GG-1-12 ISO Standards and ISO Certification
| File Reference : | GG-1-12 ISO Standards and ISO Certification |
This guidance explains the shared clause structure of the common ISO management system standards and what each clause asks for. It also helps staff prepare for a certification audit.
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ISO Standards and ISO Certification Guidance
A general guidance document on ISO standards and ISO certification for managers and staff working within an ISO management system. It explains the shared clause structure of ISO 9001, ISO 14001, ISO 27001 and ISO 45001, what clauses 4 to 10 require, and how to prepare for an external certification audit.
Topics Covered
- The shared structure - the common clause structure set out in Annex SL, and why clauses 1 to 3 are not requirements for certification
- Context and leadership - issues including climate change, interested parties and scope under clause 4, and leadership and policies under clause 5
- Planning and support - risks, opportunities, objectives and planned changes under clause 6, then resources, competence, awareness and documented information under clause 7
- Operation by standard - how the focus of clause 8 differs between quality, environmental, information security and health and safety
- Evaluation and improvement - monitoring, internal audit and management review under clause 9, and dealing with nonconformities under clause 10
- The certification audit - appointing a certification body, what affects the number of audit days, and what happens from opening to closing meeting
- Preparing for the audit - the evidence to have ready, from IMS1 and the registers to management review, supplier controls and recent jobs
- Audit top tips - practical pointers for a smooth audit, from first impressions and an evidence folder to quarantine and signage
Who Is It For?
Managers and staff working within an ISO management system, especially anyone preparing for or taking part in a certification audit.
Included in the ISO 9001, ISO 14001, ISO 45001, ISO 27001 and ISO 22301 Toolkits
This guidance is supplied with the TT-1-12 ISO Standards and ISO Certification and TT-1-20 Integrated Management System (IMS) and ISO Compliance training talks. The TT-1-20 training talk is part of the ISO 9001, ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them.
Using the Guidance
Use it to brief staff before a certification audit and as a reference for what each clause asks for, keeping it with IMS1 and the audit evidence folder. Record who has received it, for example on the training matrix.
Getting Through Audit Day
The top tips give practical advice for the day. Manage the audit team's arrival and visitor rules, have an evidence folder ready, plan who is available, and make sure everyone who may be interviewed knows their part. A nonconformity does not mean something terrible has happened, and unless the auditor has clearly made a mistake, the best approach is often to accept it and respond once the report arrives.
Adapting the Guidance
Edit the guidance to match your own arrangements - the standards you are certified to or working towards, your certification body and its requirements, the contents of your evidence folder and who is available on the audit day.
Related Documents
Other documents that work alongside this guidance:
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