> ISO 9001 certification checklist: check all evidence, roles and records before your stage 1 and stage 2 audit – free online and as a PDF download. Source: [https://docxpert.io/en/checklists/iso-9001-certification-readiness](https://docxpert.io/en/checklists/iso-9001-certification-readiness) # ISO 9001 Certification Checklist: Are You Ready? Save as PDF Print-ready version with tick boxes. [Get the PDF](https://docxpert.io/en/checklists/iso-9001-certification-readiness#download) ## 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](https://docxpert.io/en/guides/iso-9001-certification-process). ## Certification readiness checklist ### Foundations and documentation - The scope is defined, with sites, services and justified exclusions. - The quality policy and measurable quality objectives are approved and communicated. - The process map shows management, core and support processes with owners. - All documented information required by the standard is in place (see [ISO 9001 mandatory documents](https://docxpert.io/en/guides/iso-9001-mandatory-documents)). - Documents are identified, reviewed, approved and available in their current version. - There is a rule for retention, archiving and disposal of records. ### Risk, context and interested parties - Internal and external issues have been analysed and evaluated with a date. - Interested parties and their requirements are recorded. - Risks and opportunities are assessed, and actions are planned and tracked. ### People and competence - Required competence is described for every quality-relevant role. - A [training matrix](https://docxpert.io/en/guides/how-to-build-a-training-matrix) shows who holds which qualification and where gaps exist. - Training records are complete, dated and easy to find. - The effectiveness of training has been evaluated with evidence. - Employees know the quality policy, the objectives and their own contribution. ### Operations and suppliers - Customer requirements are reviewed before accepting orders, and the review is documented. - Suppliers are evaluated against defined criteria and the evaluation is up to date. - Inspection and release steps for products and services are evidenced. - Measuring equipment is calibrated and the records are current. - Nonconforming outputs are identified, assessed and documented. ### Performance evaluation and improvement - Indicators for processes, customer satisfaction and suppliers are analysed. - At least one complete internal audit has been carried out and reported. - A management review covering all inputs of 9.3.2 is available. - Corrective actions include root cause analysis, deadline and effectiveness check. - Open actions from audits are scheduled and tracked. ### Organising the audit day - The certification body's audit plan is agreed and interviewees are informed. - A room or remote access with access to all evidence is prepared. - A contact person accompanies the audit and records open points. - Employees know they may answer honestly and show evidence. ## The most common nonconformities in initial audits - **Obsolete documents in circulation** – printouts or file copies that are no longer valid. Central [document control](https://docxpert.io/en/features/document-management) 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. ## Read next [ISO 9001 certificationProcess, duration, cost and preparation for certification.Learn more](https://docxpert.io/en/guides/iso-9001-certification-process) [ISO 9001 internal audit checklistAudit questions for clauses 4 to 10 – to tick off and download as PDF.Learn more](https://docxpert.io/en/checklists/iso-9001-internal-audit-checklist) [ISO 9001 mandatory documentsEvery piece of documented information ISO 9001:2015 requires, by clause.Learn more](https://docxpert.io/en/guides/iso-9001-mandatory-documents) [ISO 9001Quality management: document control, competence, audits and improvement in one platform.Learn more](https://docxpert.io/en/standards/iso-9001) ## Try docxpert free for 14 days Document control, approvals, training and evidence in one platform – with English and German templates for more than ten standards. 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