The new year has just begun, and with every year comes more audits that are necessary for upkeeping your organization’s management systems. Whether you conduct annual internal audits or you’re expecting a certification audit soon, they’ll approach sooner than you think.

 

It’s important to stay on top of your ISO audits and ensure that everything is in line for them to go smoothly. In this article, we’ll be breaking down some of the best practices and major preparations to be made prior to an audit for higher chances of success.

 

 

 

Preparing & Planning for an Audit

 

Review the ISO Standard

 

Before an audit on your management system, you’ll want to deepen your understanding of the ISO standard, its requirements, and its overall meaning. Identify the ISO standard relevant to your organization, such as ISO 9001 (Quality Management), ISO 14001 (Environmental Management), or another standard, and thoroughly review its requirements and guidelines to understand what is expected.

 

Ensure all employees have a similar understanding of the ISO standard and that everyone is on the same page. Provide training to employees on the requirements of the ISO standard and the significance of compliance. It is critical, not only for a successful audit but for overall management system success, that all team members clearly understand their roles and responsibilities in meeting these standards.

 

Gap Analysis & Corrective Actions

 

Perform a comprehensive Gap Analysis to evaluate your current processes and systems against the requirements of the ISO standard. By performing a Gap Analysis, you can identify areas for improvement and document the gaps. Develop a detailed action plan to address these gaps, assigning responsibilities, setting timelines, and allocating the necessary resources for implementation of corrective actions.

 

Performing a Gap Analysis and implementing a plan to correct any identified gaps will reduce the amount of findings from an upcoming internal audit.

 

Document & Record Control

 

Create or update documentation to align with ISO requirements, including policies, procedures, work instructions, and records. Ensure all necessary documentation for internal audits is accessible, and address any missing information by documenting it for future audits.

 

A key element of proper documentation is establishing a document control system to efficiently manage and maintain these materials. Having important procedures, reports, and data documented is only the first step; keeping everything organized and securely stored is another.

 

Conduct A Management Review

 

Conduct a management review to evaluate the effectiveness of your ISO management system, ensuring active involvement and commitment from top management.

 

These reviews provide an opportunity to assess existing systems and controls, analyze feedback, track corrective actions, monitor and report changes, and determine the overall performance and effectiveness of the management system. A management review can identify further gaps or areas of improvement, and often reduce findings that would be otherwise detected in an audit.

 

Pre-Assessment Audit

 

A pre-assessment audit is for organizations that would like to verify that their system conforms to ISO standards prior to undergoing verification or certification audits. The pre-assessment provides an opportunity for organizations to address findings and avoid wasting time and money during the official audit process, and are performed with the same independence and objectivity as a verification or certification audit.

 

Any organization that has implemented a management system and is aiming for a certification audit should consider a pre-assessment audit.

 

Tips to Ensure Successful Audits

 

Strong Leadership & Engagement of Top Level Management: Top management plays a vital role in the successful implementation of ISO management systems and creating a work environment that captivates employees at every level. Your organization’s leadership should take charge and show enthusiasm to see these effects trickle down.

 

Clear Communication: Ensuring the alignment of all employees and objectives within your organization will help effectively create an efficient workplace where everyone collaborates to continuously improve and reduce nonconformities. Communicate all processes, goals, objectives, and more as concisely as possible.

 

Aim for Continuous Improvement, Not Compliance: Companies that simply strive for compliance to ISO 9001 or another standard aren’t focusing on the true benefits of their management system. If you’re only focusing on meeting requirements, you aren’t striving for improvement or business growth. Commitment to continuous improvement should be a full organization-wide effort.

 

Create an ISO Audit Checklist: Checklists streamline the audit process, making it more efficient. ISO Audit Checklists provide a systematic framework for auditors to evaluate an organization’s processes, procedures and documentation. With this structured format for auditors to follow, your organization saves time and ensures that the audit covers all relevant areas without unnecessary delays.

 

Conclusion: Always Prepare for the Audit

 

Preparing for audits is an essential part of maintaining and improving your organization’s management systems. By following best practices such as conducting gap analyses, strengthening documentation control, and engaging top-level management, your organization can approach audits with confidence. Prioritize continuous improvement, effective communication, and thorough planning to not only meet ISO standards but also drive long-term success and operational excellence.

 

The ISO 9001 Group offers expert Internal Auditing services as well as Internal Auditor training courses. Contact us today to learn more about how we can help your organization meet its management system goals.