Starting Certification or Preparing for Your Next Audit? Download the Free FY 26/27 Checklist
A new financial year is a useful time to review the records, activities and documented information relevant to your organisation’s certification requirements.
Whether your organisation is considering certification for the first time, preparing for a surveillance or recertification audit, or reviewing its current Certification Body arrangements, FY 26/27 is an opportunity to take stock before your next audit.
Certification audits assess whether an organisation’s management system conforms with the applicable certification standard and is being implemented and maintained as required. This means organisations need to be able to demonstrate relevant processes, records, reviews and responsibilities during the audit process.
What should you review before your next audit?
Business operations can change over time. New services, locations, staff, suppliers, technology, customer expectations and contractual requirements may all affect the information that is relevant to your management system.
Before your next certification, surveillance or recertification audit, consider whether the following areas are current and available for review.
Is your management system scope current?
Your management system scope should accurately reflect your organisation’s current activities.
This may include reviewing changes to:
- Products, services or business activities
- Operational sites and locations
- Organisational structure and responsibilities
- Customer, contract and tender requirements
- Suppliers and outsourced processes
- Applicable legal, regulatory and industry obligations
Are risks and obligations being reviewed?
Risk and compliance information should be reviewed when there are meaningful changes in the organisation.
Depending on the applicable management system standard, this may include consideration of:
- Operational and quality risks
- Workplace health and safety risks
- Environmental impacts
- Information security and privacy risks
- Supplier and third party risks
- Customer, contractual and regulatory obligations
- Business continuity and incident response arrangements
Are internal audit and corrective action records available?
Internal audit records are commonly reviewed during certification audits.
Before your next audit, check that relevant records are current and available, including:
- Internal audit programmes and completed audit records
- Audit findings and nonconformities
- Corrective action records
- Reviews of completed actions
- Records relating to recurring issues or trends
Has management review been completed?
Management review records demonstrate that leadership has considered the continuing suitability and effectiveness of the management system.
Depending on the applicable standard, management review may include consideration of:
- Audit results
- Customer feedback and complaints
- Performance against objectives
- Nonconformities and corrective actions
- Changes affecting the organisation
- Risks and opportunities
- Resource and competency requirements
Are training and competency records current?
Organisations should be able to demonstrate that employees with relevant management system responsibilities understand their role.
This may include records relating to:
- Employee inductions
- Role-specific training
- Awareness activities
- Internal auditor competency
- Incident and nonconformity reporting
- Relevant customer, legal or contractual requirements
Are supplier and external provider controls documented?
Suppliers and outsourced providers can affect an organisation’s ability to meet applicable requirements.
Relevant records may include:
- Supplier selection and approval processes
- Supplier monitoring and performance records
- Records of supplier issues
- Requirements communicated to external providers
- Controls for outsourced processes
The FY 26/27 Certification Readiness Checklist provides a general internal review of key areas commonly considered before certification, surveillance or recertification audits.
It is designed for organisations considering certification, preparing for an upcoming audit or reviewing current Certification Body arrangements.
This checklist is a general information resource only. It does not provide consulting, implementation advice or a substitute for the applicable certification standard or independent audit process.
Complete the form below to download your free copy.
Download the Free FY 26/27 Certification Readiness Checklist
Ready for certification or your next management system audit? Speak with the GCC team about your certification requirements. Visit www.gccertification.com
Global Compliance Certification | www.gccertification.com
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