Some of the wording of the standard ISO/IEC 17021-1, related to stage I and stage II, having to be considered as one audit, conducted in two stages (9.3.1.1) cause some interpretation problems.
In 9.3.1.2.3, it is stated in a NOTE that “The stage I output does not need to meet the full requirements of a report (see 9.4.8). “
We do consider that the report of the “initial audit” in its totality (i.e. the full report prepared after conclusion of stage II), does need to comply with the requirements of 9.4.8. This means that it shall also include or refer to the “k) audit findings (see 9.4.5), reference to evidence and conclusions, consistent with the requirements of the type of audit” (i.e. findings, evidence and conclusions consistent with the requirements of stage I and stage II). So although the stage I findings don’t have to be reported immediately after the stage I in a report complying with all requirements of 9.4.8 (since then only “Documented conclusions with regard to fulfilment of the stage I objectives and the readiness for stage II shall be communicated to the client, including identification of any areas of concern that could be classified as a nonconformity during stage 2.” have to be reported), the stage I findings (positive and negative) should find their way into the overall “initial audit” report after stage II.
Please confirm that the above position, i.e. the report (whether consisting from several documents or not) in its totality shall comply with all requirements of 9.4.8 for both stage I and stage II audits.
September 2016
In 9.3.1.2.3, it is stated that “Documented conclusions with regard to fulfilment of the stage 1 objectives and the readiness for stage II shall be communicated to the client, including identification of any areas of concern that could be classified as a nonconformity during stage II.”
Actually “Documented conclusions” refers to “Stage I Audit Report” that does not need to meet the full requirements of a report as given in 9.4.8. That means not all items of audit report given in 9.4.8 are covered.
This report or “documented conclusions” shall be communicated before stage II. Since the standard is not saying “immediately communicated”, it can be communicated immediately or later stage I. However, it shall be communicated before stage II.
According to related requirements of the standard, the CB can prepare one “Initial Audit Report” consisting of two separate parts (e.g. Stage I and Stage II) or prepare two seperate audit reports; “Stage I report” and “Stage II report”. In the second case, most of requirements of 9.4.8 should be covered including sub-item “k)” “audit findings” since there is no need to report the conclusions of Stage I as “nonconformity”, just “identification of any areas of concern that could be classified as a nonconformity during Stage II” is enough.
Since the stage I “documented conclusions” shall be communicated in any format with the client of CB and these have to be based on findings (positive and negative), these (stage I findings) should find their way into the overall “initial audit” report after stage II provided that the conclusions are communicated with the client after or at the end of Stage I, and before Stage II.