Preparing for a certification audit: checklist and tips

Your first certification audit is coming up. Exciting? That’s not necessary. An audit isn’t an exam you can fail - it’s a conversation about how you work.

New to certification? First read our complete guides on ISO 9001, ISO 27001 or ISO 42001 for the basics.

What happens during an audit?

An auditor comes to your company to check whether you do what you say you do. No more, no less.

In concrete terms this means:

• View documents - Your manual, procedures, registrations
• Walk Around - Through your office, workshop or warehouse
• Ask Questions - To you and your employees

The auditor doesn’t look for mistakes to get you down. He wants to see that your quality system works in practice. That you not only have nice documents, but that your team also acts on them.

A first audit (initial audit) usually takes one to three days, depending on your company size.

Preparation in 4 steps

1. Make sure your documentation is correct

The auditor asks for your quality manual, procedures and registrations. Make sure these:

• Be Up-to-date - no outdated versions
• Be Findable - digital or physical, but organised
• Match with practice - write down what you do, not what you would like to do

2. Prepare your employees

The auditor asks questions to your team. No trick questions, but simple things like: “What do you do when a complaint comes in?” or “Where can you find the work instructions?”

Inform your employees in advance:

• When the audit takes place
• That they can answer honestly (including “I don’t know”)
• That it is not a test for which they are personally judged

3. Tidy up your location

Sounds simple, but a tidy workplace makes an impression. Consider:

• Clear walking routes and escape routes
• Tidy workplaces and warehouse
• Visible safety equipment (where applicable)

4. Take your time

Do not schedule other appointments on audit days. You must be available for questions and be able to discuss any findings immediately.

Common mistakes

Too perfect documents

Some companies write lengthy procedures that no one reads. The auditor sees right through that. Better to have a simple checklist that your team actually uses, than a 20-page manual that sits in a drawer.

“Brief” employees with canned responses

Auditors recognise rehearsed answers. If an employee says “I don’t know, but I can look it up” that’s fine. Honesty scores better than acting.

Arrange everything last minute

Want to quickly complete all registrations a week before the audit? That stands out. Empty logbooks that suddenly fill up, or documents that all have the same date - auditors see that.

Hide anomalies

If you know something is not in order, be open about it. “We know this is an area for improvement and are working on it” makes more of an impression than denial. An auditor values ​​self-insight.

On the day itself

The auditor usually starts with an opening conversation. Here he explains what the day looks like and what he is going to see.

Make sure you have:

• A quiet space where the auditor can work
• Access to all relevant documents (digital or physical)
• Coffee and a sandwich - sounds trivial, but a comfortable auditor is a pleasant auditor

During the audit:

• Answer questions honestly and concisely
• Say it if you don’t know something - then look it up together
• Make notes of findings

At the end there will be a closing discussion. The auditor explains what he has seen, what deviations there may be, and what happens next.