Do you have your first certification audit soon?

Do you have your first certification audit soon and would you like to know what to expect? A certification audit is a systematic assessment carried out by an independent party to determine whether an organization meets the requirements of an applicable standard. This article provides a brief overview of how an audit generally proceeds, from preparation and the opening meeting to the audit activities, closing meeting and follow-up.

Preparation #

Before the audit, the lead auditor may request documents for preparation. Examples include an organization chart, a management review, relevant procedures or an overview of your management system. The lead auditor also prepares an audit plan. This plan describes, among other things, which parts of the organization will be assessed, who will be interviewed and when the audit activities will take place. The audit plan will be shared with you before the audit.

If the audit is an initial certification audit, it usually consists of a stage 1 audit and a stage 2 audit.

Opening meeting #

The audit starts on the agreed date with an opening meeting with the organization’s management and the employees involved. During this meeting, the lead auditor explains how the audit will proceed. Topics such as the audit objective, audit scope, audit plan, reporting language, confidentiality and the opportunity to ask questions are usually discussed.

For smaller organizations, the audit is often carried out by one lead auditor. For larger organizations, the lead auditor may manage an audit team. This allows the audit activities to be divided efficiently and helps the audit process run smoothly.

Audit activities #

After the opening meeting, the audit activities begin. The auditor assesses whether the organization meets the requirements of the applicable standard and the organization’s own management system. This assessment is performed using various audit methods, such as interviews, observations and review of documents and records. Audit evidence is collected and verified in order to establish audit findings.

For many organizations, the internal audit is an important part of the preparation. It enables the organization to assess in advance whether the management system has been implemented effectively and meets the applicable requirements.

Closing meeting and follow-up #

At the end of the audit, the findings are summarized and presented during the closing meeting. The auditor explains the audit conclusion and discusses any points for attention or nonconformities. If nonconformities have been identified, the organization will be given time to address them within a defined period. A nonconformity means that a requirement of the standard or the organization’s own management system has not been met.

After the audit and any required follow-up have been completed, the audit results are reviewed. If the certification decision is positive, Brand Compliance can issue the certificate. The certification cycle then starts, with periodic surveillance audits taking place during the validity period of the certificate.