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Managing ISO Certification Audits

The ISO Certification Audit is the final step before companies receive certification. To this end, companies who are seeking ISO Certification Audit for the first time may find the planning and preparation process intimidating. What necessary preparations should be put in place for a smooth ISO Certification Audit process? How do we prepare the employees and key stakeholders to handle the audit process and interviews professionally?

This presentation is suitable for internal auditors and auditees who require basic guidance on preparing and handling ISO certification audits. This presentation may also be used as supplementary materials to train your organization's internal auditors on the systematic process for auditing management systems (e.g. ISO 9001, ISO 14001, ISO 45001, etc.).


LEARNING OBJECTIVES

1. Acquire basic knowledge of ISO and the principles of auditing
2. Gain an overview of the ISO certification process
3. Describe the ISO certification audit approach
4. Learn how to prepare and handle an ISO certification audit

CONTENTS

1. ISO in Brief
2. Principles of Auditing
3. The ISO Certification Process
4. The ISO Certification Audit Approach
5. Preparing for an ISO Certification Audit
6. Handling an ISO Certification Audit Session

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Managing ISO Certification Audits

  1. 1. © Operational Excellence Consulting. All rights reserved. MANAGING AN ISO CERTIFICATION AUDIT © Operational Excellence Consulting. All rights reserved.
  2. 2. © Operational Excellence Consulting. All rights reserved. 2 © Operational Excellence Consulting. All rights reserved. 2 Learning Objectives Acquire basic knowledge of ISO Gain an overview of the ISO certification process Describe the ISO certification audit approach Learn how to prepare and handle an ISO certification audit NOTE: This is a PARTIAL PREVIEW. To download the complete presentation, please visit: https://www.oeconsulting.com.sg
  3. 3. © Operational Excellence Consulting. All rights reserved. 3 Contents 2 3 4 The ISO Certification Process The ISO Certification Audit Approach Preparing for an ISO Certification Audit 1 ISO In Brief 5 Handling an ISO Certification Audit Session
  4. 4. © Operational Excellence Consulting. All rights reserved. 4 ISO in Brief § Non-governmental organization (NGO) established in 1947, based in Geneva, Switzerland § Has a membership of over 160 national standards institutes from countries in all regions of the world § The world’s largest developer of voluntary International Standards, based on global and market relevance
  5. 5. © Operational Excellence Consulting. All rights reserved. 5 ISO Does Not Certify § ISO does not carry out management system certification, e.g. ISO 9001:2015 (QMS) § ISO does not issue certificates § ISO does not accredit, approve or control certification bodies § ISO develops standards and guidelines to encourage good practice in accreditation and certification
  6. 6. © Operational Excellence Consulting. All rights reserved. 6 Accreditation & Certification Bodies Accreditation Body Certification Body Company or Organization requiring certification e.g. UKAS e.g. BSI, DNV, TUV SUD, etc.
  7. 7. © Operational Excellence Consulting. All rights reserved. 7 Becoming ISO Certified: Example of ISO 9001:2015 (QMS) Certification § The certification body examines the Quality Management System (QMS) for conformity to the ISO 9001:2015 standard § The QMS audit is a compliance audit § Certification means the organization has a documented QMS that is fully implemented and meets ISO 9001:2015 requirements
  8. 8. © Operational Excellence Consulting. All rights reserved. 8 Example of ISO 9001:2015 (QMS) Certification Process Implementation of QMS Conduct Internal Audit and Review Result by Top Management Selection of a Certification Body Stage 1 Audit Stage 2 Audit Confirmation of Registration Continual Improvement and Surveillance Audits
  9. 9. © Operational Excellence Consulting. All rights reserved. 9 Types of Audits 2nd Party Audit External provider audit Other external interested party audit 3rd Party Audit Certification and/or accreditation audit Statutory, regulatory and similar audit 1st Party Audit Internal audit
  10. 10. © Operational Excellence Consulting. All rights reserved. 10 Internal Audit § To ensure the whole management system (e.g. QMS) is audited to check: • The system is being followed • The system meets ISO requirements, such as ISO 9001:2015 • The system is effectively implemented and maintained
  11. 11. © Operational Excellence Consulting. All rights reserved. 11 Principles of Auditing Source: Based on ISO 19011:2018 Auditing Management Systems
  12. 12. © Operational Excellence Consulting. All rights reserved. 12 ISO Certification Audit Focus Effectiveness of the ISO Management System in achieving the organization’s objectives and in providing products and services that conform to customer and applicable regulatory requirements.
  13. 13. © Operational Excellence Consulting. All rights reserved. 13 Audit Approach § Focuses on employees’ understanding of the organization’s processes and verifies that these processes are: • complied with • under control • achieving the desired results Provide evidence, e.g. records, meeting minutes, reports, data and emails.
  14. 14. © Operational Excellence Consulting. All rights reserved. 14 Audit Findings Minor Non-conformity Observation Major Non-conformity
  15. 15. © Operational Excellence Consulting. All rights reserved. 15 Planning for an ISO Certification Audit § Planning for an ISO certification audit will take time and effort, but it will be worth the trouble § Taking the time to plan for the audit will make the audit smoother, higher quality, less time consuming and less costly § Planning for the audit involves determining what you want the auditor to focus on and choosing an auditor that meets your need and experience criteria
  16. 16. © Operational Excellence Consulting. All rights reserved. 16 Select a Suitable Audit Firm § Auditors specialize in different types of audits and in different industries § There are auditors that specialize in non-profits, government entities, publicly-traded companies and private, closely held companies § You need to find an auditor that suits your needs and is within your budget § When evaluating firms, make sure that the audit staff has experience with the type of audit you require, has the appropriate continuing education and that the firm complies with peer review requirements
  17. 17. © Operational Excellence Consulting. All rights reserved. 17 Prior to the ISO Certification Audit § Designate an audit guide(s) for your organization to coordinate the audit activities between the auditor(s) and the auditees § Designate an alternate in case the audit guide is not available
  18. 18. © Operational Excellence Consulting. All rights reserved. 18 Rights of Auditor § Auditors can change the areas to be audited § Auditors can add in more products, processes and people to be audited within the audit scope if they wish to verify something § May start the audit session earlier, or extend the session, if necessary • Auditees should avoid scheduling other meetings before or after the scheduled times
  19. 19. © Operational Excellence Consulting. All rights reserved. 19 How to Handle the Audit Session? § Do not panic § Ask and clarify § Admit obvious non-conformities § Offer evidence and explain patiently § Take note of improvement areas highlighted by the auditor § Show internal audit report, when necessary
  20. 20. © Operational Excellence Consulting. All rights reserved. 20 Auditee’s Conduct § Polite § Professional § Positive / Receptive § Sincere § Commitment § Formal but not overly serious
  21. 21. © Operational Excellence Consulting. All rights reserved. 21 Interacting with Auditors § Be honest and open § Recognize they may be experts § Realize they may not be subject matter experts § Understand the purpose of the meeting and review related records prior to interviews § Turn mobile phones to silent mode
  22. 22. © Operational Excellence Consulting. All rights reserved. 22 Interacting with Auditors § Assume auditors are familiar with your organization’s ISO management system § Challenge auditors § Show more competence in the ISO management system standard § Argue internally § Express unfairness § Ask for solution § Fix non-conformities on the spot
  23. 23. © Operational Excellence Consulting. All rights reserved. END OF PREVIEW To download this presentation, please visit: www.oeconsulting.com.sg

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