1. Planning Audits
Determining Audit Objectives, Scope, and Criteria: Establish clear objectives, define the audit’s scope, and set the criteria against which the audit will be conducted.
Audit Team Selection and Assignments: Carefully select audit team members based on competence and suitability for the specific audit and assign roles and responsibilities.
Audit Plan: Develop a comprehensive audit plan detailing the audit’s schedule, resources needed, activities, and any other relevant information.
2. Initial Certification
Initial Certification Audit: Conduct a thorough audit to assess if the organization’s management system meets the criteria for initial certification.
3. Conducting Audits
General Guidelines: Adhere to established procedures and ethical guidelines throughout the audit process.
Opening Meeting: Conduct an opening meeting with the client to outline the audit process, objectives, and expected outcomes.
Communication During the Audit: Maintain clear and open communication with the client throughout the audit process.
Obtaining and Verifying Information: Collect relevant data and information and verify them for accuracy and compliance.
Identifying and Recording Audit Findings: Identify any non-conformities or areas for improvement and document these findings.
Preparing Audit Conclusions: Summarize the audit findings and prepare a draft report for review.
Closing Meeting: Hold a meeting to discuss the audit findings, potential non-conformities, and the next steps.
Audit Report: Prepare a comprehensive audit report detailing the findings, evidence, and conclusions.
Cause Analysis of Nonconformities: Analyze the root causes of any non-conformities identified during the audit.
Effectiveness of Corrections and Corrective Actions: Evaluate the effectiveness of any corrective actions taken in response to audit findings.
4. Certification Decision
General Considerations: Ensure that all certification decisions are made impartially and based on evidence gathered during the audit.
Actions Prior to Making a Decision: Review all audit findings and ensure all necessary steps have been taken before making a certification decision.
Information for Granting Initial Certification: Verify that all criteria for initial certification are met.
Information for Granting Recertification: Assess whether the organization continues to meet the requirements for maintaining its certification.
5. Maintaining Certification
General Guidelines: Outline the requirements for maintaining certification status.
Surveillance Activities: Conduct regular surveillance audits to ensure ongoing compliance.
Recertification: Periodically reassess the organization’s management system to determine eligibility for recertification.
Special Audits: Conduct special audits as needed, based on specific circumstances or non-conformities.
Suspending, Withdrawing, or Reducing the Scope of Certification: Outline the conditions and procedures for suspending, withdrawing, or reducing the scope of certification.