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Types of Audits and What to Expect

Anita Adiraj

Anita Adiraj

Last updated 22/07/2021

Types of Audits and What to Expect

Hoping to get certified in ISO 9001? Not certain what's in store from the procedure, and from ISO Audits? It's a smart thought to get yourself and your association prepared for what's in store from an examiner, what is required from you, and what will occur at each phase of the accreditation procedure to have a smooth and calm understanding. In this article, we will quickly clarify the various sorts of reviews an association can hope to experience when looking for their first affirmation to ISO 9001 and ensuing review cycles once you are guaranteed. 

On the off chance that you have never been ensured to ISO 9001, you ought to expect a lengthy, difficult experience in front of you. The initial step to affirmation is usage. This should be possible inhouse with your own kin, or with an advisor. Study how to actualize ISO 9001 and what's in store [LINK]. It might take your association a couple of months to completely actualize your Quality Management System and have it compelling and prepared for an accreditation review. While the standard is conventional and succinct, it very well may be very overpowering, so guarantee you are posing inquiries and connecting with experts at each progression.

One specific requirement of the standard is Internal Audits, which is the act of evaluating your own processes internally and recording evidence to report to your management, company and certification auditors.

Internal Audit:

Internal audits are self-assessment done by the organization itself at any rate once per schedule year. They are performed nearby and are valuable in deciding congruity, viability, and open doors for development. By experiencing internal audits your association will have the option to contrast your quality administration framework with the required standard(s) and get ready for the confirmation review. There are no "stakes" with an internal audit, they are finished to meet a necessity of the norm and fill in as a learning open door for your association. It is during this procedure that you need to discover as much as possible so you recognize what your accreditation auditor will see thus that you can be set up with approaches to improve. Your accreditation auditor , or external auditor, holds much more force it might be said in light of the fact that this is the individual who is a delegate of your confirmation body and will decide whether you accomplish external audit to ISO 9001.

External Audit:

An external audit is performed by an outsider reviewer related with your employed Certification Body. The external auditor will lead a confirmation review or observation review in any event once during each schedule year to decide whether your association ought to be prescribed for ISO accreditation or keep on holding your present endorsement. An external auditor must perform reviews dependent on a lot of rules from their own ISO Standard for inspecting best practices and should acquire severe capabilities set by the affirmation bodies. Auditors should likewise be chosen by an affirmation body with thought to the association's business, the auditor's comprehension of their industry and the particular business codes the auditor must hold to direct the audit. 

An external audit scope may incorporate any number of procedures, and the extension will be nitty-gritty to you early in an audit plan so you and your kin can be arranged and present. In the 3-year pattern of accreditation, each procedure must be reviewed during the underlying confirmation or recertification audit and at any rate once per the 2-year observation cycle to assess adequacy.

Let’s go deeper into the different audits involved in obtaining and maintaining an ISO Certification:

Certification Audit:

A certification audit is conducted once every 3 years to verify the effectiveness of the whole QMS against the ISO 9001 standard. A third-party certification audit is conducted by an IAF-MLA signatory member Certification Body accredited to ISO 17021 – the standard for Management Systems Certification Bodies. The certification audit is broken down into 2 stages, a stage 1 audit and a stage 2 audit:


Certification audits consist of two stages

STAGE ONE audit is utilized to decide whether your organization is prepared for stage two. A confirmation body will detail the base necessities your association must meet to guarantee you're prepared for a phase 2 audit, experiencing your documentation and contrasting it with the prerequisites of the norm to survey consistency and availability for an audit. It is ideal to be certain your association is prepared on the grounds that, during a phase 2 audit, your accreditation body can raise non-congruities and different issues with your framework that may require the examiner to come back to review your framework, bringing about extra expenses. 


STAGE TWO is an onsite audit where an external auditor will survey your records, your procedures, meet your representatives, and audit your tasks to decide consistent with the ISO 9001 norm. Your Certification Body will present an audit preparation of the appearance of your inspector to permit you to set up your records, plan the accessibility of pertinent representatives, and take into consideration any fundamental arrangements. In the event that your association has more than one move, the audit will be arranged likewise to test as much proof from each move varying to demonstrate consistency. During the audit, you can expect the auditor or audit group (contingent upon the size of your association) to hold an initial gathering which will detail their audit plan and calendar, after which the audit will start. The degree and time span of the audit are directed by ISO 17021. Affirmation Bodies can't change the number of days the audit should be nearby, that is a foreordained rule which depends on the number of workers at your association and the degree of hazard related to your QMS. Be forthright about what number of workers you have, full-time, low maintenance, and agreement representatives. In the event that this number changes, educate your confirmation body as this may change your audit plan.


Surveillance Audits:

In the 3-year pattern of an ISO Certificate, you will get 2 surveillance audits, when each schedule year after your certification audit the principal year of your cycle. When you get your ISO accreditation, the following 2 years will incorporate littler surveillance audits, with the auditor just inspecting select procedures and offices. The length and span of these audits are again directed by ISO 17021. Between the hour of your accreditation review and your observation review, you should guarantee you are proceeding to meet the prerequisites of ISO 9001, for instance holding internal audits, management review meetings, and so forth inside the time periods directed by the norm. You will likewise need to keep maintaining the interior prerequisites your association has archived as a component of your QMS, i.e., recruiting forms, execution audits, and so on. The inability to meet the prerequisites of your own framework or the standard will result in non-conformances being raised during your external audits.



As mentioned in this article, failure to meet the requirements of ISO 9001 will result in a non-conformity which must be addressed and resolved via corrective action within a certain timeframe before your organization can be granted certification. The timeframe given for resolution is dependent on the severity of the non-conformance. Non-conformances can be Major, Minor, or an Opportunity for Improvement.


The way to Certification for ISO 9001 can appear to be long and overwhelming, however the result is well justified, despite all the trouble. Setting your business up for long haul accomplishment by using ISO 9001 and the world's driving quality administration framework to adequately and proficiently maintain your business is simply acceptable business. Guaranteeing your association has rules and procedures set up that guarantee you produce precisely what you state you will bode well. Hosting a third-gathering come in to check this once a year considers you and your staff responsible to your guidelines and procedures just as the norm. Holding a licensed ISO 9001 authentication is outward verification to your clients that you hold their qualities and trusts in the nature of your items and administrations to the best quality, the ISO Standard. Being ISO 9001 guaranteed demonstrates to your clients, your providers and your partners that you care about the quality and consistency of your work above whatever else, and you care about the life span of your strategic policies. It might appear as though a lengthy, difficult experience when you initially set out on it, yet the hardest advance is consistently the initial step. When you have made energy and development inside your association of value first, your association will see the prizes that affirmation brings.

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About Author

She is the most experienced person in our writer?s forum. Her write-ups about IT Service Management have been the favorite ones of our readers in the past years. Amruta has worked closely with a lot of big farms and showed them how to utilize the ITIL framework to an organization?s supply chain management fruitfully. Her work areas mainly include ITIL Consulting & Implementation, GAP Analysis, ISO Audits, Process/Service Improvement Using Lean Six Sigma, Process Definition, Implementation & Compliance, Process Hygiene (ISO 20000), Quality Assurance & Program Governance.



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