1. Application and Contract Review
Application Submission
Your organization submits an application to a chosen AQA, providing details about your management system, scope, and specific ISO standard(s) you aim to be certified against.
Contract Review
AQA reviews the application and provides a proposal or contract outlining the audit process, costs, and terms.
2. Audit Planning
Audit Team Selection
AQA assigns a team of qualified auditors with expertise relevant to your industry and the specific ISO standard.
Audit Plan Development
The lead auditor prepares an audit plan, detailing the audit schedule, areas to be audited, and key personnel to be involved. This plan is shared with your organization in advance.
3. Stage 1 Audit (Documentation Review)
Purpose
The Stage 1 audit, also known as the preliminary audit, aims to review your documented management system to ensure it meets the ISO standard requirements.
Activities
- Review of key documents such as the Quality Manual, policies, procedures, and records.
- Assessment of your organization's preparedness for the Stage 2 audit.
- Identification of any major gaps or non-conformities that need to be addressed.
Outcome
The audit team provides a report highlighting areas of concern and recommendations for improvement. If significant issues are found, the Stage 2 audit may be postponed until they are resolved.
4. Stage 2 Audit (On-Site Audit)
Purpose
The Stage 2 audit is a comprehensive on-site evaluation to verify the effective implementation and compliance of your management system with the ISO standard.
Activities
Opening Meeting : The audit team meets with your management to explain the audit objectives, scope, and methodology.
On-Site Evaluation : Auditors assess processes, interview employees, observe operations, and review records to verify compliance..
Sampling : Auditors use sampling methods to review selected areas and processes within the scope of the certification..
Non-Conformities : Any non-conformities or areas of non-compliance identified are documented and categorized (e.g., major or minor non-conformities)..
Closing Meeting : The audit team presents their findings, including any non-conformities, observations, and opportunities for improvement.
5. Audit Report and Corrective Actions
Audit Report
The lead auditor compiles a detailed audit report, summarizing the findings, non-conformities, and overall compliance status.
Corrective Actions
If non-conformities are identified, your organization must develop and implement corrective actions to address them. This includes root cause analysis, corrective action plans, and evidence of implementation.
Submission to Certification Body
The corrective actions and supporting evidence are submitted to the certification body for review.
6. Certification Decision
Review by AQA
AQA reviews the audit report and the effectiveness of the corrective actions taken.
Certification Decision
Based on the review, AQA makes a decision to grant or deny certification. If successful, an ISO certificate is issued, indicating that your organization meets the ISO standard requirements.
7. Surveillance Audits
Purpose
Surveillance audits are periodic audits conducted by the certification body (typically annually) to ensure ongoing compliance with the ISO standard.
Activities
- Review of selected processes and areas.
- Verification of the continued effectiveness of the management system.
- Assessment of any changes or improvements made since the previous audit.
8. Recertification Audit
Purpose
A recertification audit is conducted at the end of the certification cycle (usually every three years) to renew the ISO certification.
Activities
Similar to the initial certification audit, it involves a thorough review of the entire management system to ensure sustained comp