The ISO certification audit process is a structured pathway that begins with application, progresses through a two-stage initial audit, leads to a certification decision, and continues with surveillance audits and recertification audits throughout a three-year certification cycle. Compliance is achieved when the organization demonstrates conformity to audit criteria through verified audit evidence and closes all nonconformities with corrective action.
An ISO certification audit is a third-party assessment that collects audit evidence and evaluates it against audit criteria to determine conformity with an ISO management system standard. The audit produces findings that support a certification decision issued by an accredited certification body. The ISO certification process encompasses the complete pathway from initial application through ongoing certification maintenance. Organizations seeking Accredited ISO Certification Services in Iraq follow this structured process to obtain and retain their ISO certificates.
An audit is a systematic, independent, and documented process for obtaining and evaluating audit evidence objectively to determine the extent to which audit criteria are fulfilled. Audit criteria consist of the requirements against which conformity is assessed—typically the applicable ISO management system standard, organizational procedures, and relevant regulatory requirements. Audit evidence includes records, statements of fact, and other verifiable information collected through interviews, observation of activities, and review of documented information. The audit team evaluates this evidence against the audit criteria to produce audit findings.
ISO 19011 audit guidelines establish seven principles that auditors apply during management system audits:
Risk-based approach: Audit planning and execution consider risks and opportunities
The certification cycle is a planned audit programme that starts with the certification decision and includes a two-stage initial audit, surveillance audits in the first and second years, and a recertification audit in the third year before certificate expiration.
The audit programme for full certification includes:
The certification decision is the formal determination that the organization’s management system conforms to the applicable ISO standard within the defined certification scope. A positive certification decision results in certificate issuance and begins the first three-year certification cycle. The certification body’s decision-making function operates independently from the audit team to maintain impartiality. Decision-makers review audit reports, nonconformity closure evidence, and audit team recommendations before issuing the certification decision.
First surveillance audit timing is controlled by certification body procedures and typically occurs within 12 months from the certification decision date. ISO/IEC 17021-1 requires surveillance audits to be conducted at least once per calendar year. Surveillance audit scheduling considers the organization’s operational requirements, site accessibility, and the certification body’s audit planning constraints. Organizations receive advance notification of surveillance audit dates to ensure personnel and documented information availability.
The Stage 1 audit is the readiness review conducted before the Stage 2 audit. The audit team evaluates documented information, confirms certification scope, assesses site conditions, and determines preparedness for Stage 2.
Stage 1 audit evaluates whether the management system is designed and documented to meet ISO standard requirements. Auditors review documented information, including the management system manual, policies, procedures, process documentation, and records that demonstrate planning and implementation. The audit team assesses documented information for completeness, consistency, and alignment with the certification scope. Gaps identified during Stage 1 require correction before Stage 2 can proceed effectively.
Stage 1 audit confirms the certification scope statement accurately describes the organization’s activities, products, services, and sites to be certified. Auditors verify that the scope aligns with the organization’s actual operations and the applicable ISO standard requirements. Site conditions are assessed to understand the operating environment and plan Stage 2 audit logistics. The audit team evaluates resource allocation, personnel availability, and site access requirements. Stage 2 preparedness is determined based on Stage 1 findings. If the organization demonstrates adequate readiness, Stage 2 audit is scheduled. Significant gaps require correction and may necessitate additional Stage 1 activities before Stage 2 proceeds.
Internal audit records demonstrate that the organization conducts first-party audits covering all management system processes. Auditors review internal audit schedules, audit reports, findings, and corrective action closure evidence to evaluate the internal audit programme effectiveness. Management review records demonstrate top management involvement in evaluating management system performance.
Auditors verify that management reviews address required inputs including audit results, customer feedback, process performance, corrective action status, and improvement opportunities. These records provide evidence that the organization operates the compliance mechanisms required by ISO management system standards before external certification audit occurs.
Stage 2 audit evaluates management system implementation and effectiveness through on-site evidence collection. The audit team assesses whether processes operate as documented and achieve intended outcomes.
Stage 2 audit examines how the management system functions in practice across all processes within the certification scope. Auditors evaluate process inputs, activities, outputs, and interactions to verify implementation matches documented procedures. Effectiveness evaluation determines whether the management system achieves its intended outcomes. Auditors assess objective evidence demonstrating that processes deliver consistent results, risks are controlled, and objectives are achieved. The audit covers all management system elements including leadership commitment, resource management, operational controls, performance evaluation, and improvement activities.
Audit findings result from evaluating audit evidence against audit criteria. Findings are classified as conformity or nonconformity.
Conformity: The audit evidence demonstrates that requirements are fulfilled. Conformity findings confirm that specific management system elements meet ISO standard requirements.
Nonconformity: The audit evidence demonstrates that requirements are not fulfilled. Nonconformities are classified by severity:
The audit report documents all findings, including conformities, nonconformities, opportunities for improvement, and audit conclusions. The report provides input for the certification decision and records the audit evidence basis for all findings.
Nonconformities require corrective action to close. The compliance process ensures that identified gaps are eliminated through systematic cause analysis, action implementation, and effectiveness verification.
Nonconformities are categorized based on severity and impact on management system effectiveness:
Major nonconformities require correction and corrective action before certification can be granted or maintained. The certification body verifies closure evidence through follow-up audit activities, which may include on-site verification.
Minor nonconformities require corrective action with verification typically at the next scheduled surveillance audit. The organization submits closure evidence demonstrating actions taken.
Closure evidence is objective evidence demonstrating that:
The corrective action process follows a structured sequence:
A nonconformity closes when the organization implements corrective action that eliminates the cause, provides objective closure evidence, and the audit team verifies effectiveness against the audit criteria during follow-up or surveillance activity.
The certification body suspends certification when the organization fails to maintain conformity, misses surveillance audits, or violates certification requirements. Suspended certificates cannot be used until the suspension is lifted. Suspension periods are time-limited, typically 6 months maximum.
Certification is withdrawn when suspension issues are not resolved within the allowed period or when serious conformity failures occur. Withdrawn certificates require full recertification if the organization seeks future certification.
The certification body may reduce certification scope to exclude activities, sites, or products that no longer conform to requirements. Scope reduction is an alternative to full suspension when nonconformities are limited to specific areas.
If nonconformities are identified, the organization is required to: Analyze root causes, implement corrective actions, submit objective evidence within an agreed timeframe. Certification decisions are not made until nonconformities are satisfactorily addressed.
An independent technical review is conducted to ensure audit findings comply with accreditation requirements. Upon approval, the ISO certificate is issued with: Defined scope, validity period, certification mark usage rules.
Surveillance audits are conducted annually to confirm: Ongoing conformity, system effectiveness, continuous improvement. These audits maintain the integrity and validity of certification.
While timelines vary depending on organizational size and complexity, general parameters include:
Specific pricing and timelines are defined following application review and scope confirmation.
Organizations are expected to establish and maintain documented systems relevant to the applied ISO standard. Typical requirements include:
As an independent certification body, AGS Iraq does not develop or implement management systems. Preparation may be completed internally or with the support of an external consultant.
Certification credibility depends on accreditation. Accredited certification ensures:
AGS Iraq operates under strict impartiality rules, separating certification activities from consultancy and advisory services. This safeguards the objectivity and trustworthiness of the certification process.
AGS Iraq performs certification, auditing, and training services, not consultancy. Now, let’s understand that the distinction between certification and consultancy is essential:
Certification Body:
Consultancy:
As an accredited body, we issue certificates for the most sought-after management system standards:
