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.
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:
Audits may be internal (conducted by the organization itself) or external (conducted by a certification body or a third party).
ISO audits are typically categorized into several types based on purpose and who conducts them. The main types include:
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.
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.
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.
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.
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 audits follow a structured method to ensure thorough evaluation and effective results. The general steps in an ISO audit process are:
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.
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.
During this stage, auditors collect evidence by:
The goal is to determine whether processes are being followed and if they meet the requirements of the applicable ISO standard.
Once the audit is completed, findings are documented in an audit report. This includes:
Non-conformities are categorized by severity (major or minor), and recommendations are made for corrective actions.
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.
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
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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Lokesh Rawat, From Madhya Pradesh
Recently applied ISO Certification
