What is a certification audit?

A certification audit is a review of the implementation of a quality management system in accordance with the DIN EN ISO 9001 standard, which means that companies wishing to obtain ISO certification must meet all the requirements set out in the ISO 9001 standard and can also prove to stakeholders such as suppliers and customers that they have successfully implemented an internationally recognized quality management system in their operations.

The certification steps are divided into an initial certification audit in the 1st year, a surveillance audit in the 2nd and 3rd year and a recertification audit in the 4th year. All further audit cycles always start with a recertification audit, followed by two surveillance audits.

Initial certification audit level 1:

The initial certification is usually divided into two stages. In the first stage, an assessment is made of the current situation and the extent to which the standards have been applied and implemented in the company and whether the company can be approved for certification. The following points are taken into account:

• Check documentation in the management system (completeness, approval, formal criteria)
• Determine readiness for certification through surveys and site-specific conditions
• Assess the client’s status and understanding of the standard requirements with a particular focus on identifying core services
• Gather all necessary information on the scope of application of the management system, the customer’s processes and sites, binding commitments and quality, environmental, energy and occupational safety packages,
• Resource planning for the stage 2 audit and coordination of the procedure with customers
• Create focus for Audit 2 and gain sufficient understanding of the client’s management system and details of site activities
• Assess whether internal audits and management reviews are planned and carried out and demonstrate the level of implementation of the management system and evaluate whether the client is ready for stage 2

Initial certification audit level 2:

The results from stage 1 are compiled in an audit plan and agreed with the customer.

As part of the audit in the company, the effectiveness of the management systems introduced is checked and evaluated by auditors. The aim of this phase is to compare the practical application of the system with the documented procedure and to assess compliance with the standards. This is largely carried out by interviewing employees, inspecting documents, records, orders, guidelines and inspecting relevant areas of the company.

After the audit, all positive and negative experiences are discussed in a final meeting with all participants and auditors. This is documented in the audit report and other records such as the audit questionnaire and handwritten notes are added.

Certification is granted by the certification body when non-conformities have been rectified or corrective measures have been verified by the audit team.

 

 

 

Further useful information

How to carry out mobile and efficient audits with Testify.

https://www.testify.io/anwendungsfaelle/audit-software/

Relevant blog post

https://www.testify.io/remote-audits-leitfaden/