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Stage 1 audit observations - documented report?

Q

qcstar

#1
Hello

Recently one of our company completed stage 1 audit for ISO 9001:2015. We got the communication from the CB that the status is findings are low risk and recommended our company for Stage 2.

Just wanted to check with the forum here whether certification body shares any formal findings report of Stage 1 or not.

Thanks
 
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Mark Meer

Trusted Information Resource
#2
Not sure I understand the question...

If you mean will the observations be publicly available, this would be CB's policy, but generally speaking, no they don't do that - findings are typically kept confidential. Confirm with your CB.

If you mean are they shared between stage 1 and stage 2, then yes, the findings from previous audits are available to subsequent auditors. This way auditors can hone in on problem areas, and check how your system has dealt with previous observations.
 

Marc

Hunkered Down for the Duration with a Mask on...
Staff member
Admin
#3
<snip> Just wanted to check with the forum here whether certification body shares any formal findings report of Stage 1 or not. <snip>
They should share all details with you.
 
Q

qcstar

#4
What I meant was the CB didnt share any observation report with us. All they shared was the report which mentioned that the outcome of stage 1 audit had low risk findings and can be recommended for stage 2.

I thought the CB would share the detailed findings report of stage 1 audit.
 

Marc

Hunkered Down for the Duration with a Mask on...
Staff member
Admin
#5
I would not accept a registrar doing a stage 1 audit and not fully discussing every aspect of it with me. I would not pay the registrar, I would fire them (cancel the contract) and I would find a different registrar.
 

Sidney Vianna

Post Responsibly
Staff member
Admin
#6
What I meant was the CB didnt share any observation report with us. All they shared was the report which mentioned that the outcome of stage 1 audit had low risk findings and can be recommended for stage 2.

I thought the CB would share the detailed findings report of stage 1 audit.
Properly accredited CB's have to follow the requirements of ISO 17021-1:2015 and section 9.3.1.2.3 of that document stipulates:
Documented conclusions with regard to fulfillment of the stage 1 objectives and the readiness for stage 2 shall be communicated to the client, including identification of any areas of concern that could be classified as a nonconformity during stage 2.
Note The stage 1 output does not need to meet the full requirements of a report.


Very likely, your CB auditor is "too busy" (or lazy) to document his/her conclusions and forward them to you, as required by ISO 17021-1. As Marc suggested, you, as the registrant-customer have rights. Exercise them.
 
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