked. |
| Backlog | Audits overdue or at risk of missing their windows. |
| Capacity plan | A forecast of auditor-days needed by standard and code against days available. |
- 1Preferred date
- 2Client request
- 3Due date
Which inspection body terms appear in scheduling?
| Term | Meaning for the planner |
|---|---|
| Inspection body | A body accredited to ISO/IEC 17020 to carry out inspections. See ISO/IEC 17020 requirements. |
| Thorough examination | A detailed examination of lifting equipment by a competent person under LOLER, at set intervals or under an examination scheme. |
| Written scheme of examination | The document under PSSR setting what must be examined in a pressure system and how often. |
| EICR | Electrical Installation Condition Report, the record of a periodic inspection of an electrical installation. |
| Statutory inspection | An inspection required by law, with a due date the plan must meet. |
For the underlying scheduling rules, see statutory inspection scheduling.
ScheduleAI is audit scheduling software built for testing, inspection and certification (TIC) organisations, with a planner approving every plan.
ScheduleAI works with these terms directly: competence codes, accreditation body per standard, rotation, conflicts of interest, languages, audit windows and travel are among its 35+ scheduling parameters.
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What is an audit window?
The range of dates in which an audit may take place under the standard, scheme or contract. It is a hard constraint for scheduling.
What is the difference between audit time and audit duration?
Audit time is the total time to plan, conduct and report an audit. On-site duration is the part spent auditing, on site or remotely.
How often must surveillance audits happen?
Under ISO/IEC 17021-1, at least once a calendar year except in recertification years, with the first within 12 months of the certification decision.
What is an IAF code?
One of 39 economic sector codes used to group certification scopes and define which auditors are competent for which clients.
What is a man-day in auditing?
A unit of audit time equal to one auditor working one day. IAF MD 5 bases it on a normal 8-hour day.
Can I use this glossary in our procedures?
Yes, as a starting point. Add scheme-specific terms and align definitions with your accreditation body's requirements.