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Stage 1 and stage 2 – what is assessed
Certification takes place in two stages. In stage 1, the certification body mainly reviews your documentation and whether you are ready for stage 2. In stage 2, on site or remotely, it assesses whether the system is implemented and effective. There are usually a few weeks between the stages, during which you can address findings from stage 1.
A typical pitfall: the system exists on paper, but records from a complete cycle are missing. Plan at least one internal audit and one management review before the stage 2 audit. Read more in our guide to the ISO 9001 certification process.
Certification readiness checklist
Foundations and documentation
Risk, context and interested parties
People and competence
Operations and suppliers
Performance evaluation and improvement
Organising the audit day
The most common nonconformities in initial audits
- Obsolete documents in circulation – printouts or file copies that are no longer valid. Central document control solves this.
- No effectiveness evaluation for training and corrective actions.
- Quality objectives without a metric – “improve customer satisfaction” is not measurable.
- Management review without decisions – inputs are collected but no decisions are recorded.
- Outdated supplier evaluation – the last evaluation is older than the defined interval.
Download the checklist as PDF
Print-ready with tick boxes – ideal for your next audit or team meeting. Free; we also email you the link.
Frequently asked questions
How long before the audit should I use this checklist?
Ideally three months before. That leaves time to create missing records, run an internal audit and complete the management review.
What happens if nonconformities are found in the stage 2 audit?
For minor nonconformities you submit an action plan, and the certificate is usually issued. For major nonconformities you must demonstrate implementation before the certificate is granted.
Do I need software for certification?
No, the standard does not prescribe a tool. QMS software does make document control, approvals, training records and reporting much easier – especially when several standards apply.