Training Module
Training Module
Third-party Auditing Context
Understand the accreditation–certification ecosystem, certification audit lifecycle, impartiality boundaries, and decision interfaces.
Understand
Implement
Manage
Audit
Training module overview
Certification audits are not internal audits performed by someone external. They operate inside an accreditation-driven system that enforces independence, competence control, and a strict separation between audit activity and certification decision-making.
This module provides a practical orientation to that system: how accreditation bodies and certification bodies relate, what typical certification pathways look like (stage logic and lifecycle), how impartiality is protected in practice, and how lead auditors interface with review, decision, surveillance, and complaints mechanisms—without relying on any certification body’s proprietary procedures.
Certification audits are not internal audits performed by someone external. They operate inside an accreditation-driven system that enforces independence, competence control, and a strict separation between audit activity and certification decision-making.
This module provides a practical orientation to that system: how accreditation bodies and certification bodies relate, what typical certification pathways look like (stage logic and lifecycle), how impartiality is protected in practice, and how lead auditors interface with review, decision, surveillance, and complaints mechanisms—without relying on any certification body’s proprietary procedures.
Target audience
Internal auditors who regularly interface with certification bodies or external auditors
Management system professionals who need to work effectively with certification auditors without role confusion
Auditors transitioning into third-party audit teams who need governance context and boundaries
Technical specialists supporting audits who need clarity on independence and interaction limits
Internal auditors who regularly interface with certification bodies or external auditors
Management system professionals who need to work effectively with certification auditors without role confusion
Auditors transitioning into third-party audit teams who need governance context and boundaries
Technical specialists supporting audits who need clarity on independence and interaction limits
Agenda
What makes third-party audits different
Certification audit purpose vs. internal audit purpose
Independence, impartiality, and non-consultancy boundaries
Ecosystem and governance landscape
Relationship between accreditation bodies (ABs) and certification bodies (CBs)
What accreditation is (and is not) in practical terms
How accreditation expectations shape CB governance, oversight, and consistency
Standards, schemes, and other governing mechanisms (including where sector schemes/regulations add constraints — conceptual only)
Roles, accountability, and decision separation
Audit team roles and interfaces (audit, review, decision)
What auditors can and cannot do in client interactions
CB-controlled process flow: where the audit sits in the pathway (application/review → planning → audit → review → decision → surveillance)
Competence and impartiality management in CBs (context level)
How CBs control competence: qualification logic, ongoing monitoring, assignment constraints
Impartiality controls: conflicts, pressure points, and behavioural expectations
Audit lifecycle and stage logic
Stage 1 and Stage 2: intent, typical outputs, and limits
Surveillance and recertification: what changes and what stays stable
Scope, boundaries, and auditability in a certification context
Scope statements, boundaries, and exclusions (how they are treated)
Multi-site realities: what “consistent coverage” means conceptually
Impartiality in practice
Common pressure points (expectations, “helpfulness,” conflicts)
How to maintain professional distance while staying constructive
Certification-oriented outputs (characteristics, not templates)
What “objective, decision-supporting documentation” looks like
Clear lines between findings, evidence, and improvement opportunities
Challenges, escalation paths, and governance of complaints
Disagreements, complaints, and appeals: where they sit (high level)
Professional conduct when constraints limit access, evidence, or time
Workshop (case-based)
Identify role boundaries, stage intent, competence constraints, and decision interfaces for a sample certification engagement
Spot typical “impartiality drift” risks and define boundary-respecting responses
What makes third-party audits different
Certification audit purpose vs. internal audit purpose
Independence, impartiality, and non-consultancy boundaries
Ecosystem and governance landscape
Relationship between accreditation bodies (ABs) and certification bodies (CBs)
What accreditation is (and is not) in practical terms
How accreditation expectations shape CB governance, oversight, and consistency
Standards, schemes, and other governing mechanisms (including where sector schemes/regulations add constraints — conceptual only)
Roles, accountability, and decision separation
Audit team roles and interfaces (audit, review, decision)
What auditors can and cannot do in client interactions
CB-controlled process flow: where the audit sits in the pathway (application/review → planning → audit → review → decision → surveillance)
Competence and impartiality management in CBs (context level)
How CBs control competence: qualification logic, ongoing monitoring, assignment constraints
Impartiality controls: conflicts, pressure points, and behavioural expectations
Audit lifecycle and stage logic
Stage 1 and Stage 2: intent, typical outputs, and limits
Surveillance and recertification: what changes and what stays stable
Scope, boundaries, and auditability in a certification context
Scope statements, boundaries, and exclusions (how they are treated)
Multi-site realities: what “consistent coverage” means conceptually
Impartiality in practice
Common pressure points (expectations, “helpfulness,” conflicts)
How to maintain professional distance while staying constructive
Certification-oriented outputs (characteristics, not templates)
What “objective, decision-supporting documentation” looks like
Clear lines between findings, evidence, and improvement opportunities
Challenges, escalation paths, and governance of complaints
Disagreements, complaints, and appeals: where they sit (high level)
Professional conduct when constraints limit access, evidence, or time
Workshop (case-based)
Identify role boundaries, stage intent, competence constraints, and decision interfaces for a sample certification engagement
Spot typical “impartiality drift” risks and define boundary-respecting responses
Course ID:
HAM-TAC-1
Audience:
Auditor
Domain:
Agnostic
Available in:
English
Duration:
7 h
List price:
CHF 550
Excl. VAT. VAT may apply depending on customer location and status.
