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Conducting Certification Audits

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This article explains how certification audits are carried out, from the opening meeting through to audit reporting and follow‑up of nonconformities. It is designed to give you a clear understanding of what happens during an audit and how audit outcomes are managed.

1. General Approach to Conducting Audits

Assurco conducts audits in accordance with internationally recognised certification standards and our documented certification processes. These processes define how audits are planned, delivered, reported and followed up.

Audits may be conducted:

  • On‑site
  • Remotely
  • Or using a combination of on‑site and electronic methods

Where remote or electronic methods are used, we ensure that:

  • The auditor is competent to audit using these techniques
  • The evidence gathered is sufficient to make an informed and reliable decision on conformity

“On‑site” auditing may include secure remote access to electronic systems, records or platforms that are relevant to your management system.

2. The Opening Meeting

Each audit begins with a formal opening meeting involving management and relevant responsible personnel.

The purpose of the opening meeting is to:

  • Introduce the audit team and confirm roles
  • Confirm the audit scope, objectives and criteria
  • Review the audit plan and timetable
  • Confirm communication channels
  • Address any practical or logistical matters

This ensures that everyone understands how the audit will be conducted and what to expect.

Further information is available in our Knowledge Base:
https://www.assurco.com/knowledge-base/opening-closing-meetings/

3. Communication During the Audit

Ongoing communication

Throughout the audit, the audit team:

  • Regularly reviews audit progress
  • Exchanges information within the team
  • Communicates progress and any concerns to you

The audit team leader may reassign tasks within the team as needed to ensure audit objectives are achieved efficiently.

Managing risks and issues

If audit evidence indicates that:

  • The audit objectives cannot be achieved, or
  • There is an immediate and significant risk (for example, a safety concern)

the audit team leader will inform you and, where possible, Assurco’s office. Appropriate action may include:

  • Adjusting the audit plan
  • Changing audit objectives or scope
  • Suspending or terminating the audit

You will be informed of the outcome of any such decisions.

Changes to audit scope

If the need for a change to the audit scope becomes apparent during the audit, the audit team leader will discuss this with you and report it formally within Assurco.

4. Obtaining and Verifying Audit Evidence

Audits are based on objective evidence gathered using recognised auditing techniques.

How evidence is gathered

Audit evidence relevant to the audit objectives, scope and criteria is obtained through appropriate sampling and verified during the audit.

Methods used include:

  • Interviews with personnel
  • Observation of activities and processes
  • Review of documented information and records

This may include evidence relating to interfaces between different functions, processes or locations.

5. Identifying and Recording Audit Findings

Types of audit findings

Audit findings are recorded to support an informed certification decision and may include:

  • Conformity
  • Nonconformity
  • Opportunities for improvement (OFIs), where permitted by the certification scheme

Nonconformities are never recorded as opportunities for improvement.

Recording nonconformities

Each nonconformity:

  • Is recorded against a specific requirement
  • Includes a clear description of the issue
  • Is supported by objective evidence

Nonconformities are discussed with you during the audit to ensure that:

  • The evidence is accurate
  • The finding is clearly understood

Auditors do not identify causes or suggest solutions.

Differences of opinion

Where there is a difference of opinion between the audit team and the client regarding evidence or findings, the audit team leader will attempt to resolve this. Any unresolved points are formally recorded.

6. Preparing Audit Conclusions

Before the closing meeting, the audit team — under the responsibility of the audit team leader — will:

  • Review all audit findings against the audit objectives and criteria
  • Classify any nonconformities
  • Agree the audit conclusions, recognising the inherent uncertainty of auditing
  • Identify any necessary follow‑up actions
  • Confirm whether the audit programme remains appropriate or needs adjustment (for example, audit time, scope, frequency or audit team competence)

These conclusions form a key input into the certification decision process.

7. The Closing Meeting

Each audit concludes with a formal closing meeting with management and responsible personnel.

During the closing meeting:

  • Audit conclusions are presented
  • Nonconformities are explained clearly
  • The timeframe for responding to nonconformities is agreed
  • Next steps are outlined

The closing meeting is documented in the audit report to ensure transparency and clarity.

8. Audit Reports

Audit report delivery

A written audit report is provided for every audit.

The audit team may identify opportunities for improvement but does not recommend specific solutions.

Ownership of the audit report remains with Assurco.

Report content and responsibility

The audit team leader is responsible for ensuring the audit report:

  • Is accurate, clear and concise
  • Reflects the audit activities and findings
  • Includes all required information to support an informed certification decision

9. Addressing Nonconformities

Cause analysis and corrective action

Where nonconformities are identified, you are required to:

  • Analyse the cause of each nonconformity
  • Define appropriate corrective actions
  • Implement these actions within an agreed timeframe

Review and verification

The lead auditor will:

  • Review the proposed corrections and corrective actions
  • Assess whether they are acceptable
  • Verify their effectiveness

Verification may involve:

  • Review of documented evidence
  • A limited or full follow‑up audit (which may be chargeable)
  • Confirmation during a future audit

Evidence supporting the resolution of nonconformities is formally recorded, and you are informed of the outcome.