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.

Effective Guidance Documents

This guidance document is supplied in fully editable MS Word format and can be easily customised and edited. The document uses pre-defined style formatting throughout, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:

• Guidance number and title
• Information-classification
• Version
• Page number / total pages

alphaZ documents - beautifully designed, tried and tested guidance documents. No junk, jargon or unnecessary content. Simple and usable guidance documents developed over 25 years through practical use in the real world.

Further Reading

Further guidance on ISO standards and certification:

• ISO Certification Process
• Setting Up a Management System
• Integrated Management Systems
• ISO Standards knowledge base

How to Download

These files are included in the alphaZ subscription.

Need Help Implementing?

If you'd like hands-on help preparing your management system and evidence for a certification audit, our remote support services provide direct expert input from our team, by the day, by project, or on an ongoing basis.

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:

• GG-1-09 Integrated Management System (IMS)
• GG-1-10 Internal Audits
• Introduction to ISO Audits and Certification
• ISO 9001:2026 Awareness Training Course
• ISO 14001 Awareness Training Course
• ISO 45001:2018 Awareness Training Course
• ISO 27001:2022 Awareness Training Course