AUDIT GUIDE 02: Types of Audits and Stages of Audit

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Understanding the different types of audits in auditing basics helps organizations plan effectively, maintain compliance, and improve management system performance over time. From initial certification to ongoing surveillance and recertification, each audit type serves a specific purpose within the audit cycle and supports continual improvement and risk management.

What is being audited?

Different parts of the management system are audited at different times in the audit cycle.

Audits may comprise anything from a documentation only review (stage 1 initial audit), a full system audit (at certification or recertification), a partial audit (surveillance) or an audit of a specific element on a follow-up audit.

To understand the foundations behind these audits, refer to the core auditing principles.

Audit Stages

Initial Audit / Certification Audit Stage 1

(Desk Top Review for Adequacy / Stage 1)

This is what we say we do, does the management system comply with the standard?
This audit is not limited to document review, it can be conducted on-site.
Sample size for effectiveness check is generally small.
Purpose of this stage is to confirm that the Management System is ready for Stage 2 audit.

Initial Audit / Certification Audit

(Stage 2)

Confirms implementation are we doing what we say we do?
Purpose is to confirm that the Management System can be recommended for Initial Certification

Surveillance Audit

On-going confirmation.
Frequency depends on the type of management system being audited and may be four, six, nine or 12 months.

Follow up Audit

To confirm corrections have been made and corrective actions have been taken.
The completion and effectiveness of these actions should be verified.
This verification may be part of a subsequent audit.

Recertification Audit

A full system audit conducted after a period of 3 years of certification.
It is carried out normally in one stage.
If there are major changes to the management system, this may be done in two stages.

Additional Audit Information

Pre-Certification audits

Pre-Certification audits are not a part of Initial Certification and findings of Pre-Certification are not followed up in Stage 1 audit.
In Stage 1 audit, we take a fresh look at the management system.
Also, there are restrictions on how many Pre-Certification audits can be carried out before an Initial Certification audit.
Usually this is restricted to two such audits.

Certification Contracts

Certification contract is normally for an initial period of three years and is renewed every three years.
Initial Certification cycle is the first cycle of three years.

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Who is auditing?

Internal Audits First party audits An audit performed by, or on behalf of, the organization itself on its own management system, business processes, functions and operations. Many internal audits form the basis of self declaration of conformity. In small organization's, independence can be demonstrated by the freedom from responsibility for the activity being audited, or freedom from bias and conflict of interest.
External Audits Second and Third Party Audits
Second party audits An audit performed by parties having an interest in the organization such as where there is a potential supplier relationship, a joint venture partnership or to assess the continuing suitability and effectiveness of a management system in a contractual relationship.
Third party audits An audit performed by a body independent from the organization being audited, its supplier's subcontractors and clients. The third party would have no commercial interests in the results of the audit. Such organizations are regulators or provide certification or registration of conformity with requirements such as those of ISO 9001 and ISO 14001
Combined audits When two or more management systems of different disciplines (e.g. quality, environmental, occupational health and safety) are audited together, this is termed a combined audit.
Joint audits When two or more auditing organizations cooperate to audit a single auditee, this is termed a joint audit. A joint audit may also be conducted for several standards, i.e., may include a Combined Audit.

Conclusion

Different types of audits serve different purposes, but together they form a structured approach to evaluating management systems and ensuring continual improvement. By understanding audit stages and responsibilities, organizations can better prepare for audits, maintain compliance, and strengthen overall system effectiveness.

Popularcert provides independent auditing services across various management system standards.

We support organizations through each stage of the audit cycle, from initial certification to ongoing surveillance and recertification. Contact Popularcert to learn more about our audit services.

FAQ

What are the main types of audits in a management system?

The main types include initial audits, surveillance audits, follow-up audits, and recertification audits.

What is the difference between Stage 1 and Stage 2 audits?

Stage 1 reviews system readiness and documentation, while Stage 2 confirms implementation and effectiveness.

How often are surveillance audits conducted?

Surveillance audits are typically conducted every four, six, nine, or twelve months, depending on the system.

Who can perform audits?

Audits can be performed internally by trained staff or externally by independent second or third party auditors.

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