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 What ISO Audit - ISO Audit Types and Method

What is ISO Audit and Its Types and Method

In the increasingly competitive global marketplace, maintaining consistent quality, safety, and efficiency in business operations is vital. ISO audits play a crucial role in helping organizations align with internationally recognized standards, ensuring they meet specific regulatory, customer, and stakeholder requirements. An ISO audit is an evaluation process used to assess an organization’s compliance with ISO (International Organization for Standardization) standards. This helps identify gaps, improve processes, and achieve certification.

What is an ISO Audit?

An ISO audit is a systematic, independent, and documented process for obtaining audit evidence and evaluating it objectively to determine how well the organization conforms to ISO standards. These standards can pertain to quality management (ISO 9001), environmental management (ISO 14001), information security (ISO 27001 Certificate), occupational health and safety (ISO 45001), and others.

The primary objectives of an ISO audit are:

  • Ensuring compliance with applicable ISO standards
  • Identifying areas for continual improvement
  • Verifying the effectiveness of the implemented management systems
  • Helping the organization achieve or maintain ISO certification

Audits may be internal (conducted by the organization itself) or external (conducted by a certification body or a third party).

Types of ISO Audits

ISO audits are typically categorized into several types based on purpose and who conducts them. The main types include:

1. Internal Audit (First-Party Audit)

Conducted by the organization's own personnel or an internal team, the internal audit ensures that processes comply with the internal management system and ISO standards. It is often a preparatory step before external audits and is essential for identifying areas of non-conformance and opportunities for improvement.

2. External Audit

External audits are performed by independent certification bodies. These are further divided into:

Second-Party Audit: Conducted by customers or clients to evaluate the organization’s performance as a supplier. It ensures the supplier meets contractual and ISO requirements

Third-Party Audit: Conducted by an external certification agency to certify that the organization complies with a specific ISO standard. Successful completion leads to official ISO certification.

3. Surveillance Audit

After obtaining ISO certification, organizations must undergo periodic surveillance audits to ensure ongoing compliance with the standards. These audits are less comprehensive than initial certification audits but critical for maintaining certification status.

4. Re-certification Audit

ISO certifications are valid for a specific period (typically three years). A re-certification audit is conducted before the expiry of the certification to assess the continued effectiveness of the management system and renew the certification.

5. Compliance Audit

This audit checks whether the organization adheres to external regulatory requirements. While not always tied directly to ISO certification, it helps ensure regulatory compliance and mitigate legal risks.

ISO Audit Methods

ISO audits follow a structured method to ensure thorough evaluation and effective results. The general steps in an ISO audit process are:

1. Planning

Audit planning involves defining the scope, criteria, objectives, and schedule of the audit. This step includes selecting qualified auditors and gathering background information about the organization’s processes and previous audits.

2. Opening Meeting

The opening meeting sets the tone for the audit. Auditors introduce themselves, clarify the audit plan, and explain the process to the auditees. It establishes mutual understanding and expectations.

3. Audit Execution (Fieldwork)

During this stage, auditors collect evidence by:

  • Interviewing employees
  • Reviewing documents and records
  • Observing operations and processes
  • Verifying corrective actions from previous audits

The goal is to determine whether processes are being followed and if they meet the requirements of the applicable ISO standard.

4. Audit Reporting

Once the audit is completed, findings are documented in an audit report. This includes:

  • Conformities
  • Non-conformities
  • Observations
  • Opportunities for improvement

Non-conformities are categorized by severity (major or minor), and recommendations are made for corrective actions.

5. Closing Meeting

The closing meeting is held to present the audit findings to management. It ensures transparency, allows discussion of potential corrective actions, and establishes timelines for addressing issues.

6. Follow-Up and Corrective Actions

For any non-conformities identified, the organization must take corrective actions and submit evidence of implementation. Follow-up audits may be conducted to verify the effectiveness of these actions.

Also Read: ISO 27001: 2022 Certification for Information Security

Conclusion

ISO audits are a vital component of quality and compliance management in any organization aiming for international credibility and operational excellence. By regularly undergoing these audits, businesses can identify inefficiencies, reduce risks, and build trust with customers and stakeholders. Understanding the types and methods of ISO audits not only helps in effective preparation but also ensures that the management systems evolve with the organization’s goals and industry demands.

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