LEAD-AUDITOR · Question #347
Drag and Drop Question An organisation is looking for management system initial certification. Please identify the sequence of the activities to be undertaken by the organisation. To complete the…
The correct answer is Plan the audit programme; Conduct internal audits; Hold a Management Review; Complete corrective actions; Engage a Certification Body for stage 1 and stage 2 audits. Management System Initial Certification - Sequence Explained This question is based on the standard pre-certification readiness cycle required by ISO management system standards (ISO 9001, ISO 14001, ISO 45001, etc.) before engaging an external Certification Body (CB). --- The…
Question
Drag and Drop Question An organisation is looking for management system initial certification. Please identify the sequence of the activities to be undertaken by the organisation. To complete the sequence click on the blank section you want to complete so that it is highlighted in red, and then click on the applicable text from the options below. Alternatively, you may drag and drop the options to the appropriate blank section. Answer:
Exhibit
Answer Area
Drag items
Correct arrangement
- Plan the audit programme
- Conduct internal audits
- Hold a Management Review
- Complete corrective actions
- Engage a Certification Body for stage 1 and stage 2 audits
Explanation
Management System Initial Certification - Sequence Explained
This question is based on the standard pre-certification readiness cycle required by ISO management system standards (ISO 9001, ISO 14001, ISO 45001, etc.) before engaging an external Certification Body (CB).
The Correct Sequence & Why
1. Plan the audit programme
Planning comes first because everything downstream depends on it. ISO 19011 and the relevant management system standards (Clause 9.2) require a documented audit programme covering scope, frequency, methods, and responsibilities. Without a plan, internal audits are ad hoc and wouldn't satisfy a CB's evidence requirements.
2. Conduct internal audits
With the programme in place, internal audits are executed to check that the management system conforms to the standard's requirements and to the organisation's own policies. This is a mandatory input into the management review and a prerequisite for certification - the CB will ask for internal audit records as evidence the system is operational.
3. Hold a Management Review
Top management must review the system after audit results are available (Clause 9.3). Audit findings, nonconformities, and performance data are formal inputs to the management review. The review produces decisions and actions needed for improvement - so it must follow audits, not precede them.
4. Complete corrective actions
Nonconformities identified during internal audits and outputs from the management review must be addressed before going external. A CB will not recommend certification if open major nonconformities exist. Corrective actions close the loop on internal findings.
5. Engage a Certification Body for stage 1 and stage 2 audits
Only after internal readiness is demonstrated (audit programme, internal audits, management review, closed corrective actions) should the CB be engaged. Stage 1 is a readiness/documentation review; Stage 2 is the main on-site certification audit. Engaging the CB too early wastes money and risks failing Stage 1.
The Distractor: "Conduct supplier audits"
This item does not belong in the sequence. Supplier audits are part of supplier/contractor management (Clause 8.4) and are an ongoing operational activity - not a defined step in the certification preparation cycle. Including it is a common mistake made by candidates who confuse operational management activities with certification readiness milestones.
Common Misconceptions
| Mistake | Reality |
|---|---|
| Engage CB early to "get guidance" | CB engagement before internal readiness wastes resources and risks a failed Stage 1 |
| Management Review can precede internal audits | Audit results are a required input to the management review - the order cannot be reversed |
| Corrective actions are optional before CB | Open major nonconformities will block certification at Stage 2 |
| Supplier audits are part of certification prep sequence | They are an operational obligation, not a certification readiness step |
The underlying logic is simple: internal readiness first, external verification last.
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