What you get
Learning outcomes
Explain how accreditation shapes certification body governance and third-party audit constraints
Describe the typical certification pathway and where audit activity interfaces with review and certification decisions
Distinguish the intent of Stage 1, Stage 2, surveillance, and recertification at a practical level
Recognise common impartiality and non-consultancy risks and define appropriate boundary-respecting responses
Describe (at context level) how certification bodies govern competence, assignment, and impartiality expectations for auditors
Brief internal stakeholders on what to expect from certification auditors and what requests are inappropriate
Navigate common friction points using appropriate escalation and complaint pathways (high-level)
Explain how accreditation shapes certification body governance and third-party audit constraints
Describe the typical certification pathway and where audit activity interfaces with review and certification decisions
Distinguish the intent of Stage 1, Stage 2, surveillance, and recertification at a practical level
Recognise common impartiality and non-consultancy risks and define appropriate boundary-respecting responses
Describe (at context level) how certification bodies govern competence, assignment, and impartiality expectations for auditors
Brief internal stakeholders on what to expect from certification auditors and what requests are inappropriate
Navigate common friction points using appropriate escalation and complaint pathways (high-level)
Learning materials
Slide deck
Participant workbook
Certificate of completion
Slide deck
Participant workbook
Certificate of completion
Templates & tools
Accreditation–certification ecosystem map (AB ↔ CB ↔ client; audit ↔ review ↔ decision)
Certification pathway overview (process flow, non-proprietary)
Impartiality and non-consultancy boundary checklist
Competence & assignment constraints quick reference (context-level)
Workshop case pack (roles, stage intent, and decision interfaces)
Accreditation–certification ecosystem map (AB ↔ CB ↔ client; audit ↔ review ↔ decision)
Certification pathway overview (process flow, non-proprietary)
Impartiality and non-consultancy boundary checklist
Competence & assignment constraints quick reference (context-level)
Workshop case pack (roles, stage intent, and decision interfaces)
Prerequisites
This module assumes participants already have practical familiarity with auditing and management systems, including:
Core audit principles and evidence-based judgement concepts
Experience participating in internal audits (as auditor or lead)
Comfort reading management system requirements (standard-independent understanding is sufficient)
This module assumes participants already have practical familiarity with auditing and management systems, including:
Core audit principles and evidence-based judgement concepts
Experience participating in internal audits (as auditor or lead)
Comfort reading management system requirements (standard-independent understanding is sufficient)
Strongly recommended preparatory modules
Audit Foundations: Principles, Evidence & Judgement
Core audit mindset, evidence logic, materiality-based focus, and audit test plan design.
7 h
Audit Foundations: Principles, Evidence & Judgement
Core audit mindset, evidence logic, materiality-based focus, and audit test plan design.
7 h
Audit Foundations: Principles, Evidence & Judgement
Core audit mindset, evidence logic, materiality-based focus, and audit test plan design.
7 h
Helpful preparatory modules
The modules below prepare for an optimal learning experience – but are not strictly necessary for participants to follow.
Internal Audit Foundations: Purpose, Roles, and Using Results for Governance
Understand the purpose of internal audits, role responsibilities, independence expectations, and how audit results are used in governance and improvement
7 h
Internal Audit Foundations: Purpose, Roles, and Using Results for Governance
Understand the purpose of internal audits, role responsibilities, independence expectations, and how audit results are used in governance and improvement
7 h
Internal Audit Foundations: Purpose, Roles, and Using Results for Governance
Understand the purpose of internal audits, role responsibilities, independence expectations, and how audit results are used in governance and improvement
7 h
Audit Reporting & Follow-up: Findings, Reporting, and Verification of Closure
Understand how to write evidence-based findings, structure audit reports, and follow up agreed actions to verified closure.
7 h
Audit Reporting & Follow-up: Findings, Reporting, and Verification of Closure
Understand how to write evidence-based findings, structure audit reports, and follow up agreed actions to verified closure.
7 h
Audit Reporting & Follow-up: Findings, Reporting, and Verification of Closure
Understand how to write evidence-based findings, structure audit reports, and follow up agreed actions to verified closure.
7 h
Continuous learning
Follow-up modules
Follow-up modules
After completion of this module, the following modules are ideal to further deepen the participant's competence.
After completion of this module, the following modules are ideal to further deepen the participant's competence.
Ready to achieve mastery?
Bring ISO requirements into everyday practice to reduce avoidable issues and strengthen the trust of your customers and stakeholders.
Ready to achieve mastery?
Bring ISO requirements into everyday practice to reduce avoidable issues and strengthen the trust of your customers and stakeholders.
Ready to achieve mastery?
Bring ISO requirements into everyday practice to reduce avoidable issues and strengthen the trust of your customers and stakeholders.