International Accreditation Service, Inc.
3060 Saturn Street, Suite 100
Brea, CA 92821 USA
t: 562.364.8201
www.iasonline.org

IAS ACCREDITED INSPECTION AGENCIES: GUIDELINES FOR CONDUCTING
INTERNAL AUDITS AND MANAGEMENT REVIEWS
Revised January, 2016
IAS has found that inspection agency personnel are often confused by the requirements in
ISO/IEC Standard 17020 (Conformity assessment – Requirements for the operation of various
types of bodies performing inspection) that they conduct “audits” and “management reviews” oftheir operations and quality system (see Sections 8.5 and 8.6 of ISO/IEC Standard 17020).
Frequently, inspection agency personnel assume that if someone in authority is checking
regularly on the work the inspection agency performs, then they are doing “audits,” and if
someone in management is periodically reviewing the inspection agency’s overall
performance, then they are doing “management review.” Unfortunately, such informal checks
on work and performance will not satisfy accreditation requirements of IAS or any other
legitimate accreditation body. Presented below are guidelines to help you meet therequirements for audits and management reviews.
AUDITS (OFTEN CALLED “INTERNAL AUDITS”)
An “internal audit” is a formal activity that must be performed in accordance with a documented
procedure and on a regular schedule. One inspection agency may choose to conduct an auditof its entire management system once a year, while a different inspection agency may choose
to conduct a complete audit every six months. Yet a third inspection agency may choose toaudit small parts of its system every month, with the intention that every part will be covered atleast once a year. Generally, as a minimal requirement, you must audit every part of yourmanagement system at least once every twelve months. In addition to these guidelines, ISO
19011 provides guidelines for conducting internal audits.
During a management system audit you look at the way your inspection agency actuallyoperates, and you compare this to the inspection agency operations as described in yourmanagement system or other relevant management system documentation. The systemdescribed in the documents, and the system as it operates in the real world, must be inaccordance. For example: Suppose your management system says that all instructions,standards or written procedures, worksheets, checklists and reference data relevant to thework of the inspection agency are to be maintained up-to-date and are to be readily available
to the inspection agency’s staff. (This is required by Section 7.1.4 of Standard 17020.) During
the internal audit, you would check to see that such documents are actually being maintained
up-to-date and that they are available to the appropriate staff. If they are not, then the audit
has detected a problem that must be remedied.

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International Accreditation Service, Inc.
3060 Saturn Street, Suite 100
Brea, CA 92821 USA
t: 562.364.8201
www.iasonline.org

Another example would be if, according to your management system, records of academic orother qualifications and records of training and experience of each member of your inspection
agency are to be maintained. (This is required by Section 6.1.10 of Standard 17020.) During
the audit, you would check to see that such records are actually being maintained. If they are
not, then your audit has detected another problem that requires correction.
Guidelines for Conducting Internal Audits and Management Reviews
It is possible you will need just one person to audit your inspection agency, although it could
take several people to audit a large agency. Whoever performs the audits, he or she must be
fully qualified to do so, and it is preferable that the auditor receive some special training on
how to conduct an audit. Also, if it is possible, each inspection activity must be audited by astaff member who is not personally involved in carrying out that activity. (This is to prevent any
conflict of interest. You would not want the person responsible for equipment maintenance toaudit the maintenance of equipment.)
It is absolutely essential that your internal auditors keep written records of internal audits. In
the event your audit findings detect problems in your management system or problems withthe performance of inspections, it is absolutely essential that you have written procedures fortaking corrective action. (This is required by Section 8.6.5 and 8.7.1 of Standard 17020.) You
may also need to conduct follow up audits to verify the effectiveness of corrective actions.
When IAS representatives come to your inspection agency to conduct assessments, they willcertainly make a point of reviewing the records of internal audits.
Finally, you might want to refer to Attachment A for a sample procedure on internal audits.
Section 8.6.1 of Standard 17020 says that the inspection agency “shall establish proceduresfor internal audits to verify that it fulfills the requirements of this International Standard and thatthe management system is effectively implemented and maintained.” Attachment A may give
you some ideas on what to include in your own procedure.
MANAGEMENT REVIEWS
Like internal audits, management reviews are regularly scheduled, formal activities that shallbe conducted in accordance with a documented procedure. As a rule, a “management review”
is a special meeting of the inspection agency’s top management, called to discuss theagency’s management system, its effectiveness, and any changes that may be needed.
Usually, management reviews are timed to follow closely after each internal audit, so that theresults of the audit may be discussed during the management meeting.
Attachment B presents a sample procedure for management reviews, and might give yousome ideas on how your inspection agency management should carry out reviews of themanagement system. (You will need to establish a schedule for management reviews, sinceIAS/AA/014
Revised January 1, 2016
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International Accreditation Service, Inc.
3060 Saturn Street, Suite 100
Brea, CA 92821 USA
t: 562.364.8201
www.iasonline.org

