Audit Procedure
Management System Certification Audits
Applicable Standard: ISO/IEC 17021-1:2015
Applicable To: ABSQ BENCHMARK Management System Certification Activities

1. Purpose
To define the process for planning, conducting, reporting, and closing all types of management system certification audits in a consistent, impartial, and competent manner.

2. Scope
This procedure applies to:

Initial certification audits (Stage 1 & Stage 2)
Surveillance audits
Renewal / Recertification audits
Follow-up audits
Transfer of certification audits
Special audits (extension of scope, complaints)

3. References
ISO/IEC 17021-1:2015 Clauses 7.2, 7.3, 9.1–9.6
IAF Mandatory Documents (MD 1, MD 2, MD 5, MD 11 as applicable)
ABSQ BENCHMARK Management System Procedures

4. Responsibilities
General Manager

Approves audit programs, audit teams, and audit types
Ensures auditor competence and impartiality
Audit Team Leader

Plans and leads audits
Ensures audit objectives are met
Prepares audit reports
Auditors / Technical Experts

Conduct audit activities within assigned scope
Certified / Applicant Organization

Provides access to personnel, sites, and records

5. Audit Process

5.1 Audit Program Management
(ISO/IEC 17021-1:2015 Clause 9.1)

An audit program shall be established for each client for the full certification cycle.
The audit program shall define:

Audit type and frequency
Audit duration and scope
Sites and processes to be audited

5.2 Audit Team Selection
(Clause 7.2)

Audit teams shall be selected based on:

Technical competence
Sector experience
Impartiality and conflict-of-interest checks
Auditors shall not audit organizations where conflicts exist.

5.3 Audit Planning
(Clause 9.2)

An audit plan shall be prepared and communicated to the client.
The audit plan shall include:

Audit objectives, scope, and criteria
Audit dates and locations
Audit team members

6. Audit Types and Requirements

6.1 Initial Certification Audit
(Clauses 9.3.1 & 9.3.2)

Stage 1 Audit
Reviews management system documentation
Assesses readiness for Stage 2
Identifies areas of concern
Stage 2 Audit
Evaluates implementation and effectiveness
Collects objective evidence
Identifies nonconformities

6.2 Surveillance Audit
(Clause 9.6.2)

Conducted at least annually during the certification cycle
Confirms continued conformity and effectiveness
Covers critical processes and previous nonconformities
Includes review of:

Internal audits
Management reviews
Complaints and changes

6.3 Renewal / Recertification Audit
(Clause 9.6.3)

Conducted before certificate expiry
Evaluates:

Overall effectiveness of the management system
Performance over the full certification cycle
Includes on-site audit activities
May include Stage 1-type activities if significant changes occurred

6.4 Follow-Up Audit
(Clause 9.4.10)

Conducted to verify:

Closure of major nonconformities
Effectiveness of corrective actions
Scope limited to identified issues
May be on-site or remote, as appropriate

6.5 Transfer of Certification Audit
(IAF MD 2 & ISO/IEC 17021-1:2015 Clause 9.6.1)

Applies when a certified organization transfers from another CB, 
Transfer review shall include:

Stage 1 and stage 2 will be required, and the transfer audit will be treated as "Initial Audit" 

6.6 Special Audits
(Clause 9.6.4)

Special audits may be conducted for:

Extension of certification scope
Investigation of complaints
Significant changes affecting the management system

7. Audit Findings and Nonconformities
(Clause 9.4.5)

Findings shall be classified as:

Conformity
Minor nonconformity
Major nonconformity
All nonconformities shall be supported by objective evidence.

8. Closing Meeting and Reporting
8.1 Closing Meeting
(Clause 9.4.6)

Findings and conclusions are presented
Nonconformity timelines explained
8.2 Audit Report
(Clause 9.4.8)

Audit reports issued to the client
Includes audit conclusions and recommendations

9. Corrective Actions and Verification
(Clause 9.4.9)

Clients submit corrective action plans
Effectiveness verified prior to certification decision

10. Audit Closure
Audit records finalized
Submitted for:

Audit review
Certification decision
Auditors shall not participate in review or decision activities.

11. Records
Audit plans
Audit reports
Nonconformity records
Follow-up and transfer review records

12. Impartiality Control
Impartiality risks identified and managed
Conflicts documented and resolved

13. Key Control Statement
All audit activities are conducted independently from audit review and certification decision processes in compliance with ISO/IEC 17021-1:2015.