AUDIT OBJECTIVES:

STAGE 1 AUDIT OBJECTIVES

  1. The objectives of a Stage 1 audit against the 2015 edition of both Standards are to:
  2. Assess the organization’s determination of its context in relation to its own unique circumstances and assess the organization’s identification of External and Interested Parties and evaluate the completeness and appropriateness of this as well as assessing the expected effectiveness of approaches within the organization to monitor and review information in the future that is relevant to this.
  3. Assess the organization’s identification of the Needs and Expectations arising from the identified External and Internal Parties and evaluate the completeness and appropriateness of this as well as assessing the expected effectiveness of approaches within the organization to monitor and review information in the future that is relevant to this.
  4. Assess the organization’s documented determination of the scope and boundaries of the Management System and evaluate whether this is appropriate to the identified and declared activities in terms of both the applied for scope of certification and the organization’s determination of its context.
  5. Assess the organization’s identification of the Risks and Opportunities arising from the determination of the context of the organization, its identification of External and Internal Interested Parties and the Needs and Expectations of those Interested Parties and evaluate the appropriateness and completeness of this.
  6. Assess the organization’s planning of the Management System to ensure that it addresses the Risks and Opportunities identified and evaluate the completeness of this.
  7. Assess the extent of implementation of the Management System – to include at least the performance of Internal Audit of the Management System and a Management Review – and the extent of relevant and required knowledge of the Management System requirements throughout the organization, client site and site-specific conditions in order to be able to evaluate the readiness of the organization for the required Stage 2 audit.

 

STAGE 2 AUDIT, RE-AUDITS AND TRANSFER RE-AUDITS OBJECTIVES

The objectives of a Stage 2 audit against the 2015 edition of both Standards are to:

  1. Ensure that any Findings raised during the Stage 1 audit have been satisfactorily addressed by the organization thus ensuring adequacy with the relevant requirements of the Standard involved.
  2. Assess the extend and effectiveness of the Management’s demonstration of Leadership in respect of the Management System’s integration into normal business activities and the importance of conformance to the requirements of the Management System throughout the organization.
  3. Assess the extent and effectiveness of implementation of the Management System in all areas, activities, functions of the organization as defined within the documented scope of the organization and as identified within the applied for scope of certification.
  4. Assess the appropriateness of defined Objectives and the apparent adequacy of the documented plans for how such Objectives shall be achieved.
  5. Assess the processes of the Management System that are intended to ensure that continual review and improvement of the Management System itself and evaluate the extent to which these can be expected to be effective in the future.
  6. Assess the overall level of conformance of the Management System to the requirements of the relevant Standard.
  7. Performance as regards legal compliance, operational control of processes, policies; links between the normative requirements, policy, performance objectives and targets, any applicable legal requirements, responsibilities, competence of personnel, operations, procedures, performance data and internal audit findings and conclusions.

 

SURVEILLANCE AUDIT OBJECTIVES

The objectives of an annual Surveillance (whether the Surveillance be a single visit or 2 visits at 6 monthly intervals) against the 2015 edition of both Standards are to:

  1. Gain confidence that your certified management system has continued to fulfil requirements between recertification audits
  2. Ensure that any findings raised during the previous audit have been satisfactorily addressed by the organization thus ensuring adequacy with the relevant requirements of the Standard involved, evaluate your treatment of complaints.
  3. Assesse performance of legal compliance; review progress of planned activities aimed at continual improvement; ensure continuing operational control; review of any changes since the last visit and ensure that AJA Bangladesh and Accreditation Body marks are being used in conformance with AJA Bangladesh Ltd’s Guide to the Use of Accreditation and Certification Marks.
  4. Assess the organization’s implementation of previously determined processes or approaches to periodically review the factors that are involved in the context of the organization and the Needs and Expectations of External and Interested Parties.
  5. Assess the organization’s implementation of change to the Management System seen as necessary as a result of any changes identified in the context of the organization and the Needs and Expectations of External and Interested Parties.
  6. Assess the organization’s implementation of Internal Audit and Management Review activities and the implementation of change arising from any identified needs for improvement of the Management System as a result of those activities.
  7. Assess the organization’s implementation, monitoring and realization of documented Objectives and associated plans and the establishment of further Objectives that are relevant to the organization’s context and performance levels.
  8. Assess the extent and effectiveness of implementation of the Management System of a representative sample of all areas, activities, functions of the organization as defined within the documented scope of the organization and as identified within the applied for scope of certification. The representative sample shall ensure that all areas, activities, functions of the organization shall be assessed at least 1 time over the surveillance routines within the period of validity of the certification.

TRANSFER AUDITS OBJECTIVES

The objective of a transfer audit is to:

  1. Gain confidence that your certified management system has continued to fulfil requirements between recertification audits.
  2. Ensure internal audits and management review have been performed to programme; review actions taken on nonconformities identified during the previous audit; evaluate your treatment of complaints;
  3. Assess the organization’s identification of External and Interested Parties and Needs and Expectations arising from the identified External and Internal Parties
  4. Assess the organization’s identification of the Risks and Opportunities arising from the determination of the context of the organization
  5. Evaluate the continued effectiveness of the management system regard to achieving your objectives; ensure continuing operational control.