Introduction

If your business is preparing for ISO certification, you’ve probably heard about the ISO audit, and you might be wondering what exactly that involves. The idea of being audited can feel intimidating, especially if it’s your first time. But don’t worry it’s not as scary as it sounds.

An ISO certification audit is simply a formal, structured process where a certification body (like ReliableCert) checks whether your management system meets the requirements of a specific ISO standard, such as ISO 9001, ISO 14001, ISO 27001, or ISO 45001.

In this article, we’ll walk you through what to expect before, during, and after the audit. Whether you're getting ISO certified for the first time or going through a surveillance audit, this guide will help you feel confident and prepared.

What Is an ISO Certification Audit?

An ISO certification audit is a review of your organisation’s management system to ensure it complies with the selected ISO standard. It is conducted by a third-party ISO certification body and includes interviews, documentation checks, and observations of your processes.

Audits help verify that your systems are effective, well-documented, and implemented as required. The audit is not about catching mistakes, it’s about improving your operations and ensuring you're meeting global best practices.

Types of ISO Audits

Before diving into the process, it’s helpful to understand the different types of audits involved in ISO certification.

1. Internal Audit

• Conducted by your own team (or a hired consultant)
   
• Ensures you're ready before the external audit
   
• Helps identify gaps or non-conformities early
   

2. Stage 1 Audit (Preliminary Review)

• Conducted by the ISO certification body
   
• Focuses on document review and readiness
   
• Ensures you’re prepared for the full audit
   

3. Stage 2 Audit (Main Certification Audit)

• Detailed audit of your processes, records, and implementation
   
• Determines if you qualify for ISO certification
   

4. Surveillance Audits

• Conducted annually after certification
   
• Ensures continued compliance and improvement
   

5. Recertification Audit

• Happens every 3 years
   
• Full review to renew your ISO certification

Preparing for an ISO Certification Audit

Preparation is key. Here's how you can set yourself up for success before the auditor arrives.

1. Understand the ISO Standard

Make sure you and your team are familiar with the requirements of the specific ISO standard you're being audited for. Each standard has its focus, for example:

ISO 9001 – Quality Management
 

ISO 14001 – Environmental Management
 

ISO 27001 – Information Security
 

ISO 45001 – Occupational Health & Safety
 

ISO 22000 – Food Safety
 

ISO 50001 – Energy Management
 

ISO 13485 – Medical Devices

2. Perform an Internal Audit

This step is like a practice run. It helps you spot and correct any issues before the official audit.

3. Hold a Management Review Meeting

Top management should review audit results, customer feedback, non-conformities, and areas for improvement.

4. Prepare Documentation

Make sure all required documents and records are up-to-date and easily accessible. These may include:

• Policies and procedures
   
• Risk assessments
   
• Training records
   
• Monitoring and measurement logs
   
• Corrective actions
   

5. Communicate with Staff

Let your team know when the audit is happening and what to expect. The auditor may interview them or observe their work.

What Happens During the Audit?

Here’s a step-by-step breakdown of what typically happens during an ISO certification audit:

1. Opening Meeting

The auditor will start with an introduction, explain the agenda, and outline how the audit will proceed. This is also your chance to ask questions.

2. Document Review

The auditor checks your documented procedures, policies, manuals, and other records to ensure they align with the ISO standard.

3. Process Audits

The auditor will visit various departments, observe activities, and conduct interviews with team members. They’ll be looking for evidence that your processes are being followed as described.

4. Sampling and Evidence Gathering

Rather than looking at everything, the auditor will use sampling to review documents and procedures. They’ll take notes on what’s working well and what needs improvement.

5. Identifying Non-Conformities

If something doesn’t meet the standard, the auditor will note it as a non-conformity. These can be:

• Major Non-Conformities: Significant issues that must be fixed before certification.
   
• Minor Non-Conformities: Small issues that require correction but don’t block certification.
   

You’ll be given a chance to respond and take corrective action.

6. Closing Meeting

At the end of the audit, the auditor will summarise their findings. You’ll get a clear explanation of any issues and the next steps.

After the Audit

Once the audit is complete, here’s what usually happens next:

1. Audit Report

You’ll receive a detailed audit report outlining the findings, non-conformities (if any), and recommendations.

2. Corrective Actions

If there are any non-conformities, you’ll be asked to submit a corrective action plan. This must show how you’ll fix the issue and prevent it from happening again.

3. Certification Decision

If everything is in order (or once corrective actions are accepted), your ISO certification body will issue your certificate.

4. Surveillance Audits

To maintain your ISO certification, your business will undergo regular surveillance audits—usually once a year. These are shorter audits focused on continued compliance and improvement.

What Auditors Look For

During an ISO certification audit, auditors aren’t just checking for documents—they want to see that your systems are being followed, understood, and improved. They often look for:

• Staff awareness of procedures and roles
   
• Evidence of regular reviews and improvements
   
• Consistency between documented procedures and actual practices
   
• Risk management and mitigation strategies
   
• Compliance with legal and regulatory requirements
   

Being honest and transparent during the audit builds trust and shows your commitment to quality and improvement.

Final Thoughts

An ISO certification audit might seem daunting at first, but with the right preparation and mindset, it becomes a valuable opportunity to improve your business.

From document reviews to interviews and observations, every step of the audit process is designed to ensure that your management system is not only compliant but also effective. With a Certification body by your side, you’ll have the support and guidance you need to navigate the audit with confidence.

Need help preparing for your next ISO certification audit?
Contact Reliable Certification today and speak to our team of experts who can guide you every step of the way