QIC Guru

The stage 1 audit is primarily for scoping and planning an ISO 9001 certification audit (the stage 2 audit) and to allow the auditor to obtain an understanding of the organization. During the stage 1 audit the auditor will gain knowledge of organizations quality Management system, policies, objectives, risks, processes, locations, etc. It also may be used for the auditing body to communicate its needs and expectations to the auditee.

Activities performed at a stage 1 audit include:

 • Identification of the key risks of the business and related statutory, regulatory aspects and compliance

 • An assessment of whether the auditee’s defined processes are adequate to meet its objectives and customer requirements

 • performing a Documentation Review

 • This review should determine if the organization’s Quality Management system documentation adequately covers all the requirements of ISO 9001:2008. The review would normally be carried out at the auditee’s premises (unless otherwise requested and justified). As a result of this activity, a report should be provided that notes any deficient areas. As part of the documentation review, the auditor should assess the extent and availability of supporting procedures and process descriptions. Collecting necessary information regarding the scope of the organization’s management system, processes and location(s)

 • planning of the future certification documentation, including the Scope statement

 • Planning the certification (stage 2) audit, including the requirements for audit team selection

 • Acquiring evidence that internal audits and management reviews are being planned, or performed, effectively

 • Checking that the quality management system is implemented and ready for the stage 2 audit, including appropriate level of documents and supporting records.

 • If the system is deficient in any way, the auditor should note this in the audit report, so that the organization has an opportunity to correct deficiencies prior to its certification (stage 2) audit.

 • Agreeing to a date for the stage 2 audit