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.
Clause 9.4.1 states that “The certification body shall have a process for conducting on-site audits. This process shall include an opening meeting at the start of the audit and a closing meeting at the conclusion of the audit.”
Does this mean that the initial audit require only an Opening Meeting (meeting the requirements of 9.4.2) at the start of the stage I audit and a Closing Meeting (meeting the requirements of 9.4.7) at the end of the stage II audit (i.e. no Closing Meeting at end of stage I or Opening Meeting at the start of stage II)?
These would seem like a silly consequence as these audits have clear and distinct objectives, i.e. both need full Opening and Closing Meetings.
September 2016
Clause 9.4.2 of ISO/IEC 17021-1:2015 states that the purpose of the opening meeting is to ‘…..provide a short explanation of how the audit activities will be undertaken.’ Since the audit objectives and activities for stage one and stage two are different, the requirement of clause 9.4.2 can only be met if there is an opening meeting for each stage.
The requirement of clause 9.4.7 relate to a formal closing meeting which includes the recommendation regarding certification. A formal meeting complying with clause 9.4.7 is, therefore, not required at the end of stage one. However, clause 9.4.3.1 requires the audit team leader to ‘….periodically communicate the progress of the audit and any concerns to the client.’ Clause 9.3.1.2.2 requires that an objective of stage one is to ‘….undertake discussions with the client’s personnel to determine the preparedness for stage two.’ Whilst a formal closing meeting, in accordance with clause 9.4.7 is not required at the end of stage one, there is clearly a need for a meeting with the client, at the conclusion of stage one, in order that the certification body can meet the requirement for communication with the client and the objectives of stage one.