A Complete Guide to the Certification Audit

• Step 1 (Stage 1 Audit): The first step is typically a Stage 1 “desktop” audit. This is where the evaluator determines if all the quality management systems and documentation is set up properly, and (based on their findings) decides on the scope of a Stage 2 audit.

• Step 2 (Stage 2 Audit): During the Stage 2 audit which follows Step 1, the evaluators will interview key personnel and most likely shadow their daily activities and protocols for a period of time. The intent is to determine that the system in place is a tried and tested one, that has been running for a period of time, and that the people who are involved with the operations of the organisation clearly understand and adhere to the requirements of the standards that the audit is being conducted against.

• Step 3 (Certification): If everything goes well with the Stage 2 audit, then the evaluator makes a recommendation to the Certification Body, which will then issue a certificate within two to twelve weeks.

If the above steps can be done with a minimum of fuss, things will go smoothly. Once the initial audit is completed, there is a repeating pattern that comes into play, as follows:

• Step 4 (Surveillance Audit): Some 9 to 12 months after the successful certification, there is a surveillance scheme that kicks in. The main thrust is to evaluate the quality management system, especially whether internal audits and management reviews are being performed competently. Also, an operational review is conducted, especially in situations where new installations are done within the period.  

• Step 5 (Recertification): This takes a much longer view of how the organisation is being integrated within the philosophy of the ISO 9001 certification. This looks at how the company has absorbed and adopted the quality management system over a three year period, and then how it is preparing for the next period.