Section 8.5.1.1 of Standard 17020 says every accredited inspection agency “shall establish
procedures to review its management system at planned intervals, in order to ensure its
continuing suitability, adequacy and effectiveness, including the stated policies and objectives
related to the fulfillment of this International Standard.”)
Keep in mind that, to meet requirements for accreditation, you must record the results ofmanagement review meetings. (This is also required by Section 8.5.1.3 of Standard 17020.)
The easiest way to document each meeting is to have someone keep minutes, which will be
reviewed by IAS assessors when they visit your inspection agency. The written records should
also cover actions taken as a result of management meetings.

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International Accreditation Service, Inc.
3060 Saturn Street, Suite 100
Brea, CA 92821 USA
t: 562.364.8201
www.iasonline.org

Attachment A
Sample Procedure for Internal Audits
Expert Inspections, Inc.

Procedure No.: 12Standard Operating Procedures

Effective Date: March 10, 2015
Revision: 1
Page 1 of 1

Approval

TITLE/SUBJECT: Internal Audits

Purpose: This procedure provides for regularly scheduled audits of the management
system, to confirm the system’s implementation and check on its effectiveness.
Scope: This procedure applies to all internal audits.
Procedure:
1.

Every activity comprising part of the management system shall be audited atleast once every twelve months.

2.

The quality manager is chiefly responsible for planning internal audits andoverseeing their execution.

3.

Persons performing audits shall be adequately trained and qualified.

4.

Persons performing audits must be independent of the functions they are auditing.

5.

Auditors shall note problems on Corrective Action Request (CAR) forms, andsend the forms to the most appropriate management person to have the problem
corrected. Auditors shall then follow up to confirm that corrective actions havebeen carried out.

6.

The quality manager shall retain records of internal audits for at least three years.
Records shall include audit checklists, CARs, and related documentation.
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International Accreditation Service, Inc.
3060 Saturn Street, Suite 100
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t: 562.364.8201
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7.

Results of internal audits shall be a standing item on the agenda for management
reviews of the quality system.

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Revised January 1, 2016
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International Accreditation Service, Inc.
3060 Saturn Street, Suite 100
Brea, CA 92821 USA
t: 562.364.8201
www.iasonline.org

Attachment B
Sample Procedure for Management Reviews
Expert Inspections, Inc.

Procedure No.: 13Standard Operating Procedures

Effective Date: March 10, 2015
Revision: 1
Page 1 of 1

Approval:

TITLE/SUBJECT: Management Review Procedure

Purpose: This procedure provides for regular management reviews of the entire
management system, to ensure its continuing suitability and effectiveness.
Scope: This procedure applies to all participants in the periodic management reviews.
Procedure:
1.

Management review meetings take place at least every twelve months, and arescheduled by the quality manager.

2.

Participants normally include the president, vice president, manager, seniorengineer, quality manager and other personnel as appropriate.

3.

The quality manager shall prepare the agenda and keep the minutes of themeeting. The agenda shall include discussion of the following:
•••
•
•
•
•
•

The suitability of policies and procedures
Reports from managerial and supervisory personnel
The outcome of recent internal and external audits
Status of corrective and preventive actions
Fulfilment of objectives
Changes in the volume and type of work
Inspection records
Feedback from clients and interested parties
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International Accreditation Service, Inc.
3060 Saturn Street, Suite 100
Brea, CA 92821 USA
t: 562.364.8201
www.iasonline.org••••Appeals and complaints
Follow-up actions from previous management reviews
Changes that could affect the management system
Other relevant factors (quality control activities, resources, staff training)

4.

Action items will be assigned to specific personnel, and target dates will be set forcompletion.

5.

After the meeting, the quality manager will distribute, to all participants, copiesof the minutes and a memorandum on conclusions reached and actions
planned or initiated. The quality manager will also follow up on action items, toensure completion.

6.

The quality manager shall retain records of each meeting for at least three years.
Records shall include minutes of the meeting, memorandum on results.

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