Stage 1 audit report

According to standard :
ISO 9001 :2015

ABC Company
911, Anystreet
ANYTOWN

Stage 1 audit report template – Exercise 2.2 – Version 2016-12 – Dec 2016
IRCA QMS Auditor/Lead Auditor Course - Copyright TÜV Rheinland Academy
 Résumé de l’évaluation

Certificate number : Not yet known

Client representative : Mr. Steve CARR

Audit type : Initial certification Stage 1

Audit date :

Audit team :
Audit team leader :

Auditor(s) :

Expert(s) : -

Scope of certification : scopeLocal

Exclusion (if yes, details and

justification):

Stage 1 audit report template – Exercise 2.2 – Version 12-2018 – December 2018
PR 328 IRCA QMS ISO 9001:2015 Lead Auditor Course - Copyright TÜV Rheinland Academy Page 2 / 6
 Method and scope of the audit

During the audit, processes’ implementation has been verified based on significant and representative
samples. This applies in particular to the compliance of workflows with standard requirements and the
descriptions in management system documentation. This was done by means of sampling approach,
by conducting interviews and reviewing the appropriate documentation.
All information gained during the audit will be treated with strict confidentiality by the auditor and the
certification body.

Pre-requisite for certification

Aims and objectives of the certifcation

Documentation of the management system meets the requirements. The

scope is clearly defined. Documentation management system was checked Yes No
during the audit.
The scope of certification covers the entire organization. Yes No
The audit team is qualified for the activity of the company. Yes No
The scope of certification matches the company’s activities. Yes No
The management system is appropriated for policy and business goals’
Yes No
achievement.
A process for the identification and compliance with legal and regulatory
Yes No
requirements exists.
The responsibilities and authorities are defined and documented. Yes No
Internal audits were done or performed in accordance with the requirements. Yes No
The management review was done in accordance with the requirements. Yes No
The details of the organization, type, size, number of employees, structure and
purpose of the organization, collected during the audit phase 1 is consistent Yes No
with prior information presented by the company.
This is a group certification with sampling sites. Yes No
Sampling can be done in Phase 2 of the audit as previously defined.
Yes No
(only if applicable)

Stage 1 audit report template – Exercise 2.2 – Version 12-2018 – December 2018
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 Basic requirements for ISO 9001 :2015

The organization determined external and internal issues. Yes No

There is a process to monitor and review these issues. Yes No
External and internal interested parties are identified. Yes No
Requirements of each interested party are identified. Yes No
There is a process to monitor and review interested parties as well as their requirements. Yes No
Scope of the quality management system is determined and is available as documented
Yes No
information.
Scope of quality management system include products and services provided as well as
Yes No
the sites included in the scope.
Potential exclusion of non-applicable requirements are justified and available as
Yes No
documented information.
The exclusions don’t affect the organization’s ability or responsibility to ensure the
Yes No
conformity of its products and services and the enhancement of customer satisfaction.
Processes are determined and this includes:
• Inputs Yes No
• Outputs Yes No
• Sequence and interactions Yes No
• Criteria and methods needed to ensure the effective operation and control of
Yes No
these processes
• Criteria and methods for monitoring and measurment Yes No
• Performance indicators Yes No
• Determination of resources Yes No
• Availability of resources Yes No
• Responsibilities and authorities for each process Yes No
• Risks and opportunities are identified and managed for each process Yes No
• There is a process to evaluate and improve the processes Yes No
• Necessary documented information (documents and records) are available and
Yes No
up-to-date.
The organization has identified processes, activities, products, services provided by
Yes No
external providers
• Externally provided processes, activities, products, services are the following::

Stage 1 audit report template – Exercise 2.2 – Version 12-2018 – December 2018
PR 328 IRCA QMS ISO 9001:2015 Lead Auditor Course - Copyright TÜV Rheinland Academy Page 4 / 6
 Quality policy is available as documented information Yes No
Quality objectives are available as documented information and deployed to appropriate
Yes No
functions, levels and processes.

Implementation of quality management system

Following the audit of the quality management system review and implementation, the findings
listed below have been made:
Standard
N° Findings Eval. (1)
article
1
2
3
4
5
6
7

9
10
(1) Évaluation : 1 = satisfactory ; 2 = Opportunity for improvement ; 3 = would likely lead to non-compliance in Phase 2 ;
4 = Unsatisfactory (corrective action to be implemented before audit Phase 2).

Warning :
Evaluation 3 : Corrections must be done and will be verified during audit Phase 2.
Rating 4: The corrective actions must be documented, implemented and communicated to the lead auditor before audit
Phase 2.

Particularity(ies) for Stage 2 audit

There are no special features to take into account for the implementation of audit stage 2.
List of important information for audit stage 2
Stage 2 of the audit is performed immediately after stage 1.

Stage 1 audit report template – Exercise 2.2 – Version 12-2018 – December 2018
PR 328 IRCA QMS ISO 9001:2015 Lead Auditor Course - Copyright TÜV Rheinland Academy Page 5 / 6
 Audit Team’s recommendation

Audit Stage 1 results were presented to the organization.

Audit objectives were achieved concerning the scope defined in the audit planning.
In view of the sampling approach applied to the audit, weaknesses and nonconformities
may still exist which have not been identified during the audit.
The findings of the audit team do not remove the company’s responsibility to comply with
the standard requirements.
The ownership of this audit report remains at TÜV Rheinland France. It is not permitted to
communicate this report (partially or totally) without prior and written permission of the
certification body.

We inform you that guide for treatment of appeals and complaints is available on our
website.

Audit team’s conclusion

Stage 2 of the certification audit can be performed in accordance with planned

arrangements.

Phase 2 of the audit will be scheduled after corrections of unsatisfying statements.

Date Audit team leader Signature

Stage 1 audit report template – Exercise 2.2 – Version 12-2018 – December 2018
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